WIC_Enhance_20180515_final.docx

USDA Participant Research Innovation Laboratory for Enhancing WIC Services Fiscal Year 2018 Request for Applications

Catalog for Federal Domestic Assistance Number (CFDA): 10.540 Dates:

Release Date: May 15, 2018 Letter of Intent (Optional): June 11, 2018 Application Due Date: 11:59 PM, Eastern Standard Time (EST), July 16, 2018 Anticipated Award Date: August 31, 2018

OMB BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number.

The valid OMB control number for this information collection is 0584-0512. The time required to complete this information collection is estimated to average 45 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

NOTE: Information italicized should be addressed/completed by the Program area. Information in black should not be changed. If additional information is required it may be added.

IMPORTANT NOTICE

On December 31, 2017, Grants.gov officially retired the legacy .PDF application package as a method to apply for a Federal grant. This changed the way many Grants.gov users completed and submitted their grant applications.

For information on Workspace application process, visit:

https://grants.gov/web/grants/applicants/workspace-overview.html

Application Checklist This application checklist provides a list of the required documents; however FNS expects that applicants will read the entire RFA prior to the submission of their application.

In order to apply, at least four weeks prior to submission, you must have:

· Obtained a Dun and Bradstreet Data Universal Numbering System (DUNS) number;

· Registered the DUNS number into the System for Award Management (SAM); and,

· Registered in grants.gov.

When preparing your application, ensure:

· Your application format and narrative meet the requirements included in Section IV “Application and Submission Information,” including page limits, priorities outlined in Section X, and all necessary attachments.

When preparing your budget, ensure the following information is included:

· All key staff who are paid by this grant.

· The percentage of time the project director will devote to the project in full-time equivalents.

· Your organization’s fringe benefit amount along with the basis for the computation.

· The type of fringe benefits to be covered with Federal funds.

· Itemized travel expenses (including type of travel), travel justifications and basis for lodging estimates.

· Types of equipment and supplies, justifications, and estimates, ensuring that the budget is in line with the project description.

· Information for all contracts and justification for any sole-source contracts.

· Justification, description and itemized list of all consultant services.

· Indirect cost information (either a copy of a Negotiated Indirect Cost Rate Agreement (NICRA) or if no agreement exists, the basis of the indirect costs requested). If none requested, please indicate this in the budget narrative.

When submitting your application, ensure you have submitted the following:

· SF-424 – Application for Federal Assistance (fillable PDF in Grants.gov)

· SF-424A – Budget Information and Instruction Form (fillable PDF in Grants.gov)

· SF-424B – Assurances for Non-Construction Programs (fillable PDF in Grants.gov)

· SF-LLL Disclosure of Lobbying Activities.

· Grant Program Accounting System & Financial Capability Questionnaire (in Appendix X)

· Negotiated Indirect Cost Rate Agreement (PDF - Upload using the “Add Attachments” button under SF-424 item #15)

When applicable, application packages are required to include the following documents:

· AD-3030 – Representations Regarding Felony Conviction and Tax Delinquent Status for Corporate Applicants (fillable PDF in Grants.gov).

TABLE OF CONTENTS

PAGE

I. PROGRAM DESCRIPTION 4

II. FEDERAL AWARD INFORMATION 11

III. ELIGIBILITY INFORMATION 20

IV. APPLICATION AND SUBMISSION INFORMATION 21

V. APPLICATION REVIEW INFORMATION 30

VI. FEDERAL AWARD ADMINISTRATION INFORMATION 33

VII. FEDERAL AWARDING AGENCY CONTACTS 38

VIII. OTHER INFORMATION 38

I. PROGRAM DESCRIPTION

Introduction The United States Department of Agriculture (USDA) Food and Nutrition Service (FNS), through the Special Supplemental Nutrition Program for Women, Infants and Children (WIC), is responsible for providing Federal grants to States for supplemental foods, health care referrals, and nutrition education (including breastfeeding promotion and support) for low-income pregnant, breastfeeding, and non-breastfeeding postpartum women, and to infants and children up to age five who are found to be at nutritional risk. The legislative authority for this grant announcement is contained in the Child Nutrition Act of 1966 Section 17 (g) (5)[footnoteRef:1] as amended and Section 1472 of the National Agriculture Research, Extension, and Teaching Policy Act of 1977, 7 U.S.C. 3318, codified at 7 CFR 2.19(a)(3)(x) in January 2009. Under this program, subject to the availability of funds, the Secretary of Agriculture may award competitive grants and cooperative agreements for the support of research projects to further USDA food and nutrition assistance programs. [1: http://www.fns.usda.gov/cnd/governance/Legislation/CNA_1966_12-13-10.pdf]

This is an announcement of the availability of funds for one new cooperative agreement for FY 2018-2021 with a public or private academic research institution or other non-profit research organization. In this funding cycle, the USDA anticipates awarding up to $2,000,000 in grant funding to support the creation of a Participant Research Innovation Laboratory to support and evaluate WIC local agency-initiated projects that design and implement strategies, including innovative tools and technical resources, to promote customer service surrounding WIC nutrition services which will contribute to retention of eligible participants. Developed strategies should focus on WIC service delivery sites or retail environments. Further, proposals should incorporate strategies that acknowledge the social and cultural diversity of WIC participants and those eligible for the Program.

