wic spg full grant rfa-final fy2011.pdf

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FY 2011 WIC SPECIAL PROJECT GRANTS

REQUEST FOR APPLICATIONS FOR

FULL GRANTS

(APPLICATION A)

Applications Deadline Due: April 29, 2011

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SPECIAL SUPPLEMENTAL NUTRITION PROGRAM

FOR WOMEN, INFANTS, AND CHILDREN (WIC)

FY 2011 SPECIAL PROJECT GRANTS

REQUEST FOR APPLICATION (RFA)

FULL GRANTS

INTRODUCTION

The USDA Food and Nutrition Service (FNS) plans to have up to approximately

$3,000,000 in fiscal year (FY) 2011 funds available for Special Project Grants to WIC

State agencies, subject to appropriation. Grant funds will be available only to the 90

WIC State agencies responsible for administering WIC in the States, Territories, and

Indian Tribal Organizations (ITOs).

There are two types of WIC Special Project Grants: Full Grants and Concept Paper

Development Grants. This RFA (Application A) is for Full Grants only. A separate RFA

(Application B) is available for State agencies planning to submit a proposal for developing a concept paper as a basis for applying for a Full Grant using FY 2011 funds, pending availability of funds.

FNS anticipates making up to six Full Grant awards in FY 2011, ranging from $200,000 to $400,000 each, depending on the number and quality of applications received and requested budget amounts.

FNS reserves the right to reduce, increase, or revise proposed budgets based on the availability of funds. FNS also reserves the right to cancel this RFA in whole or in part if funds are not available.

FY 2011 WIC Special Project Full Grants are open to consideration in all WIC-related program areas and may focus on either general WIC Program issues or those issues related to specific categories of WIC participants (please see Attachment 1 of the RFA).

However, the following focus areas are of particular interest to FNS for FY 2011:

1) Retention of children participating in WIC.

This focus area is intended for applicants who would like to implement and evaluate innovative strategies for retaining children (ages 1 through 4 years) currently participating in WIC.

2) Client-Centered Nutrition Education.

Building on the Value Enhanced Nutrition Assessment (VENA) competencies

(critical thinking, rapport building, and utilizing a health-outcome based assessment), FNS is interested in projects that integrate VENA skills and principles to deliver relevant client-centered nutrition services (education, referrals, follow-up) that focus on WIC participants’ identified needs and concerns. Grant proposals in this area should use grant funds to develop and evaluate interactive client-centered nutrition services that build upon VENA (for further background on VENA see http://www.fns.usda.gov/wic/vena/venaexecsum.pdf).

3) Increasing redemption of Cash Value Vouchers (CVV).

Current data suggest that the CVV is not being fully used by participants. EBT data from 2 State agencies indicate CVV redemption rates of approximately 70-80 percent. This focus area is intended to examine innovative ways to expand and promote redemption of the CVVs by a greater percentage of participants and redemption at their full value.

Grants should be used to help State agencies develop, implement and evaluate new or innovative methods to meet the changing needs of WIC participants (see Focus Area for

Full Grants in Attachment 1). Abstracts of WIC Special Project Grants awarded from

1995 to 2010 can be found at http://www.fns.usda.gov/wic/benefitsandservices/specialprojects.htm

FNS will consider grant applications proposing to evaluate focus areas other than the ones listed above as long as the projects are aimed at helping State agencies develop, implement and evaluate new or innovative methods of service delivery to meet the changing needs of WIC participants. For example, ideas stemming from the Planning a

WIC Research Agenda conference will be considered

All Grant Projects should:

- Demonstrate national or regional significance,

- Produce results which have a demonstrable impact and are sustainable in the absence of special funding,

- Be transferrable to other WIC Programs in the region or nationally,

- Be evaluated with measurable results and can be replicated by other WIC

Programs, and

- Suggest innovative or creative approaches to improving the delivery of WIC services.

FNS is particularly interested in evaluations with realistic goals and objectives tied to specific, measurable outcomes (see Section III: Project Design and Implementation under ―GRANT APPLICATION FORMAT AND REQUIREMENTS‖ on page 12 for details and examples). FNS is also especially interested in projects that utilize the WIC

Works Resource System to disseminate information/resources.

At the request of the Food and Nutrition Service, in July 2010 the Institute of Medicine held a workshop:

“Health Impacts of WIC — Planning a WIC Research Agenda” [see final report at http://www.iom.edu/Reports/2010/Planning-a-WIC-Research-Agenda.aspx]. While some proposed ideas are too large to fit within the Special Project Grants framework, other proposed ideas could be conducted as a WIC Special Project Grant.

http://www.fns.usda.gov/wic/vena/venaexecsum.pdf http://www.fns.usda.gov/wic/benefitsandservices/specialprojects.htm

The most appropriate grant proposals will be those that: (1) include a clear description of the planned project or intervention and how it would address its focus area; (2) include major goals, and clearly defined objectives and outcome measures of the project; (3) explain how the project would be implemented and discuss its sustainability and transferability; and (4) indicate plans for a rigorous evaluation component.

It is recommended that preparers of applications review the evaluation criteria listed in the RFA for further guidance on what should be included in the application.

State agencies may not submit more than one proposal for a Full Grant, although an individual State agency may submit one proposal for a full grant and a second proposal for a concept paper development grant for a different project.

