Request for Proposal (RFP)

I. Purpose

Despite considerable progress made in AIDS research during the past 12 years in California and elsewhere, there is no drug at hand to cure AIDS nor a vaccine to prevent HIV infection. Therefore, prevention of HIV infection and transmission through education and behavior modification provides the best hope for some years to come for intervention in the AIDS epidemic.

The funding that supports this RFP will provide for a statewide prevention research consortium, to implement and evaluate HIV prevention programs collaboratively conducted by scientific researchers and community-based organizations. The Statewide Community HIV Evaluation Project (SCHEP) is funded by the California Department of Health Services, Office of AIDS and administered by the University of California San Francisco, Center for AIDS Prevention Studies (CAPS). The overall purpose of this program is to foster prevention research collaboration between scientific researchers and AIDS service organizations/local government providers, so that AIDS prevention strategies can be evaluated, innovative methods can be tested, investigators can share theoretical and methodological insights, and community-based agencies (CBOs) can develop procedures and infrastructure for collecting data needed for in-house and statewide monitoring of prevention efforts.

Proposals must be jointly submitted by a researcher at a non-profit research institution, University, or college and an AIDS prevention service agency. As researchers and community members have stressed, effective HIV prevention can only be implemented with community input and participation from the inception of the project.


The principal goal of this research initiative is to evaluate prevention strategies designed to effectively reduce HIV infection and transmission in California. SCHEP is designed to bring together the expertise of both researchers and service providers in the evaluation of feasible, innovative, and effective HIV prevention programs as conducted within community-based or direct service organizations.

Applicants for funding should stress creative, novel approaches to the evaluation of HIV prevention intervention programs emphasizing risky behavior modification and include one or more of the research areas emphasized below:

  • evaluation of existing intervention programs in community-based organizations
  • modification of existing interventions to allow evaluation of their effectiveness
  • conducting meta-analytic study of HIV prevention research.

To be effective, prevention programs must continually seek to answer the following questions: Which interventions help individuals change their behavior? What interventions work better in specific communities? How can prevention efforts best reach the people they’re designed to help?

III. Eligibility

The research partner of the application team must be affiliated with a non-profit California college, university, or research institution. The service provider partner must be affiliated with a non-profit community-based organization (CBO) which provides HIV/AIDS prevention services. Researchers or service programs from Departments of Public Health are eligible to apply, provided that they submit an application jointly with another agency. Researchers from the Center for AIDS Prevention Studies are not eligible to apply. Community based organizations currently funded under the CAPS/ Northern California Grantmakers collaboration are not eligible to apply. The proposed program evaluation must be fully collaborative; a researcher conducting an evaluation using the CBO as a means for accessing a client population will not be considered a real collaboration.

IV. Size, Number, and Duration of Grants to be Made

Four 21-month grants will be awarded. The funding period will be March 1, 1996 – November 30, 1997. Awards will be for a maximum of $151,111 for the entire funding period, to be allocated as follows: $35,555 available from 3/1/96 through 6/30/96; $77,037 from 7/1/96 through 6/30/97; and $38,519 from 7/1/96 through 11/30/97.

V. Special Requirements

A critical component of this funding is the SCHEP Consortium among the four funded projects. The successful applicants receiving funding from this program will meet four times during the course of the contract period with other grantees who are conducting community-based prevention research through this mechanism. The goals of the Consortium meetings are to provide peer review and support to each collaborative project and to contribute to the dialogue about elements of successful HIV prevention programs. Additionally, project staff from CAPS will be in frequent contact with both the scientific and service delivery partners of the collaboration.

Soon after the awards are made, the CAPS Program Manager will convene a mandatory orientation meeting of the members of the Consortium to discuss all SCHEP projects for the purpose of promoting collaboration among participants and discussing details of the projects, perhaps resulting in modifications of some aspects of the research or service delivery plans. The orientation is tentatively scheduled for February 29 – March 1, 1996

VI. Terms of award

Awards can be made to non-profit institutions/organizations in the State of California. The principal investigator from the research institution must qualify for that status under the sponsoring academic or research institutions’ principal investigator policy. The CBOs must provide verification of tax-exempt nonprofit organization status (Federal form 501(c)3).