Purpose The purposes of this Request for Applications (RFA) are to:

· Provide background information and context related to the goals of this funding opportunity;

· Describe the type of cooperative agreement available;

· Describe which entities are eligible to apply for grant funds;

· Solicit funding applications from eligible entities;

· Describe the requirements for submitting a successful application;

· Describe how applications will be reviewed and selected; and,

· Describe the terms and conditions to which grantees must adhere.

This RFA intends to select one institution or organization (e.g. accredited university, non-profit research organization or center) to establish the USDA “Participant Research Innovation Laboratory (PRIL) for Enhancing Customer Service in WIC Services.” The role of the PRIL will be to support and evaluate local efforts to develop interactive tools, technical resources, or innovative solutions that improve customer service in WIC clinics and/or WIC retailers (referred to hereafter as WIC vendors) and ultimately encourage and improve retention of eligible children in WIC. Research projects will build on and improve our understanding of the diverse personal experiences, perceptions, and attitudes of those eligible for WIC services. Implemented strategies/solutions will be evaluated for their impact on participant satisfaction and retention, and other relevant measures, within the local agency setting. In addition, the Grantee will provide evaluation-related technical assistance to State and local WIC agencies carrying out similar interventions through WIC Special Project Grants or other awards.

Background Established in 1974, the Special Supplemental Nutrition Program for Women, Infants and Children (WIC) is administered by the Food and Nutrition Service (FNS) of the U.S. Department of Agriculture (USDA). WIC provides nutritious foods, nutrition education, breastfeeding promotion and support, and referrals to health and other social services to participants at no charge. WIC serves low-income pregnant, postpartum and breastfeeding women, infants, and children up to age 5 who are at nutritional risk.[footnoteRef:2] [2: Food and Nutrition Service (2014). “Nutrition Program Facts: WIC – The Special Supplemental Nutrition Program for Women, Infants and Children.” United States Department of Agriculture. http://www.fns.usda.gov/sites/default/files/WIC-Fact-Sheet.pdf, ]

WIC benefits include nutritious supplemental foods; nutrition education; breastfeeding promotion and support; and referrals to health care, social services, and other community providers for pregnant, breastfeeding, and postpartum women, infants, and children up to their fifth birthday. For pregnant women, WIC seeks to improve fetal development and reduce the incidence of low birth weight, short gestation, and anemia through intervention during the prenatal period. For infants and children, WIC seeks to provide nutritious foods during a critical time of growth and development in order to prevent nutritional deficiencies, health problems and improve health status. For breastfeeding and postpartum women, WIC also seeks to improve dietary intake and promote and support breastfeeding as the optimal method of infant feeding.[footnoteRef:3] [3: Thorn, B., Tadler, C., Huret, N., Trippe, C., Ayo, E., Mendelson, M., Patlan, K. L., Schwartz, G., & Tran, V. (2015). WIC Participant and Program Characteristics 2014. Prepared by Insight Policy Research under Contract No. AG‐3198‐C‐ 11‐0010. Alexandria, VA: U.S. Department of Agriculture, Food and Nutrition Service. Pg. 1. ]

One of the keys to WIC’s ongoing success is the combination of the food package and nutrition services, including education, it provides in clinics to help participants use the benefits package effectively and improve nutrition and health behavior. Most participants redeem food benefits at WIC authorized vendors such as large, national chain grocery stores or supermarkets, small convenience stores, or stores that carry only WIC-approved items. WIC clinics and retail environments are the critical interfaces where program benefits, program participants, and key stakeholders that support WIC relationships interact.

Program Services at WIC Locations Ninety WIC State Agencies (SAs) comprising 50 States, 34 Indian Tribal Organizations (ITOs), American Samoa, District of Columbia, Guam, the Commonwealth of the Northern Mariana Islands, Puerto Rico, and the Virgin Islands administer the program through approximately 1,836 local agencies (LAs) and 9,000 clinics.[footnoteRef:4] Program benefits such as nutrition education, breastfeeding promotion and support, and referrals to health care, social services, and other community providers are provided at many LAs and clinics across the country. Almost three quarters of service sites are located in health departments, health clinics or health centers, with fewer located in non-profit organizations (13%), social service agencies (7%) or hospitals (6%).[footnoteRef:5] [4: Food and Nutrition Service (2014). “Nutrition Program Facts: WIC – The Special Supplemental Nutrition Program for Women, Infants and Children.” United States Department of Agriculture. http://www.fns.usda.gov/sites/default/files/WIC-Fact-Sheet.pdf,] [5: USDA, FNS, Office of Research and Analysis, National Survey of WIC Participants II Volumes I –IV, by Gary Huang, Daniel M. Geller et al., ICF Macro. Project Officers: Karen Castellanos-Brown and Sheku Kamara, FNS, Alexandria, VA: 2012. Download full reports at: http://www.fns.usda.gov/ora/ .]