Grants may be awarded to individual State agencies or to a consortium of WIC State agencies, as long as one of the agencies is designated the lead agency. FNS encourages smaller State agencies and ITOs to consider collaborating with other WIC State agencies or ITOs on grant applications. FNS also encourages applicants to consider collaborating with universities or research institutions to bring specific expertise for developing grant applications and projects. Individual State agencies may submit only one application for a Full Grant per year. If a State agency submits an application as part of a consortium of agencies, it may not also submit a separate individual application. State agencies that were awarded FY 2010 Concept Paper Development funds last year must submit applications for the FY 2011 WIC Special Project Full Grants. State agencies that did not apply for, or applied for but did not receive, FY 2010 Concept Paper development funds last year are allowed to apply for FY 2011 WIC Special Project Full Grant funding.

State agencies may use the grant funds for the duration of the project period, not to exceed four years. Most special project grant activities must be completed no later than

September 30, 2014 (see ―Terms and Conditions of Award‖ for more information). All grants under this solicitation will be awarded as cooperative agreements. FNS will require State agencies to submit a quarterly SF-425 as well as a final SF-425 to report each project’s financial status. In addition, quarterly performance/progress reports as well as a final report will be required. A timeline delineating key milestones and due dates for the grant period is provided as Attachment 7 to this RFA.

Direct questions regarding this RFA to Leslie Byrd, Grants Officer, Grants & Fiscal

Policy Division, Food and Nutrition Service, USDA, at (703) 305-2867 or email

Leslie.Byrd@fns.usda.gov mailto:Leslie.Byrd@fns.usda.gov

APPLICATION PROCEDURES

ALL APPLICATIONS MUST BE RECEIVED BY FNS

NO LATER THAN 5:00 PM EASTERN DAYLIGHT SAVING TIME ON

FRIDAY, APRIL 29, 2011.

FAXED AND E-MAILED APPLICATIONS WILL NOT BE ACCEPTED

Full papers must meet the following guidelines for consideration:

1. Electronic Application Submission Through Grants.Gov. :

Applicants may only apply for this opportunity directly through the website www.grants.gov. Only WIC State agencies are eligible to apply.

2. The number of pages for the entire Application should be no more than 25 pages, excluding appendices, with narrative in a font size no smaller than 12 point. Appendices may not exceed 15 pages, for a total application package of not more than 40 pages.

3. State agencies must submit an application package which includes a grant application, a Standard Form 424, APPLICATION FOR FEDERAL

ASSISTANCE, Standard Form 424A, BUDGET SUMMARY, Standard Form

424B, ASSURANCES, and the additional certifications as included in the attachments to this solicitation document. The regulations governing the attached certification (i.e., Certification Regarding Lobbying) require that a grantee submit the required certification with each new submission of a grant at the time of application.

4. The complete application package must be uploaded on www.grants.gov on or before Friday, April 29, 2011 at 5:00 PM, Eastern Daylight Savings time.

Applications received after the deadline date and/or time will be deemed ineligible and will not be reviewed or considered. FNS WILL NOT consider any additions or revisions to applications once they are received. FNS will not accept mailed or hand-delivered applications.

5. There is a requirement for applicants of Federal Government awards to have a

Data Universal Numbering System (DUNS) number. If your agency has not yet obtained a number, you will need to contact Dun & Bradstreet at 1-800-234-3867 to register for a number. There is no charge to obtain a DUNS number. The

DUNS number will serve as a means of tracking and identifying applications for

Federal assistance and is required to be included on all applications for Federal assistance; regardless of the method by which they are submitted. The DUNS number is also required to complete the additional steps to become a registered

Grants.gov user. To apply online through http://www.grants.gov/ there are a http://www.grants.gov/ number of other steps in the registration process that will be required of you before you can submit applications electronically including registering in the

Federal Government's Central Contractor Registry (CCR). We urge you to visit the grants.gov web page (http://www.grants.gov/) and click on the "Getting

Started" tab well in advance of the submission deadline to get a thorough understanding of the steps you will need to follow to apply for Federal grant opportunities.

6. When the applicant submits their application/proposal via www.grants.gov they must send an e-mail to leslie.byrd@fns.usda.gov, advising that their proposal has been submitted through the www.grants.gov portal and that the applicant has received a confirmation notice from www.grants.gov that their application was accepted by the system. This e-mail submission to the FNS Grants Officer must be received no later than 5:00 PM. Eastern Daylight Saving Time on Friday, April 29, 2011.

An application checklist is included as Attachment 3 to assist applicants in verifying that they have completed all components of the grant application.

We strongly recommended that you begin the submission process sufficiently in advance of the due date to ensure your application package is received on or before the deadline in case there are problems with the government-wide website. It is your responsibility to meet the Friday, April 29, 2011, 5:00 PM, Eastern Daylight Saving

Time deadline. As noted above, late applications will not be considered in the competition. Also, emailed and faxed applications will not be accepted. Furthermore, we will not consider additions or revisions to applications once they are received by FNS.

If there are any questions regarding the WIC Special Projects Request for Applications, please contact Leslie Byrd of the Grants & Fiscal Policy Division at 703-305-2867.

