216-RICR-20-05-3. WIC Program (version Amendment, 08/11/2009 to 07/05/2010)

WIC Farmers’ Market Nutrition Program FY 2009 State Plan Guidance 2 WIC Farmers’ Market Nutrition Program Fiscal Year 2009 State Plan Guidance Table of Contents Section Pages General Information 3 - 12 Updated State Plan Information 13 - 17 Request for Expansion Funds 18 - 21 State Plan of Operations 22 - 52 Section I Goals 23 Section II General Administration 24 - 26 Section III Funding 27 - 33 Worksheets for Federal Funds Request and Matching 29 - 36 I. FY 2009 FMNP Estimated Federal Budget Summary 31 II. Administrative Budget Estimate 31 III. Federal Funds Request and State / Indian 32 Tribal Organization (ITO) Matching Funds IV. Federal Food Funds Request Based on a Uniform 33 Benefit Level V. Federal Food Funds Request Based on Varying 34 Benefit Levels Section IV Certification 35 - 36 Section V Coupon and Market Management 37 - 43 Section VI Management Evaluations and Reviews 44 - 45 Section VII Nutrition Education Requirements 46 - 48 Section VIII Miscellaneous Requirements 49 - 51 Appendices 52 FY 2009 General Information 3 4 WIC Farmers' Market Nutrition Program Fiscal Year 2009 State Plan Guidance Due Date: December 1, 2008 GENERAL INFORMATION The WIC Farmers’ Market Nutrition Program (FMNP) was established in July 1992, under Public Law 102-314. The mission of the FMNP is to provide fresh, unprepared, locally grown fruits, vegetables and herbs directly to WIC recipients, and to expand the awareness and use of local farmers’ markets. The FMNP served over 2.6 million recipients in the Special Supplemental Nutrition Program for Women, Infants and Children (WIC) during the most recent market season. The FMNP regulations state that by November 15 of each year, or the next workday if the 15th falls on a weekend or national holiday. Each applying or participating State agency must submit to the appropriate Regional Office of the Food and Nutrition Service (FNS) for approval a State Plan for the following year as a prerequisite to receiving Federal funds for the FMNP. A State Plan means a plan of FMNP operation and administration that describes the manner in which the State agency intends to implement, operate and administer all aspects of the FMNP within its State or Indian Tribal Organization (ITO) jurisdiction; under the FMNP regulations, the definition of “State agency” includes ITOs. The designated State official responsible for ensuring the FMNP is operated in accordance with the State Plan shall then sign the State Plan. This guidance sets forth the minimum areas, which must be covered in the State Plan in order for it to be approved. STATE PLAN REVIEW AND APPROVAL PROCESS FNS Regional Office staff will review the State Plans and notify State agencies of any problems or areas in need of clarification. Notification of denial or approval of the State Plan will be provided within 30 days of receipt of the State Plan. For technical assistance, a list of FNS Regional Offices can be found on pages 12 - 13. State Plans approved by the FNS Regional Office will then be forwarded to FNS Headquarters, Supplemental Food Programs Division in Alexandria, Virginia. As stipulated by law, approval of a State Plan does not constitute a funding commitment. New State agency grants will be announced no later than February 15, 2009. 5 FORMAT Whenever possible, FNS has simplified this descriptive process so that yes/no answers are appropriate, or so that numbers can be inserted in the proper spaces. However, some of the mandatory provisions can only be adequately addressed through narrative description. Such narratives should be as succinct as possible, but in sufficient detail to fulfill the purpose of the State Plan. In some instances, the State agency may be able to include a form designed to meet one or more of the stipulated provisions, e.g., program participation records, in lieu of a more involved narrative. While use of this format is not mandatory, its use is recommended to minimize the burden of application on State agencies. Please be sure to identify any attachments or continuation pages clearly according to the headings to which they correspond. It is recommended that State agencies with prior year grants submit completely new plans at least once every three years, although the FNS Regional Office may relax this expectation when most of the plan has not changed for several years. However, the FNS Regional Office may require a complete copy of the plan from the State agency at any time whenever there is any doubt that the FNS Regional Office has a complete and up-to-date copy. In addition, it is recommended that State agencies submit State plans electronically to FNS Regional Offices. UPDATED STATE PLAN INFORMATION This section of the State Plan Guidance may be completed in lieu of the entire State Plan by those current State agencies that are updating their existing State Plans. State agencies requesting Federal funds for FMNP for the first time cannot use the Updated State Plan section. It should be noted, however, that the following items must be completed by current State agencies with revised pages from other sections of the State Plan in addition to any updated information pages: a. FY 2009 FMNP Estimated Federal Budget Summary; b. Expansion Request for those State agencies requesting expansion funds; c. Other procedural changes or amendments to