WIC-Authorized Vendors In addition to the numerous services provided to families through the program, WIC LAs and clinics also provide food instruments (FI) to participants, based on their prescribed food packages,[footnoteRef:6] which are used to purchase nutritious supplemental foods at more than 43,000 authorized vendors.[footnoteRef:7] Vendors are “authorized by the State agency to provide authorized supplemental foods to participants under a retail food delivery system.”[footnoteRef:8] Participants also receive Cash Value Vouchers/Benefits (CVVs/CVBs) with a fixed dollar amount for purchasing fruits and vegetables. All prescribed food benefits come in the form of either a “paper voucher, electronic benefit transfer (EBT) card, or other document which is used by a participant to obtain authorized foods.”[footnoteRef:9] [6: Food and Nutrition Service (2016). “WIC Food Packages – Maxmimum Monthly Allowances.” United States Department of Agriculture. http://www.fns.usda.gov/wic/wic-food-packages-maximum-monthly-allowances] [7: Food and Nutrition Service. The Integrity Profile. FY 2016 data.] [8: 7 C.F.R. Special Supplemental Nutrition Program for Women, Infants and Children §246.3] [9: 7 C.F.R. Special Supplemental Nutrition Program for Women, Infants and Children §246.2]

WIC Participants By April 2014, the latest biennial WIC Participant and Program Characteristics Report (WIC PC 2014) stated that 53.3% of WIC participants (those persons on WIC master lists or persons listed in WIC operating files who are certified to receive WIC benefits in April 2014)[footnoteRef:10] were children (ages 1 to 4), with infants and women accounting for 23.0% and 23.6% of participants, respectively.[footnoteRef:11] Women participants were categorized as pregnant (9.6%), postpartum (6.6%), or breastfeeding (7.4%). Further, more than 85% of pregnant women in WIC were between 18 and 34 years of age.[footnoteRef:12] Among all WIC participants in WIC PC 2014, 58.7% were identified as White only, 20.3% as Black or African American only, 11.1% as American Indian or Alaska Native only, and 4.1% as either Asian only or Native Hawaiian or Other Pacific Islander. In 2014, 41.6% of WIC participants were reported as Hispanic/Latino.[footnoteRef:13] [10: Thorn, B., Tadler, C., Huret, N., Trippe, C., Ayo, E., Mendelson, M., Patlan, K. L., Schwartz, G., & Tran, V. (2015). WIC Participant and Program Characteristics 2014. Prepared by Insight Policy Research under Contract No. AG‐3198‐C‐ 11‐0010. Alexandria, VA: U.S. Department of Agriculture, Food and Nutrition Service. Page ii.] [11: Ibid Page. iv.] [12: Ibid Page iv.] [13: Ibid Page v.]

Trends in Program Coverage Using data from the American Community Survey, FNS estimated that the average monthly WIC-eligible population totaled 15.06 million in 2015.[footnoteRef:14] In an average month of 2015, WIC served an estimated 52.7% of those eligible for WIC. Coverage rates for WIC-eligible infants (77%) and non-breastfeeding women (89%) were highest among WIC participant subgroups in 2015. The coverage rate for WIC-eligible children was 44 percent.[footnoteRef:15] The preliminary estimate of total average monthly participation of women, infants, and children in the program during fiscal year 2017 was about 7.3 million.[footnoteRef:16] [14: U.S. Department of Agriculture, Food and Nutrition Service, Office of Policy Support. National- and State-Level Estimates of Special Supplemental Nutrition Program for Women, Infants, and Children (WIC) Eligibles and Program Reach, 2015, by Carol Trippe, Christine Tadler, Paul Johnson, Linda Giannarelli, and David Betson. Project Officer: Grant Lovellette. Alexandria, VA: February 2018.] [15: Ibid.] [16: Food and Nutrition Service (2017). “WIC Program Participant and Costs: FY 1974 - 2016”. United States Department of Agriculture. Data as of February 3, 2017. Available at: http://www.fns.usda.gov/pd/wic-program]

Barriers to Enrollment and Continued Participation The WIC program reaches millions of women, infants, and children at nutritional risk through its LAs, clinics, and authorized vendors. Despite this success, many individuals eligible for the program do not enroll, and many who have initially certified do not continue participation. Half of women surveyed between 2008 and 2009 for the Second National Survey of WIC Participants (NSWP-II) were first-time WIC participants.[footnoteRef:17] Of the first-time WIC participants who had previous pregnancies, the majority (61%) reported that the biggest factor affecting their participation earlier was that they didn’t know about the program. Many women surveyed did not believe they qualified categorically (37%) or by income (27%). Other cited reasons for nonparticipation included WIC services taking “too long,” lack of transportation to WIC clinics and sites, scheduling difficulties, and problems qualifying for benefits. Study participants (n = 2,532) also mentioned further reasons why others might not participate in WIC, including: no knowledge of WIC (26.3%); problems qualifying (17.8%); services take too long (10.5%); don’t need food benefits (6.9%), lack of transportation (6.3%), difficulty keeping appointment (4.9%), immigration problems (4.6%), inconvenient hours/days (3.8%), language barriers (2.3%), limited waiting space (1.6%), don’t like food selection (0.8%), lack of child care (0.6%), WIC foods hard to find on shelves (0.4%), WIC food stores inconvenient hours/days (0.3%), and other reasons (4.1%). [17: USDA, FNS, Office of Research and Analysis. National Survey of WIC Participants II Volumes I-IV. by Gary Huang, Danielle M. Geller, et al., ICF Macro. Project Officers: Karen Castellanos-Brown and Sheku Kamara, FNS, Alexandra, VA: 2012. ]

Women in the NSWP-II were also surveyed about their satisfaction with the food package benefits they receive. While the foods purchased through WIC benefits were highly rated, some survey respondents had not purchased certain WIC foods regularly. The most commonly cited reason for not redeeming food instruments was a dislike for a particular food, while others noted not needing a particular food item.[footnoteRef:18] An interim rule, implemented in 2009, revised regulations to WIC food packages in order to align them more closely with updated nutrition science and the infant feeding practice guidelines of the American Academy of Pediatrics, as well as to provide culturally diverse food options.[footnoteRef:19] [18: Ibid. Page 35.] [19: Special Supplemental Nutrition Program for Women, Infants, and Children (WIC): Revisions in the WIC Food Packages; Interim Rule.” 7 CFR Part 246, Part II.]