TERMS AND CONDITIONS OF AWARD

The Agency is conducting the Women, Infants, and Children (WIC) Special Project

Grant as authorized under Public Law 108-447.

The period of performance of the cooperative agreement shall be from the date of the award through September 30, 2015. All expenditures for the project other than those for the final reports and FY2015 meeting and presentation must be incurred for authorized activities which take place by September 30, 2014. The final progress and financial reports are due to FNS by December 31, 2015, and all expenditures associated with the final report must be incurred by December 31, 2015. The only allowable expenditures on or after January 1, 2015 are those associated with preparation for, attendance and presentation at the FNS-sponsored

FY2015 WIC Special Project Grant annual meeting, filing the associated expenditure reports, and grant close-out. In an effort to maintain the integrity of these funds, FNS will continually monitor the expenditures and will work with the http://www.grants.gov/ mailto:leslie.byrd@fns.usda.gov

Grantees to recover any funds that cannot be obligated by the grant expiration date of September 30, 2015. Funds not obligated within the cooperative agreement period must be returned to FNS by September 30, 2015.

In carrying out the purposes of the cooperative agreement, the grantee shall be responsible for:

1. Managing the cooperative agreement consistent with legislation, administrative rules, regulations, and procedures of the State, including coordination and approval of all accounting procedures and with applicable Federal administrative requirements contained in OMB Circulars A-21, A-87, A-122, and A-133 and the regulations implementing them. Also, adherence is required to the 2 CFR Parts

25, 170, and 175, 7 CFR Parts 15, 3015, 3016, 3017, 3018, 3019, 3021, 3052, and

40 CFR Part 34.34 and 41 CFR 1-15.2 (FAR Part 31). A full listing of the applicable documents can be found in Attachment 3, Terms and Conditions of

Award.

2. Sending two representatives to four meetings at FNS headquarters as specified below:

An annual meeting of all grantees in the first year of the grant;

An annual meeting of all grantees in the second year of the grant;

An annual meeting of all grantees in the third (and final) year of the grant project; and

A final meeting within 9 months of completion of the project (i.e., May, 2015) to present project findings to FNS.

3. Assuming the cost for one conference call with FNS and the other Special Project

Grant recipients during the course of the project.

4. Submitting a final project report to FNS that presents a full description of the project, how it was implemented, the evaluation approach, and the results of the evaluation. The final report should be accompanied by copies of materials developed by and used in the project (e.g., notices, brochures, instructions, lesson plans, software, press releases, and data collection instruments).

5. Suspension/Debarment. The grantee agrees to ensure that all sub-grantees are neither excluded nor disqualified under the suspension and debarment rules found at 7 CFR Sec. 3017.300 by doing any one of the following:

a) Checking the Excluded Parties List System (EPLS) found at www.epls.gov

b) Collecting a certification that the entity is neither excluded nor disqualified. Since a Federal certification form is no longer available, the grantee or sub-grantee electing this method must devise its own.

c) Including a clause to this effect in the sub-grant agreement and in http://www.epls.gov/ any procurement contract expected to equal or exceed $25,000, awarded by the grantee or a sub-grantee under its grant or sub-grant.

6. Drug-Free Workplace (DFW) Rules. The grantee agrees to (A) make a good faith effort, on a continuing basis, to maintain a DFW (including taking specific actions described at 7 CFR Sec. 3021.200 through 3021.230); and (B) identify all workplace locations where work under Federal award will be performed (7 CFR sec. 3021.200). Since Federal entities will no longer collect a paper certification, this may include the following:

a) Notifying all sub-grantees and contractors of the Drug Free

Workplace rules,

b) Making conforming changes to your internal procedures, directives, training materials, etc.

c) Incorporating the new rules into your sub-grantee monitoring practices.

7. The grantee shall submit a signed original and an electronic copy of the Quarterly progress report to the FNS Program Officer (see address on page 10). The first report should reflect progress up to the end of the first quarter after the effective date of the Grant Agreement. At a minimum all Quarterly progress reports should include:

A narrative description of the project’s progress, tasks completed, and roadblocks or problems, Identification of tasks or activities initiated, or completed, from proposed timeline with a description and rational for deviations, For each major task, a description of activities performed or completed during the quarter, Identification and description of any major problems or delays encountered, with a discussion of how they will be resolved and/or how they may impact the schedule, outcome measures, budget, or the grantees ability to utilize funds within the specified time period, A description of key tasks and activities planned for the upcoming quarter, and

Any other pertinent information, which may include deliverables.

Any problems, delays or adverse conditions that impair the ability to meet the objectives should be reported to FNS immediately. The notification should include information on any action taken or contemplated.

8. Final Progress Report. The grantee shall submit a signed original and an electronic copy of the final progress report to the FNS Program Officer by

December 31, 2015. This report shall contain a project summary including, but not limited to, description of implementation and impact, lessons learned, future implications within the State agency, and information on how the project will be sustained. In instances where there is a lead State agency involved, the lead State agency shall compile the results from all funded State agencies into a single report and submit it to FNS.

9. Quarterly Financial Reports. This report must be certified by the Recipient's chief fiscal officer or an officer of comparable rank.

Grantees will electronically enter their quarterly and final financial status reports

(SF-425) into the FNS Food Programs Reporting System (FPRS). Final reporting requirements and instructions will be provided to all awarded grantees.