It is anticipated that awards in response to this RFP will be made in March 1996. Awards will be for a period of 21 months. Funds will be awarded in the form of subcontracts to the research and service provider institutions. The total cost of each award will not exceed $151,111 for the 21-month contracts, including indirect costs, if any. It is anticipated that up to four individual projects will be supported depending upon the merit of the applications received and availability of funds.

Although the program is provided for in the financial plans of the Department of Health Services, Office of AIDS, awards pursuant to this RFP are contingent on the availability of funds for this purpose.


The goal of this RFP is to fund evaluations of prevention programs located in non-epicenter cities or serving understudied, high-risk populations. Studies solicited by this RFP must address populations at risk based on the epidemiology of HIV disease in California. Applications should attend to the inclusion of women and ethnic minorities in the study population, or justify their exclusion based on California epidemiology and intervention approach.

VIII. Proposal Process

Applicants are required to submit a complete proposal signed by the co-investigators from the research institution and the CBO by January 17, 1996. The original and five copies of the proposal should be mailed to Ellen Goldstein, Center for AIDS Prevention Studies, 74 New Montgomery #600, San Francisco, CA 94105.

Applicants wishing assistance during the proposal development phase may contact Ellen Goldstein at             (415) 597-9396      . However, such assistance does not guarantee success of the application in the review process.

IX. Criteria for proposal review

Proposals will be evaluated by a team of researchers from CAPS and other institutions, community-based service providers and Office of AIDS staff. In additional to an initial review of the proposals, the Program Manager may choose to interview the top applicants.

The review criteria include:

A. The Evaluation

  • Geographic area and/or populations at risk in study
  • Proposed evaluation built upon existing knowledge about effective prevention methods
  • Potential to demonstrate new knowledge about preventing HIV/AIDS transmission
  • Originality and feasibility of proposed research
  • Strong evidence of collaborative team approach to research, and shared vision and goals among the staff and management of the CBO and the research team
  • Ground-up CBO-researcher collaboration on development, implementation, and evaluation of the intervention
  • Focus on clear goals and objectives that can be achieved during the projected time frame
  • Appropriate staffing and volunteers for the proposed target populations
  • Commitment to work closely with other members of the consortium and to disseminate research results at the Consortium meetings at CAPS.
  • Client population involvement

B. The Service Providing Organization

  • Experience implementing prevention programs
  • Demonstrated experience administering program grants
  • Experience with program evaluation
  • Organizational stability and capacity to successfully carry out the project
  • History or expenence of current or previous collaboration

C. The Research Organization

  • Evidence of researcher’s experience and ability to conduct community-based research including research experience, training, record of community involvement, and special efforts to prepare for community research.
  • Data entry and analytic experience
  • Researcher’s involvement with focus population
  • History or expenence of current or previous collaboration

D. Community Involvement and Support

  • Evidence of need for the intervention and acceptability of the intervention by the client population.
  • Feasibility of data gathering
  • Access to clients/ subjects

E. Protection of Human Subjects

  • Approval of IRB protocol or completed pending application

X. Timeline

December 6, 1995
Request for Proposal issued with application packets

January 17, 1996
Full applications due

February 6, 1996
Center for AIDS Prevention Studies and State Office of AIDS reviews applications

February 9, 1996
Notices of Award issued March 1, 1996
Award start date
Collaboration Orientation Meeting

SCHEP – Proposal Guidelines and Forms

This document has been designed to assist you in the preparation of your proposal to the Center for AIDS Prevention Studies. Please use the outline provided for the narrative portion of your proposal. You may elaborate on each section in paragraph or narrative form but please number and label each section using our outline. Do not exceed 15 pages for Sections III – VI. (Page suggestions are noted after each section.) In addition to your narrative, be sure to complete and submit: the Cover Sheet, Organizational Chart, Letters of Support, Human Subjects Application or Approval, Timeline Form, and the Budget Forms we have provided as well as the required attachments listed at the end of the Proposal Outline.