A final rule, published in 2014, clarified provisions set forth in the interim rule.[footnoteRef:20] Some evidence suggests a high degree of satisfaction with revised food packages among WIC participants, yet opportunities to enhance the experience with these food packages remain. For example, a study of nearly 3,000 California WIC participants reported that, while a majority of participants were satisfied with new WIC foods (91.3%) and the reduced amounts in the new food packages (82.7%), over 13% of participants reported difficulty using new checks.[footnoteRef:21] Qualitative focus groups with 74 WIC participants in Wisconsin also found general satisfaction with the revised food packages though some reportedly felt unprepared for the changes.[footnoteRef:22] [20: “Special Supplemental Nutrition Program for Women, Infants and Children (WIC): Revisions in the WIC Food Packages; Final Rule,” 7 CFR Part 246, Volume 79 Federal Register Number 42. Summary. March 4, 2014. Page 12274.] [21: Ritchie, L. D., Whaley, S. E., & Crocker, N. J. (2014). Satisfaction of California WIC participants with food package changes. Journal of Nutrition Education and Behavior, 46(3 Suppl), S71-S78.] [22: Gleason, S., & Pooler, J. (2011). The Effects of Changes in WIC Food Packages on Redemptions. Alexandria, VA: Altarum Institute. Page 32.]

Redemption of food instruments at authorized vendors is a major part of participants’ experiences using WIC. Most survey respondents rated the stores where they shop as either excellent, very good, or good, and factors that drive survey respondent’s choice of where to shop included convenience/location, price/expense, product availability, and staff friendliness, among other factors.[footnoteRef:23] Other behavioral economic work has explored how the process of shopping for WIC approved foods, notably dissatisfaction with available WIC-approved foods and locating those foods within stores, impacts client satisfaction with program experiences.[footnoteRef:24] Formative qualitative work in Minnesota highlighted confusion and frustration among current and former WIC participants as they attempted shopping for WIC approved foods and negative interactions with cashiers at checkout.[footnoteRef:25] Early, unpublished findings from a statewide effort in the southwestern United States revealed that many respondents said they would return to WIC if their grocery store/shopping experience was better and easier. [23: U.S. Department of Agriculture, Food and Nutrition Service, Office of Research and Analysis, National Survey of WIC Participants II: Participant Characteristics Report, by Daniel M. Geller, Ph.D., et al. Project Officer: Sheku G. Kamara, Ph.D., Alexandria, VA: 2010. Pgs. 32-40.] [24: Ammerman, A., De Marco, M., Harding, M., Hartman, T., & Rhode, J. (2015). Buying Wiseley and Well: Managing WIC Food Costs While Improving the WIC Customer’s Shopping Experience. Duke-UNC USDA Center for Behavioral Economics and Health Food Choice Research. Sanford School of Public Policy, Duke University. www.BECR.org. pages 1-6.] [25: Huynh, Denise. (2013). Women, Infants, and Children (WIC): Awareness, Experience, and Access. Wilder Research. St. Paul, Minnesota. http://www.health.state.mn.us/wic/wilder/report.pdf. Page 26. ]

Earlier studies point to a range of participant perceptions and experiences about the clinic experience that may serve as barriers to program retention. Those studies identified confusion about eligibility, a reluctance to accept government assistance, enrollment problems, and negative perceptions about WIC clinic visits, including long wait times and poor treatment as potential barriers.[footnoteRef:26] Reasons why enrolled mothers fail to retrieve their WIC food instruments from a clinic in New York City include time conflicts with jobs and issues related to transportation or illnesses.[footnoteRef:27] NSWP-II found that while nutrition education occurs at almost all LAs, the format and time required for nutrition education contacts varies,[footnoteRef:28] which might have an impact on WIC participation if participants perceive the time commitment to be too great or burdensome. Exploring the benefits of or developing new technological innovations to WIC services could both directly address cited barriers to participation, such as time constraints, as well as enhance participant satisfaction with services provided and benefits experienced. [26: Bryant, C., Lindenberger, J., Brown, C., Kent, E., Schreiber, J. M., Bustillo, M., & Canright, M. W. (2001). A social marketing approach to increasing enrollment in a public health program: A case study of the Texas WIC program. Human Organization, 60(3), 234-246.] [27: Rosenberg, T. J., Alperen, J. K., & Chiasson, M. A. (2003). Why do WIC participants fail to pick up their checks? An urban study in the wake of welfare reform. American journal of public health, 93(3), 477-481.] [28: Ibid.]