10. Final Financial Reports. As stated above, the grantees are expected to electronically enter the final financial status report (SF-425) into the FNS Food

Programs Reporting System (FPRS), unless otherwise notified. The grantee shall enter its SF-425 data within 90 days of the expiration date of the grant agreement. This report must be certified by the grantee’s chief fiscal officer or an officer of comparable rank.

A signed original and an electronic copy of the Quarterly and Final Progress Reports shall be submitted to:

Melanie Haake

Melanie.Haake@fns.usda.gov

2011 WIC Special Project Grant Program Officer

USDA Food and Nutrition Service

3101 Park Center Drive, 5 th

Floor

Alexandria, VA 22302

MODEL FOR WIC SPECIAL PROJECT GRANTS

The WIC Special Project Grants for FY 2011 are intended to encourage innovative and creative projects that improve the delivery of WIC services. These projects will be awarded as cooperative agreements. State agencies awarded funding will interact with other grantees and FNS staff on a regular basis to share project information. Extensive dissemination of project results is expected so that other State agencies will have the opportunity to replicate the project and/or learn from its results. For an application to be successful, it is essential that the project results be used to improve WIC

Program services, and that they are applicable at the State and/or local agency levels. FNS is especially interested in projects that utilize the WIC Works Resource

System to disseminate information/resources. Information about this system may be found at http://www.nal.usda.gov/wicworks/.

FNS also expects funding to be available for Concept Paper Development in FY 2011.

Concept paper funds will be used to develop a preliminary concept into a full grant proposal for the following fiscal year (for Concept Paper funding, see Application B).

GRANT APPLICATION FORMAT AND REQUIREMENTS

Applicants must respond to all of the following sections. It is strongly suggested that applicants organize the content of their proposal into the following nine parts:

1. Introductory Material

2. Abstract (approximately 3 pages)

3. Project Design and Implementation (approximately 4-6 pages)

4. Evaluation (approximately 3-5 pages)

5. Sustainability and Transferability (approximately 2 pages)

6. Key Personnel (approximately 3-4 pages)

7. Budget and Management Plan (approximately 3-5 pages)

8. Budget Material

9. Appendices (not to exceed 15 pages)

The 25-page limitation on proposal length applies overall to sections 1 through 8.

Use of this format will make it easier for grant reviewers to locate the requested information and to evaluate each application. Failure to follow this format may result in reviewers being unable to locate the requested information within the application.

I. Introductory Material

A. Cover Letter:

B. Title Page with Project Summary: The title page should include a one-paragraph description of your project covering both the planned intervention and its evaluation. This paragraph will provide the basis for any short summaries of the proposed grant that FNS prepares during the procurement process.

C. Single Point of Contact: Designate a single point of contact for your application. Provide the individual’s name, title, mailing address, phone number, fax number, and email address.

D. Table of Contents:

II. Abstract

A. Abstract: Provide a 2-3 page summary of your project that includes: (1) a description of your planned intervention that specifies the nature of the intervention, the targeted audience (e.g., WIC staff, all WIC participants, WIC participants meeting specified criteria), and how the intervention will be implemented within a WIC office; (2) goals and objectives of the intervention; (3) project environment; (4) project evaluation, including its basic research questions, research design, and planned data collection, and (5) key personnel.

B. Focus Area: Provide a brief description of how your project meets the focus area you have selected to address. Details on this year’s focus areas are contained in Attachment 1.

III. Project Design and Implementation: Provide a detailed description of the following:

A. Need for Project: Discuss the problem that the proposed project addresses and how the expected results of the project can be used to improve program services in your State and at either the regional or national level.

B. Goals: List and discuss each goal of the project design and implementation.

C. Objectives: For each of the goals, list and discuss the associated objective(s).

Objective(s) should be specific, measurable, and realistic (e.g. increase the proportion of parents knowledgeable about the importance of whole grains to good health by 25 percent, increase parents’ servings of whole grain foods by one serving per day; increase % of CVVs redeemed by 10 percent).

D. Tasks: Discuss each specific task that will be undertaken during both project design and implementation (e.g. design a nutrition education intervention, select participants for the intervention, train staff to perform the intervention, modify or develop training materials) and evaluation (e.g., assign or recruit local offices to intervention and comparison groups, develop and test data collection instruments, collect data, analyze data, and report evaluation findings). Planned tasks must be necessary to meet the project’s stated goals and objectives.

E. Environment: Depending on the structure of your project, respond to one and only one of the following. Choose the one that is most appropriate for your particular project.

For projects that are intended to operate solely at the State agency level

(e.g. analysis of data from periodic telephone surveys of WIC participants’ food intake), provide a state-level description of relevant characteristics that impact the operation of the project (e.g. participant characteristics, equipment, space, staffing, program operations, etc.).

Provide a justification for operating the project at the state-level.

For interventions that will be implemented only within selected local

WIC clinics and/or partner agencies, provide a local level description of relevant characteristics that impact the operation of the project (e.g.

participant characteristics, equipment, space, staffing, and program operations, etc.). Provide a justification for your proposed choice of local clinics and/or partner agencies.

Concept Papers funded in FY 2010 automatically meet an accepted focus area.