While the project period is 21 months, you may choose to begin the project with pilot testing the intervention or conducting a needs assessment of the population. Please describe all formative work in detail, with a proposal for using the findings of this phase of the project to inform subsequent research and service activities.

It will be in each applicant’s interest to provide all requested information and to observe the specified page limitations. Appendices may be submitted but must be limited to essential materials and questionnaire(s). Use 12 point type and do not reduce print. Margins must not be less than 1 inch. Because of the short time interval between receipt and review of applications, neither late or incomplete applications nor changes or additions to the original submission can be accepted.

Please be aware that current approval notices from human subjects, animal subjects, and biohazard committees must be received at the CAPS office no later than March 15, 1996 or the intent to make an award may be withdrawn. Applicants must initiate the Human or Animal Subjects approval process beforesubmitting an application.

Project Timeline and Budget Description

The funding period will be March 1, 1996 – November 30, 1997. Awards will be for a maximum of $151,111 for the entire funding period, to be allocated as follows: $35,555 available from 3/1/96 through 6/30/96; $77,037 from 7/1/96 through 6/30/97; and $38,519 from 7/1/96 through 11/30/97. University of California policy prohibits release of funds prior to receipt of Human Subjects approval.

Proposal Deadline

Six copies (original plus five) of your proposal must be received at the office of the Center for AIDS Prevention Studies by 5pm on Wednesday, January 17, 1996. Faxes will not be accepted.

Address to Submit Proposals:

Center for AIDS Prevention Studies
74 New Montgomery St., Suite 600
San Francisco, CA 94105
ATTN: Ellen Goldstein

Phone or E-mail for Questions:

Ellen Goldstein, Program Manager
(415) 597-9396

SCHEP – Proposal Outline

I. Cover Sheet

See form provided.

II. Abstract

The abstract must not exceed 100 words and should summarize the purpose, population, proposed intervention, and research question(s) to be addressed by the evaluation.

III. Collaboration Partners

(4 pages, not including organizational chart and letters of support)

Describe the community-based or service agency and research partner of the collaboration, highlighting the experience each brings to the collaboration. Outline the plan for keeping the two partners in the study in full collaboration on the project.

A. History of CBO

  • Description of Programs
  • Staffing, including organizational chart, noting who would participate in the delivery of services and the conduct of the evaluation tasks and their length of time at the agency
  • Previous experience with research or program evaluation
  • Intended use of information from research findings
  • Letters of support from the Board Chair, Executive Director, and front line staff

B. History of Researcher

  • Description of previous work in HIV prevention research
  • Description of previous work with or in CBOs or HIV prevention service delivery
  • Description of experience with CBO partner for this project

C. Collaboration

  • Organizational chart of evaluation and service delivery, with affiliation and % of time covered for each person

IV. Study Population (3 pages)

A. Describe target population.

  • Demographic description (age, culture, gender, socioeconomic status, etc.)
  • Risk behavior
  • Epidemiologic profile or other research conducted with this population
  • Other services to this population (not only by your agency)
  • Access issues (barriers to service) and how this proposal will address them
  • Population strengths and limitations

V. Research Question (4 pages)

Briefly describe the background for the proposed research. Describe the intervention and research question and discuss why you have chosen them for this particular client population. Include hypotheses and the rationale for your approach. Briefly describe and refer to any preliminary studies or existing prevention programs, the specific aims, the research plan, methodology, experimental subjects, and controls. Discuss potential problems and the significance of the expected results. (List pertinent literature references, including titles of publications.) Your plan should be realistic to enough to allow completion of the project within the time requested.