Retention & Participation Many SAs are implementing strategies to increase retention, in particular child retention, in WIC site and retail environments. Sixty-four SAs had implemented a one-year certification option for children by 2015, which means that there are fewer visits to the clinic to determine eligibility to receive WIC benefits. Partnerships, memoranda of understanding, and other collaborations between WIC SAs and programs such as Head Start and the Child and Adult Care Food Program (CACFP) have explored ways in which eligibility and enrollment procedures can be coordinated across programs.[footnoteRef:29] Awareness campaigns have crafted information materials to inform WIC-eligible individuals about the benefits of WIC, using messaging crafted from formative research with current and former participants as well as WIC staff.[footnoteRef:30] Participant-focused interventions in New York State explored how participant assistance during shopping experiences and food instrument utilization impacts retention rates among children, comparing control agencies with intervention agencies; tested strategies included a shopping orientation curriculum, pictorial foods card, and a guided shopping tour at local WIC vendors.[footnoteRef:31] Two intervention sites showed significant increases in paper food instrument utilization rates, and a number of vendors saw improvements in how often vendor staff had conflicts or disagreements with a WIC customer about invalid paper food instruments, distinguishing WIC “acceptable” from “not allowed” foods, and the availability and variety of WIC foods at their stores.[footnoteRef:32] [29: Martin, K. S., Wolff, M., Lonczak, M., Chambers, M., Cooke, C., & Whitney, G. (2014). Formative Research to Examine Collaboration Between Special Supplemental Nutrition Program for Woman, Infants, and Children and Head Start Programs. Maternal and child health journal, 18(1), 326-332.] [30: Food and Nutrition Service (2014). “Summary of WIC State Agency Strategies for Increasing Child Retention.” United States Department of Agriculture. https://wicworks.fns.usda.gov/sites/default/files/uploads/ChildRetentionStrategiesReport.pdf] [31: Ibid.] [32: Sekhobo, J., Edmunds, L., & Peck, S. (2015). “2010 WIC Special Project Grant (WISP-10-NY) NY WIC Retention Promotion Study: Keep, Reconnect, Thrive.” New York State Department of Health. ]

FNS-Funded Grants and Research Since 2000, FNS has awarded WIC Special Project Grants, on a competitive basis through a Request for Applications (RFA), to State WIC Programs. These grants are awarded to fund innovative projects that have the potential to improve and enhance the WIC Program.[footnoteRef:33] In 2016, awarded Special Project Grants focused on retention of children participating in WIC to six State Agencies (Georgia, Mississippi, Pennsylvania, Puerto Rico, South Carolina, and Virginia).[footnoteRef:34] [33: Food and Nutrition Service. “Women, Infants, and Children (WIC): WIC Special Project Grants.” Online. https://www.fns.usda.gov/wic/wic-special-project-grants. Accessed August, 14, 2017.] [34: Food and Nutrition Service. “FY 2016 WIC Special Project Grants: Full and Mini Grants.”https://www.fns.usda.gov/wic/2016-wic-special-project-grants. Accessed August, 14, 2017. ]

In 2017, the Special Project Grants focus on optimizing WIC service delivery, whereby grantees will test strategies to improve the delivery of WIC services and the customer experience in the program.[footnoteRef:35] Four State Agencies were awarded grants in 2017. Full grants were awarded to Arizona WIC’s test of online group nutrition education and Texas WIC’s creation of an online 24/7 communicator called ChatBot. Mini grants were awarded to South Dakota to offer cooking classes at a local college and to Arkansas WIC to combine breastfeeding support in a healthy community coordinator program in a rural area of the state.[footnoteRef:36] [35: Food and Nutrition Service. “FY 2017 WIC Special Project Grants: Full and Mini Grants.” https://www.fns.usda.gov/wic/fy-2017-wic-special-project-grants Accessed August 18, 2017.] [36: https://www.fns.usda.gov/pressrelease/2018/fns-000218]

FNS also funds other WIC-focused innovative research. Previously, the USDA Center for Collaborative Research on WIC Nutrition Education Innovations[footnoteRef:37] at the Baylor College of Medicine promoted innovative and high-quality research that designed, implemented, and evaluated WIC-based nutrition education interventions to improve nutrition behaviors; projects funded by this work included evaluating the effectiveness of two-way texting to mothers about breastfeeding education and communication with breastfeeding counselors, comparing online to clinic-based modes of nutrition education, promotion of fruit and vegetable consumption through online WIC nutrition education, and pediatric office-based interventions to strengthen parents’ abilities to form realistic expectations and better recognize baby sleeping and crying patterns.[footnoteRef:38],[footnoteRef:39] The Rural Child Poverty Nutrition Center[footnoteRef:40] at the University of Kentucky aims to reduce child food insecurity by improving program coordination among USDA-FNS Child Nutrition and nutrition assistance programs including WIC. The Center for Behavioral Economics and Healthy Food Choice Research,[footnoteRef:41] a joint effort between Duke University and University of North Carolina at Chapel Hill, conducts behavioral economics research aimed at improving the food choices of SNAP and WIC participants. While related, it is expected that the work, products, and deliverables resulting from PRIL will be distinct from the work of these other research efforts. The goal of PRIL is to support and evaluate enhancements to WIC clinic services and/or retail experiences that are expected to measurably improve retention rates. [37: https://www.bcm.edu/departments/pediatrics/sections-divisions-centers/childrens-nutrition-research-center/research/wic-nutrition-education] [38: Cullen, K.W., Thomspon, D., Dave, J.M., Chen, A, White, M., Bradford, F. (2017). “The Center for WIC Nutrition Education Innovations at the USDA/ARS Children’s Nutrition Research Center, Baylor College of Medicine: Final Technical Report.” https://media.bcm.edu/documents/2017/50/bcm-wic-project-final-report-071117.pdf. Accessed August 14, 2017. ] [39: https://www.bcm.edu/departments/pediatrics/sections-divisions-centers/childrens-nutrition-research-center/research/wic-nutrition-education] [40: http://www.rcpnc.org/] [41: https://becr.sanford.duke.edu/]