For interventions that will be implemented only within selected local

WIC clinics and/or partner agencies in which clinics or agencies have not yet been selected, provide a description of how you intend to select appropriate clinics or agencies. Provide a justification for your selection criteria.

Note that FNS does not recommend interventions that will be implemented state-wide in every local WIC clinic or agency. Without a control or comparison group (e.g., local WIC clinics or agencies in which the intervention has not been implemented), it is very difficult to develop a research design that can adequately evaluate the impacts of an intervention.

F. Letters of Support: If applicable, provide documentation of agreements or memoranda of understanding with local WIC clinics and/or partner agencies in an appendix to the proposal that does not exceed 15 pages in length

(does not count toward the 25-page limit on proposal length).

IV. Project Evaluation:

FNS recognizes that many WIC State agencies may not have available staff experienced in preparing evaluation plans. State agencies applying for funding should include a staff person with experience in designing, developing, implementing and evaluating social or public health research projects. This person could be a social scientist or someone with a public health nutrition or public health research background from a university, consulting firm, institute, or government agency. As further assistance for developing the evaluation component, the following publications are available on the FNS/ORA website at www.fns.usda.gov/orna/.

WIC Evaluation Resource Guide

WIC Special Project Grants Evaluation Technical Assistance Guide

Nutrition Education: Principles of Sound Impact Evaluation

A. Type of evaluation: There are three types of evaluations commonly used to assess WIC and other social programs. Process or implementation evaluations provide detailed descriptive information on the way a program operates or an intervention is implemented. Outcome assessments or impact evaluations are usually more quantitative in nature and are designed to rigorously estimate actual project outcomes or impacts. The third type of evaluation, cost-benefit analysis, compares the estimated cost of a project with its estimated benefits. Indicate the type(s) of evaluation you are planning to use.

B. Research Design:

1. Research Questions: For each of the objectives of the project design and implementation, list and discuss specific research questions that will be answered during the evaluation (e.g., Does the proposed nutrition intervention increase participant consumption of fruits and vegetables, and by how much? Does acceptability of the training seminar by WIC nutritionists differ by characteristics such as ethnicity and years of experience?).

2. Measures: For each research question, discuss specific measures that you will use (e.g., maternal risk factors collected via telephone interview surveys; nutrition education attendance levels reported in administrative records). Discuss the strengths and weaknesses of the proposed measures.

3. Research Methods: Discuss the methods that will be used to answer the research questions, including:

(a) Sampling plan(s) and expected sample size(s);

(b) Data collection methods (how, by whom, how often, when);

(c) Data analysis methods (how and by whom); and

(d) Strengths and weaknesses of the research methods.

V. Sustainability and Transferability:

A. Sustainability: Confirm that the planned intervention meets all WIC regulations and guidance. Discuss how your project and its results will be sustained financially and administratively once the grant ends. If the project is a one-time project designed only to be performed during the grant period, discuss why it is sufficient as a one-time project and how the results will be used in the future.

B. Transferability: Discuss how your project and its results might inform other

WIC State agencies and the feasibility (both financially and administratively) of implementing it in other states. Discuss plans for preparing and disseminating a final report including how and with whom the report will be shared (e.g., FNS, National WIC Association, conferences, universities, and journals).

VI. Key Personnel:

A. Applicants are responsible for identifying the individuals in their application that qualify as key personnel. Key personnel can include individuals receiving funding through this grant, individuals who are making an in-kind contribution, and contractors/sub-contractors. Key personnel generally are identified as those individuals who:

Have a direct bearing on the outcome of the project by their participation, Bear a substantive responsibility for developing, modifying and achieving the objectives of the project, or

Are responsible for managing, administering, conducting or providing oversight for a significant component of the project.

B. For all identified key personnel, please provide the following information:

Indicate the individual’s current position and what their title will be on the proposed project.

Describe the individual’s specific role and duties on the project. Where possible, make reference to the project design/ implementation or project evaluation narrative (i.e., Jane Doe will be responsible for developing the training curriculum described on page 10 of the application).

Describe prior relevant experience and how it relates to project duties.

Identify time commitment for each key staff with percentages of FTE or total work hours per month for each of the three years of the project.

Identify all other projects, job positions (governmental and/or contractual), and other work-related commitments that each key staff member will be scheduled to work on during the grant or concept paper time-frame.

In an appendix, provide a current Resume or Vita for the individual.

In an appendix, provide a letter of commitment from the individual’s supervisor indicating the individual’s time commitment to the project.

For key project positions that are currently vacant that must be filled in the course of the project, provide the following information instead: 1) position title; 2) in an appendix, a detailed position description with required qualifications, skills, and knowledge; 3) a description of specific roles and duties on the project, making reference back to the project or evaluation narrative; 4) an anticipated date of hire; and 5) what arrangements will be made if the position is not filled in a timely manner.

C. For key personnel (and especially evaluation personnel or organizations), please identify any potential conflicts of interest (actual or perceived) that might prevent an independent and objective assessment of the implementation, impacts, or benefits of the proposed intervention (e.g., having a contractor both develop and assess an intervention). If any conflicts are identified, provide a discussion of what steps the State agency will take to ensure an objective and complete evaluation.