A. Describe the intervention to be evaluated.

  • Program activities, including staffing
  • Evidence of interest in the program to client population
  • Behaviors to be changed
  • Reason for using this intervention with this population
  • Feasibility/ access to population
  • Client involvement in program design

B. Define the research question(s).

  • State the question(s)
  • Reason for asking this question
  • Potential use of information from research findings

VI. Research Design (4 pages)

  • Needs assessment and formative evaluation plans (if applicable)
  • Design description
  • Sample description and recruitment plan
  • Control group description (if applicable)
  • Variables to be measured
  • Instrument content
  • Tracking
  • Data analysis plan

VII. Human Subjects Protections

Describe involvement of human subjects and characterization of subject population, recruitment of subjects and consent procedures, potential risks to subjects, procedures to protect or minimize risks, and anticipated benefits to subjects. List potential ethical problems, and discuss how you have jointly resolved them. You may use up to 2 continuation pages. If IRB approval or exemption has been received, attach documentation following this page. If IRB approval or exemption has not been received, you must attach evidence that this has been sought from an accredited Institutional Review Board. If project is exempt from IRB regulation, provide rationale for a determination that the designated exemptions are appropriate. Human Subjects approval must be initiated by the application receipt date and final approvals must be granted before funding can be released. Failure to submit the required approvals will result in the rescission of the award.

VIII. Timeline

Use the attached Timeline Form to chart the evaluation activities. Include information on questionnaire development, pilot testing, data collection, staff hiring and training, and data analysis.

IX. Budget

This award is divided into three budget periods. The total project will be from March 1, 1996 through November 30, 1997. Awards will be for a maximum of $151,111 for the entire funding period, to be allocated as follows: $35,555 available from 3/1/96 through 6/30/96; $77,037 from 7/1/96 through 6/30/97; and $38,519 from 7/1/96 through 11/30/97. This contract does not allow for carry-forward between contract periods; please budget accordingly. Funds must be spent during the budget period in which they are charged, with one exception; subject reimbursements can be purchased or encumbered in a budget period prior to their disbursement.

Please complete the Budget Forms provided. An example of a completed budget form is attached to assist you. Complete one set of budget forms for each Budget period for both the research institution and the service agency.Provide one Budget Summary Form for each institution, and one overall summary for the entire project. Additionally, please a attach a narrative Budget Justification, providing descriptions to support your budget. (The Budget Narrative does not need to be broken down by project periods.) Also attach a list of other sources of income for this project, and documentation of 501(c)3 status for the CBO/ service delivery collaborator.

As part of the award, CAPS will be providing one computer and software to each community based agency, e-mail networking equipment to researchers and community based agencies who currently do not have e-mail capability, and subscriptions to Handsnet, a computer bulletin board. Please include costs for insuring this equipment in your budget. Travel to and from SCHEP collaboration meetings will be covered by CAPS.

X. Attachments

___ Proof of 501(c)3 status for CBO
___ Resumes of Key Personnel
___ SCHEP Project and CBO Organizational Chart
___ Letters of Support: CBO Board, Executive Director, Key Line staff
___ SCHEP Timeline
___ Budget Forms: Period 1, Period 2, Period 3, Overview
___ Budget Justification Narrative
___ Committee on Human Research Approval or Pending Application Cover
___ Community Letters of Support

SCHEP – Cover Sheet

Service Provider/ Community Based Agency:__________________________________

Project Coordinator:_____________________________________________

Address __________________________________
City/State/Zip __________________________________
Phone __________________________________
FAX __________________________________
e-mail __________________________________

Research Institution:__________________________________

Principal Investigator:__________________________________

Address __________________________________
City/State/Zip __________________________________
Phone __________________________________
FAX __________________________________
e-mail __________________________________

Project Title: ________________________________________

Requested Amount: ________________________________________

Population: ________________________________________

Research Question: ________________________________________




Human Subjects status: Application Date ______ Approval Date ______

Project Coordinator (signature)

Principal Investigator (signature)

Last modified: January 20, 2011