II. FEDERAL AWARD INFORMATION

Funding

The grant will be awarded on a competitive basis, subject to the availability of federal funds. Approximately $2 million is available for funding this opportunity. We will accept one application package per applicant. The Grantee will be responsible for utilizing their awarded amount (1) to carry out a competition to award sub-grants to WIC local agencies or clinics to design and implement, in collaboration with the Grantee, interactive tools, technical resources, or practical solutions that help support participation and retention among those participating in WIC, (2) to evaluate the interventions, and (3) provide evaluation-related technical assistance to recipients of WIC Special Project, or similar, Grants as needed to support their evaluation of funded interventions. This grant award is contingent upon the availability of Federal funding.

Cooperative Agreement This grant will be awarded in the form of a cooperative agreement. This agreement is a legal instrument reflecting a relationship between the Federal government and the Grantee. Cooperative agreements will allow more involvement and collaboration by FNS in the project compared to a grant, and they provide less direction of project activities than a contract. The roles and responsibilities of both the Grantee and FNS will be stated in the terms and conditions of the cooperative agreement.

FNS’s involvement in this cooperative agreement will largely entail reviewing and providing feedback on proposed deliverables and other sources of dissemination of best practices learned from these efforts, such as proposed publications and presentation materials.

Purpose of Cooperative Agreement The Grantee (Recipient) shall work cooperatively with FNS to:

1) Develop and manage a competitive sub-grant award process to WIC local agencies (LAs) or clinics to design and implement interventions expected to enhance participant experiences and improve retention. The purpose of the sub-grants is to provide resources to WIC local agencies that propose, and have the capacity to implement, an innovative strategy in keeping with the goals described above. The Grantee shall propose and justify a specific focus for the sub-grants that fits within the scope described in Priority Areas. While FNS anticipates 3-5 sub-grants to local agencies, Applicants shall propose their target number and scale of sub-grants. The Grantee will select, award, monitor, and evaluate the sub-grantee’s intervention in collaboration with the sub-grantee.

a) The Grantee will develop a competitive Request for Proposals (RFP) process. The RFP will describe the opportunity, explain eligibility for the sub-grants, and establish evaluation criteria for the award. The Applicant to this RFA shall describe and justify their focus area for the competitive RFP sub-grant award process they plan to administer, their evaluation criteria for selecting LA sub-grantees, their plans for promoting the opportunity among LAs, and their plans for managing and collaborating with sub-grantees upon award. At a minimum, each sub-grantee (WIC local agency) must use the funds to (1) design and implement an intervention that addresses WIC participant experiences in either WIC service delivery sites or retail environments (or both) and is expected to improve child retention and (2) collaborate with the Grantee to evaluate the intervention’s effectiveness. State and regional diversity should be considered when selecting sub-grantee local agencies. The RFP shall require that, at a minimum, proposals include the following:

· A concise description of the intervention solution/strategy to be implemented and how it fits into PRIL’s overall focus area as presented to FNS;

· A description of the populations served by the sub-grantee applicant, including how the proposed intervention reflects the social and cultural environment relevant to the populations served and how they relate to retention and participation. Review of research about personal factors, perceptions, attitudes, and beliefs of WIC participants and WIC-eligible individuals that informs the proposed intervention is encouraged;

· Documentation of support from the relevant WIC State Agency, e.g. Memorandum of Understanding;

· A description articulating whether the sub-grantee is able to implement an intervention in a randomized fashion or with comparison and treatment groups;

· A commitment to providing the data needed to evaluate implemented solutions/strategies to PRIL;

· Documentation of procedures used to maintain the quality and integrity of all data and analyses; and,

· Demonstrated compliance with Federal Program Regulations for all proposed strategies/solutions.[footnoteRef:42] [42: https://www.fns.usda.gov/sites/default/files/wic/WICRegulations-7CFR246.pdf]

b) Prior to selection of sub-grantees, the Grantee will submit to FNS summaries of all proposals submitted by those applying for sub-grants and discuss the proposals with FNS. At a minimum, the summaries shall include the name of local agency and their point-of-contact for the project, award amount, and a brief description of the sub-grantees’ timeline and proposed intervention.

c) After sub-grantees are selected, the Grantee will submit updated summaries of selected sub-grantee projects for publication on FNS’s website and host a web-based Post-Competition Project Meeting. The Grantee will coordinate a web-based Post-Competition Meeting whereby the Grantee and sub-grantees present the projects they will implement. FNS will provide feedback during this meeting and through subsequent communications.