VII. Management and Budget Plan:

A. Management plans

1. Chain of Command and Responsibilities: Provide an organizational chart that indicates who has authority over whom, with a written description. Discuss how task leaders will be held accountable to keep the project on time and within budget. Describe how and by whom quarterly performance reports to FNS will be prepared as required by 7

CFR Part 3016.40.

2. Contingency Plans: Discuss contingency plans for ensuring that the project is not unduly disrupted by problems in development of intervention materials, development or clearance of data collection instruments, recruitment of sites or participants, availability of key personnel, or other unforeseen factors. With regard to key personnel, identify specific individuals who will be able to take over project tasks if proposed staff is not available during the project, and indicate their qualifications to do so. Otherwise, discuss the process you will use to select qualified replacements.

3. Outside Personnel: Discuss how and by whom relationships with all personnel outside of the primary grantee agency will be managed (e.g., personnel from local WIC clinics or partner agencies, personnel from other State agencies, university personnel, consultants, contractors).

4. Task Table: Present a table which includes, in chronological order, every distinct task involved in both the project design and implementation and the project evaluation (e.g., implementation of new procedures pertinent to the project, survey development, training activities, data collection, data analysis, report writing), the beginning and ending date of each task, and the key staff person(s) responsible for overseeing/working on the task. The sample task table below, though

Copies of 7 CFR Part 3016.40 may be requested from the FNS Grants Management Division.

neither comprehensive nor complete, demonstrates the first few project design, implementation and evaluation tasks of a sample project.

Sample Task Table

Task No.

Task Name Description Date Begins

Date Ends Responsible Staff

1 Develop Curriculum Develop Curriculum for use in the infant feeding practices nutrition education intervention

9/29/05 12/31/05 Jane Doe, Project Director & Suzy Que, Nutritionist

2 Test Curriculum Field test the curriculum with 15 participants and 3 staff, hold focus groups with staff and with participants to identify necessary changes

1/1/06 2/1/06 Suzy Que, Nutritionist

3 Analyze Focus Group Data

Code, enter, and analyze data gathered in focus groups, identify necessary curriculum changes.

2/1/06 2/15/06 Jack Data, research analyst

4 Revise Curriculum Revise curriculum based on results of focus groups

2/15/06 3/15/06 Suzy Que, Nutritionist

5 Develop KAB pre & post tests

Develop surveys to test infant feeding knowledge of participants before and after intervention

2/15/06 3/15/06 Lori Sample, Evaluation Consultant

6 Pre-test surveys Field test the KAB pre & post test surveys with 15 participants

3/16/06 4/10/06 Jack Data, research analyst.

B. Budget and Justification:

1. Budget: Provide line item detail and calculations for each budget object class identified in Section B, Budget Categories (a-j), of SF 424A.

Details of calculation(s) must include estimation methods, quantities, unit costs, and other similar detail sufficient for it to be duplicated.

Budget details must be provided for both Federal and non-Federal resources.

The budget narrative should provide enough detail for reviewers to easily understand how costs were determined and how they relate to the goals and objectives of the project. (Please see Attachment 5 entitled, ―Budget Narrative Checklist‖)

For purposes of preparing the budget, ―Federal resources‖ refers only to the requested WIC Special Project Grant funds. Non-Federal resources are all other Federal and non-Federal resources, including in-kind contributions. It is suggested that budget amounts and computations be presented in a columnar format: first column, object class categories;

second column, Federal resources; next column, non-Federal resources;

and last column, total budget. A separate budget page is required for each budget year requested as well as a total across all years. As part of your budget, please assume the following:

One meeting per year for four years (including the final meeting and presentation of results to occur within 9 months of completion of the project) at FNS headquarters. Project expenditures through the final meeting must be included in the budget and expended prior to the grant expiration date. The annual meetings will be scheduled for three days (travel may be necessary the day before and/or after a meeting). Each State agency should plan to send two participants.

Each grantee will assume the cost for one conference call with

FNS and the other grantees during the course of the project.

Assume that 10 lines will be needed for the call and that the call will last 120 minutes.

A sample budget table is provided for illustrative purposes on page 20.

It is not comprehensive and the unit costs and rates of pay are not necessarily intended to represent standard or reasonable costs.

2. Budget Justification: For each part of Section B, Budget Categories, applicants must submit a written justification for each budget category.

The written justification should: 1) describe how the categorical costs were derived (i.e., price comparisons, standard government cost, estimates by proposed local vendor, prior experience with similar projects, etc.); 2) discuss the necessity, reasonableness, and allocability of proposed costs; and 3) when possible, link expenditures to specific project activities/tasks. For any contractual costs, please also provide a justification for the proposed selection method (i.e., competitive or sole source).

3. Indirect cost rate agreements (ICRA): Applicants claiming indirect costs must provide a copy (in an appendix) of an approved ICRA for all indirect costs and a written explanation for how the indirect costs were applied to the budget. If indirect costs are not being claimed, then please indicate such.