2) Evaluate the sub-grantee interventions. In collaboration with sub-grant awardees, the grantee will execute a rigorous evaluation of implemented strategies/solutions that documents impact, if any, on child retention as a primary outcome. This requires a clear operational definition of child retention established before implementation. Grantee applications shall articulate this definition as well as their approach to collaboratively developing an evaluation plan with awarded sub-grantees. Other measures shall be included in the evaluation to capture relevant proximal outcomes and process metrics; all included process variables and outcomes must be clearly measured.

a) Work collaboratively with sub-grantee recipients to design the intervention to support rigorous evaluation. An evaluation plan submitted to and approved by FNS is required for evaluating sub-grantee projects within three months of awarding sub-grants. The evaluation plan will outline the study design, outcomes to evaluation with operational definitions clearly stated, and a timeline outlining specific implementation and evaluation milestones.

b) Secure institutional review board (IRB) approval as needed to carry out evaluation-related data collection activities.

c) Use (or develop) validated instruments and sound methodological and statistical methods to conduct the evaluation.

d) Provide LA sub-grantees with evaluation results to inform practices and reporting.

3) Disseminate findings broadly among the WIC research (academic) and WIC practitioner communities. At a minimum, FNS requires submission of the following reports: annual reports; quarterly reports; a final report white paper to be publicly released in coordination with FNS; and at least one submission to a peer-reviewed journal. The final report white paper shall describe the supported sub-grantee projects, the approach to evaluation including methodology and any guiding theories or frameworks, results of the implemented evaluation, and a discussion of strengths, limitations, and possible next steps in research and dissemination. The white paper will include an executive summary. FNS encourages the Grantee to present research findings at academic and professional conferences. The Grantee is also encouraged to participate in committees, working groups, communities and forums where WIC participant research and maternal, child, infant, and family health services are discussed.

a) For internal use and informational purposes, the Grantee shall provide FNS with an electronic copy of all manuscripts and other dissemination materials (for example, outreach materials and documents, Powerpoint slides, demonstration and operational versions of applications) resulting from this grant and sub-grant activity at the time of submission for publication and in final form when published.

b) FNS encourages PRIL to host periodic meetings with sub-grantees to discuss any issues related to project implementation and evaluation, especially issues related to data collection. FNS also encourages PRIL to host web-based Roundtable Sessions to convene periodic discussions with other researchers on the topic of innovations in participant research, especially among other local agencies and with other programs that also serve women, infant, and child populations.

c) PRIL will host a web-based Post-Implementation Project Meeting whereby the Grantee and its sub-grantees will present on their projects and summarize initial findings from their work.

d) All reports and manuscripts generated by efforts funded through this Cooperative Agreement must be reviewed by FNS before general distribution or submission to peer review for publication in scientific journals. Reports to be published by FNS on the USDA webpage require FNS review and clearance. Manuscripts that include the FNS point-of-contact as a co-author (where appropriate based on authorship guidelines) must be reviewed and cleared by FNS before submission to peer-review for scientific journals.

4) Provide ongoing evaluation-related technical assistance to WIC agencies carrying out relevant interventions supported by WIC Special Project Grants or other, similar, awards. The recipient of this grant will use their demonstrated technical and subject matter expertise to provide assistance to other WIC agencies working to increase child retention. The application should provide evidence attesting to the Applicant’s ability to provide technical assistance to agencies that were awarded 2017 WIC Special Project grants. The purpose of technical assistance is to support evaluation of interventions and programs funded by WIC Special Project Grants or other awards and can include, but is not limited to: recommendations for rigorous evaluation designs, sample size estimations and sampling frame development, consultation on, identification of and/or construction of validated information collection instruments relevant to these efforts and targeted WIC populations, analysis of evaluation data, and development of reporting materials. The Applicant will describe and document previous experiences providing technical assistance to public, service-providing agencies or similar entities, including but not limited to WIC State and/or local agencies.

5) Sponsor and coordinate two in-person conferences at FNS headquarters in Alexandria, VA: an Orientation meeting at the beginning of the cooperative agreement period and a Closeout session at the project’s completion.

a) The Orientation Meeting shall be held within 30 days after award. Personnel will present information on the chosen focus area for the competitive RFP process and possible intervention strategies with FNS. The Grantee will also present an updated administration plan for the competitive RFP process. FNS staff will provide input during the presentation and subsequently on any materials generated for the meeting via email. Additionally, potential evaluation strategies will be presented.

b) The Closeout Session shall be held toward the end of the grant period and will include presentations of project findings, successes achieved through grant-funded efforts, problems encountered with implementing WIC participant research, and other lessons learned from completing this project. PRIL’s researchers will provide FNS the presentations (e.g., PowerPoint slideshows) after the conference. Any required administrative grant closeout procedures, if needed, may be completed at this time.

Priority Areas Based on this cooperative agreement, FNS does not anticipate any expansion of WIC program authorities or new funds to adopt, implement, and monitor efforts to increase program retention.

FNS is particularly interested in innovations and replicable interactive tools, technical, or other practical solutions that support positive WIC participant experiences and retention in the program, especially in clinic and vendor environments, without the need for new, ongoing funding.

Examples of approaches that may be explored include but are not limited to:

· Interactive tools that help overcome participant confusion with purchasing WIC approved foods or stigma associated with experiences at vendors, or other tools or resources that make the purchasing experience better;

· Interactive tools that can be shown to effectively coordinate scheduled clinic appointments, nutrition education, and food benefits information for participants;

· Technical resources that effectively train vendor staff on providing high-quality service to WIC participants and;

· Technical resources that help local WIC staff design more effective communication strategies to ensure eligible nonparticipants are aware of the program and their eligibility.

Award Period and Project Timeline

FNS plans to announce the selected Grantee by August, 2018 and enter into a cooperative agreement with the said Grantee by August 2018. The Grantee will be allowed to use the funds consistent with its application plans. Applicants may apply for funds for three years with an end date no later than September 30, 2021.

Program Specific Requirements

Applicants must demonstrate the following program specific requirements in their proposals:

1. Experience with and/or capacity for designing, implementing, and coordinating a competitive RFP process that solicits proposals from local WIC agencies. All applications must clearly articulate an administration plan for awarding competitive sub-grants to local WIC agencies;

2. Experience conducting high-quality evaluations in partnership with WIC or similar public health agencies, as evidenced by reports, publications, and/or other materials (while an evaluation plan is not required in the proposal to this RFA, the Grantee will be required to submit a formal evaluation plan to FNS once competitive sub-grants are awarded to LAs);

3. Knowledge about personal factors, attitudes, and beliefs of WIC participants and WIC-eligible individuals, and their social and cultural environments, that relate to retention;

4. Experience with and/or capacity for providing high-quality, evaluation-based technical assistance to WIC and other public health agencies and to community practitioners;

5. A dissemination plan that presents broad dissemination strategies as well as projects that clearly stipulate how products of research could be used with SA and LA partners across geographies;

6. Description of the expected set of final deliverables that will be submitted and/or published by the Grantee during and at the end of the Cooperative Agreement. All reports or products generated by efforts funded through this Cooperative Agreement are subject to review by FNS before publication. This includes review of manuscripts (with inclusion of the FNS point-of-contact as a co-author where appropriate based on authorship guidelines) before submission to peer-review for scientific journals, communications materials meant for general and WIC audiences about the research, and other items;

7. All applications must address how the findings will be disseminated to stakeholders (policy officials, state and local agencies and their staff) and the academic community, and dissemination plans must meet the requirements as specified later in this RFA.

8. Inclusion of subject matter experts on WIC retention strategies is encouraged. In addition, local agency staff members should be included as subject matter experts in the design of evaluation strategies, any data collection instruments, engagement or recruitment materials, and the like.

9. All applications must provide a clear timeline for carrying out all proposed activities and demonstrate evidence of planning to meet other Grant requirements as specified in this RFA.

FNS. To the extent practicable, FNS is available to provide technical consultation to the Grantee as needed. FNS will comment on major project aspects and issues in advance of their implementation in a manner and timeframe agreed upon between the Grantee and FNS.

At FNS’s discretion, FNS involvement with the Grantee may include:

1. Providing comments on and having ongoing conversations with the Grantee regarding their plans to meet this RFA’s requirements;

2. Reviewing administration, dissemination, and evaluation (once designed) plans associated with research projects performed at local WIC agencies funded by this cooperative agreement;

3. Approving the date and time of the in-person two conferences;

4. Approving the agendas for the in-person two conferences;

5. Reviewing and co-authoring manuscripts;

6. Receiving a courtesy copy of all Grantee-produced documents (e.g. Final report, peer-reviewed publication upon submission) resulting from this cooperative agreement.

Grantee. The Grantee is the public or private, academic or nonprofit research institution that will be selected competitively based on the merits of its application to operate the project. The Grantee has overall responsibility for administering the competitive RFP award system, coordinating project implementations, and evaluating project success, providing evaluation-related technical assistance, and reporting.

The Grantee shall:

1. Select or hire appropriately credentialed personnel to manage and operate project components;

2. Delegate responsibilities to their staff or other partners as appropriate;

3. Conduct appropriate training and provide necessary support for staff and other partners to successfully handle project responsibilities. These responsibilities include, but are not limited to:

a. providing data on participating WIC agencies and organizations to FNS;

b. coordinating site visits to participating sites for FNS if requested; and,

c. fulfilling obligations to FNS;

4. Keep FNS informed on critical junctures and checkpoints after award of cooperative agreement, including management plan, budget, administration plan, dissemination plan that are submitted in preliminary form in the application, as well as evaluation plans once developed after award of sub-grants and the management and staffing plans discussed later in this RFA;

5. Meet specific obligations and approval points as specified by the cooperative agreement;

6. Submit timely progress reports, financial reports and annual reports throughout the award period, and submit a final progress report and final financial report;

7. Attend progress meetings via teleconference as needed;

8. Account for project funds separately from federal food and nutrition assistance administrative funds and establish financial and managerial reporting and controls to assure project funds are not commingled or used inappropriately. A separate and distinct audit trail must be established and maintained for the expenditure of project funds that clearly demonstrates that they are used solely for project purposes;

9. Provide FNS with any data files created and used to generate reports, presentations, and publications resulting from this grant. Such data shall be accompanied with analytic code, output files, and codebooks and other applicable documentation sufficient for FNS to replicate analyses;

10. Carry out all activities necessary to fulfill the items as described in the “Purpose of Cooperative Agreement” section;

11. Coordinate other grant-related dissemination activities;

12. For internal use and informational purposes, provide FNS with an electronic copy of all manuscripts resulting from this work at the…