4. Use of subcontractors: According to 7 CFR 3016 (c), any contract that a State agency procures under this grant (if awarded) must be competitive unless FNS approves an exception for the State agency and allows it to use a sole-source contract. Please identify any contracts that you expect to award if this grant is awarded to you. Indicate whether the procurement will be competitive or sole source. If sole source procurement is planned, include a written request for an exception as part of your application. The request should include the name of the proposed contractor, a brief explanation of why the state has decided to award this contract as sole source, and a description of how the state determined the proposed cost of the contract to be fair and reasonable.‖

VIII. Budget Material

The following materials must be included:

Standard Form 424 – Application for Federal Assistance

Standard Form 424A – Budget Summary

Standard Form 424B – Assurances – Non-Construction Programs

Certification Regarding Lobbying

Disclosure of Lobbying Activities

IX. Appendices

Each of the following sections may be included as a separate appendix:

A. Resumes and vitae for key personnel, B. Letters of commitment from supervisors of key personnel, C. Job descriptions for key personnel that must be hired, D. Copies of agreements or memoranda of understanding with local WIC clinics and/or partner agencies, and

E. Any other supporting documentation.

Sample Budget Table (Year 1)

Object Class Categories Federal Resources Non-Federal Resources Total

Personnel $25,000 $10,500 $35,500

Jane Doe, Project Director $50,000 salary@.40 FTE=$20,000 $20,000

Suzy Que, Nutritionist $35,000 salary@.30 FTE=$10,500 $10,500

Jack Data, Research Analyst $50,000 salary @.10 FTE=$5,000 $5,000

Fringe Benefits $5,000 $2,100 7,100

Jane Doe, Project Director $20,000*.20 fringe rate=$4,000 $4,000

Suzy Que, Nutritionist $10,500*.20 fringe rate=$2,100 $2,100

Jack Data, Research Analyst $5,000*.20 fringe rate=$1,000 $1,000

Travel $2,356 $2,356

Travel to FNS headquarters Airfare@$600 x 2 staff + perdiem@$145 x 2 staff x 2 days = $1780

$1780

Meetings between staff .32 per mile@150 miles x 4 trips x 3 staff = $576 $576

Equipment $2,000 $2,000

Computer 1 computer @ $2,000 $2,000

Supplies $150 $150

Photocopying 1000 copies @ .05/copy = $50 $50

Fedex 20 Fedex packages @ $5.00 = $100 $100

Contractual $50,000 $50,000

Evaluation Consultant $50,000 $50,000

Construction $0 $0

Other $1400 $1400

Long-distance 3000 minutes @ .30/minute = $900 $900

Conference call with FNS and other grantees

1 call @ $100 $100

Total Direct $85,506 $12,600 $98,106

Indirect Charges $9,000 $3,780 $12,780

.30 indirect rate * $30,000 salaries and fringe = $9,000

.30 indirect rate * $12,600 salaries and fringe = $3,780

Totals $94,506 $16,380 $110,886

EVALUATION OF GRANT APPLICATIONS

All applications will undergo an initial screening to verify completeness and adherence to proposal preparation instructions (see pages 7-20 for Terms and Conditions and Format and Requirements). Applications that do not meet this initial screen will not be evaluated further. After initial screening, FNS will convene a panel of FNS staff and representatives from the National WIC Association (NWA) to review and determine the technical merit of each grant application. The panel will evaluate each grant application according to how well it addresses each application component. The panel will assign each application a score using the evaluation criteria and weights specified below.

WEIGHTS: Scores will be assigned as follows:

5-Point Scale: 1 = Unsatisfactory; 2 = Fair; 3= Satisfactory;

4 = Good; 5 = Excellent.

10-Point Scale: 1-2 = Unsatisfactory; 3-4 = Fair; 5-6= Satisfactory;

7-8 = Good; 9-10 = Excellent.

15-Point Scale: 1-3 = Unsatisfactory; 4-6 = Fair; 7-9= Satisfactory;

10-12 = Good; 13-15= Excellent.

TECHNICAL EVALUATION CRITERIA AND WEIGHTS

Project Design and Implementation 20 points

The significance of the problem to be addressed is demonstrated and 5 specific gaps or weaknesses in regional or national services have been identified and will be addressed through the proposed project.

Project goals, objectives, and outcome measures are clearly identified 5 and appropriate.

Project design and implementation tasks follow directly from project goals 5 and objectives and the necessity of the tasks are adequately explained.

The environment in which the project will operate is appropriate and 5 compatible with project goals and objectives, and proper justifications for the choice of the environment are provided. If applicable, letters of support or memoranda of understanding are included in the application.

Project Evaluation 20 points

Extent to which the research/project design, including research questions, 10 measures, sampling, data collection, and data analysis is thorough, feasible and appropriate to the goals and objectives of the project.

Research plan includes appropriate and feasible use of a pre-post and/or 5 treatment/comparison design with randomization. If such a research design is not appropriate for the proposed project, the proposal explains why, indicates the range of alternative designs considered, and provides a thoughtful explanation for the design proposed.

Potential problems and weaknesses with the research/project design are 5 acknowledged and discussed.

Sustainability and Transferability 20 points

Feasibility of incorporating project purposes, activities, or results into 10 the ongoing program of the agency at the end of Federal funding.

Transferability of the project and its results for adaptation and 10 implementation by other State WIC agencies.

Key Personnel 20 points

Key personnel have the necessary education, skills, and experience for 10 their proposed roles on the project. Supporting documentation (e.g.

resume/vita, position descriptions for vacant positions) is included for all key personnel.

The time commitment, duties, staffing mix, and concurrent staff responsibilities 10 within and outside the grant (i.e. staff responsibilities with other projects, job positions, consultant work, etc.), contingency plans, and a clearly defined chain of command of key personnel are reasonable and appropriate to successfully complete the grant. Supporting documentation (i.e., letters of commitment from supervisors) should be included for all key personnel.

Management and Budget Plan 20 points

The management plan provides a task description and table 10 that demonstrates a thorough understanding of the tasks, timeline, and staffing needed to successfully complete the project. The management plan also provides the oversight necessary to ensure high quality products, services, or outcomes, and to keep the project on time and within budget (including appropriate plans for managing outside personnel).

The budget request is adequate to support the project and detailed 5 calculations and budget for both Federal and non-Federal resources are provided.

Appropriate budget justifications are provided, including descriptions of how 5 categorical costs were derived, discussions of necessity, reasonableness, and allocability of costs, and links between expenditures and activities/tasks.

If applicable, justifications for contract selection methods (especially sole source procurements) are provided.

SELECTION OF GRANT APPLICATIONS

After evaluation and scoring, grant applications will be arrayed by score, starting with the highest score. In general, awards will be made in ranking order until available funds are committed. However, if the selecting officials determine that, based upon their scores, few of the applications are of technical merit, FNS can award no grants or less than the total amount of funds set aside for this purpose. In addition, FNS reserves the option to select out of ranking because of geographic diversity or agency priority, or to select an

ITO in order to achieve a diversity and regional representation.

Once the grant is awarded, the State agency must sign an agreement containing the terms and conditions of the grant contained in the regulations listed below. (A copy of these regulations may be obtained at http://www.gpoaccess.gov/cfr/index.html) Applicants must agree to comply with the USDA regulations below, which codify Office of

Management and Budget (OMB) circulars, as follows:

2 CFR Part 25: ―Universal Identifier and Central Contractor Registration‖

2 CFR Part 170: ―Reporting Subaward and Executive Compensation

Information‖

2 CFR Part 175: ―Trafficking Victims Protection Act;‖

7 CFR Part 15: ―Regulation Prohibiting Discrimination in Programs Receiving

Federal Financial Assistance from USDA

7 CFR Part 3015: ―Uniform Federal Assistance Regulations;‖

7 CFR Part 3016: ―Uniform Administrative Requirements for Grants and

Cooperative Agreements to State and Local Governments‖

(Reference OMB Circular A-102 Common Rule);

7 CFR Part 3017: Subparts A-E, ―Government-wide Debarment and Suspension

(Non-Procurement);‖

7 CFR Part 3018: ―New Restrictions on Lobbying;‖

7 CFR Part 3019: OMB Circular A-110, ―Uniform Requirements for Grants and

Other Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations;‖ http://www.gpoaccess.gov/cfr/index.html

7 CFR Part 3021: ―Government-wide Requirements for a Drug-free Workplace

(Financial Assistance);‖ and

7 CFR Part 3052: OMB Circular A-133, ―Audits of States, Local Governments and Non-Profit Organizations.‖

40 CFR Part 34.34: ―Copyrights‖

41 CFR 1-15.2 (FAR Part 31): Cost Principles for For-Profit Organizations.

Code of Federal Regulation Cost Principles:

2 CFR, Subtitle A, Chapter II, Part 225 State, Local, and Indian Tribal

2 CFR, Subtitle A, Chapter II, Part 220 Education Institutions

2 CFR, Subtitle A, Chapter II, Part 230- Non Profit Organizations

OMB Circular A-133: Audits of State, Local Governments and Nonprofit Organizations.

LIST OF ATTACHMENTS

1. FOCUS AREA DESCRIPTIONS

2. APPLICATION CHECKLIST

3. TERMS AND CONDITIONS OF AWARD

4. BUDGET NARRATIVE CHECKLIST

5. STANDARD FORM 424 - APPLICATION FOR FEDERAL ASSISTANCE

(FOR NON-CONSTRUCTION)

INSTRUCTIONS FOR COMPLETING STANDARD FORM 424

STANDARD FORM 424a - BUDGET SUMMARY

STANDARD FORM 424b – ASSURANCES – NON CONSTRUCTION

PROGRAMS

CERTIFICATION REGARDING LOBBYING

DISCLOSURE OF LOBBYING ACTIVITIES

REQUIRED FORMS FOR STATE AGENCIES

6. TIMELINE

ATTACHMENT 1

FISCAL YEAR (FY) 2011 WIC SPECIAL PROJECT GRANTS

FOCUS AREA FOR FULL GRANTS

FY 2011 WIC Special Project Full Grants are open to consideration in all WIC-related program areas and may focus on either general WIC Program issues or those issues related to specific categories of WIC participants. However, the following focus areas are of particular interest to FNS for FY 2011:

1) Retention of children participating in WIC.

This focus area is intended for applicants who would like to implement and evaluate innovative strategies for retaining children (ages 1 through 4 years) currently participating in WIC.

2) Client-Centered Nutrition Education.

Building on the Value Enhanced Nutrition Assessment (VENA) competencies

(critical thinking, rapport building, and utilizing a health-outcome based assessment), FNS is interested in projects that integrate VENA skills and principles to deliver relevant client-centered nutrition services (education,…