the plan that have occurred since the previous State Plan submission, such as a change in the benefit level, new months of program operation, the numbers and addresses of new farmers’ markets, roadside stands, and WIC clinics, and a new map showing the new farmers’ markets, roadside stands, and WIC clinics. UNIVERSAL IDENTIFIER The Estimated Federal Budget Summary (page 28) contains a field for the State agency to enter 6 its Universal Identifier. The Office of Management and Budget (OMB) requires entities applying for Federal grants to provide government agencies with a Universal Identifier. This requirement is set forth in an OMB Policy Directive, Use of a Universal Identifier by Grant Applicants, which was published in the Federal Register on June 27, 2003, at 68 FR 38402. The initial and annual FMNP State Plan submissions are considered to be applications for a federal grant, and thus State agencies must comply with this requirement. Currently, the Universal Identifier system in use is the Data Universal Numbering System (DUNS) identification number. The Estimated Federal Budget Summary (page 28) contains the field for the Universal Identifier because this page must be submitted by State agencies requesting Federal funds for FMNP for the first time as well as State agencies with prior year grants. There is also space for the Universal Identifier on the Federal-State Agreement (FNS-339), to show that this Agreement pertains to the State Plan. For guidance on obtaining a DUNS number, see http://www.fns.usda.gov/FM/Documents/DUNS_general.htm. FEDERAL-STATE SPECIAL SUPPLEMENTAL NUTRITION PROGRAM AGREEMENT (FNS-339) In addition to the basic FMNP State Plan requirements, the Federal-State Supplemental Food Program Agreement (FNS-339) must be signed and submitted annually to FNS before a State agency can receive Federal funds. It is routinely submitted along with the State Plan. The Federal-State Agreement contains the mandatory Department-wide provisions addressing drug-free workplace, Civil Rights provisions and lobbying restrictions, as well as the State agency's commitment to compliance with all pertinent Program requirements. A single Federal-State Agreement may be used to operate the FMNP and the Special Supplemental Nutrition Program for Women, Infants and Children (WIC), in which case the boxes for both programs should be checked under item 4 on the first page of the FNS-339. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS The Federal Government uses the nonprocurement debarment and suspension system to exclude organizations from Federal grants or contracts based on violations of a wide variety of statutes, executive orders, and regulations. As explained below, assurances must be obtained to ensure that Federal grants or contracts are not provided to debarred or suspended parties, with certain exceptions. The USDA debarment/suspension regulations are codified at 7 CFR 3017. The FMNP State agency is not required to provide assurance that it is neither suspended nor debarred as a condition of receiving its FMNP grant. Departmental regulations at 7 CFR section 3017.215(h) exempt mandatory programs, such as the FMNP, from this requirement at the 'primary covered transaction' level (i.e., between the Federal awarding agency and the State agency). Also, this requirement does not apply to farmers or farmers’ markets. The debarment/suspension requirements apply to sub-grants at the “lower tier covered transaction” level, i.e., sub-grants to local agencies, regardless of the amount of the sub-grant. Also, these requirements apply to procurement contractors of State or local agencies 7 with contracts expected to meet or exceed $25,000. The FMNP State agency is required to obtain assurance that each of its FMNP local agencies, and each of its FMNP procurement contractors with total contracts (FMNP and non-FMNP) expected to meet or exceed $25,000, is neither debarred nor suspended. The debarment/suspension requirements apply to all State agency sub-grants with local agencies, which are often referred to as “agreements” or “contracts;” the term “sub-grant” refers to programmatic activities such as reviewing WIC participant files to determine recipient eligibility for FMNP, distributing and accounting for FMNP coupons or checks, instructing participants on the proper use of the coupons or checks, and providing participants with nutrition education and other program information, because these programmatic activities are characteristic of program sub-grants. (However, this does not apply to a local office of the State agency which is part of the State agency but operates like a local agency, since such local offices are integral parts of the State agency and therefore share the State agency's exemption under 7 CFR sec. 3017.215(h)). The debarment/suspension requirements also apply to procurement contracts expected to meet or exceed $25,000; the term “procurement contract” refers to goods and services, such as contracts with businesses for providing information technology or office equipment. The federal certification forms on debarment/suspension were abolished several years ago. Instead, the FMNP State agency now has three choices on how to obtain this assurance: 1. Check the Excluded Parties List System (EPLS) to determine whether a local agency or procurement contractor has been debarred or suspended; the EPLS may be accessed on the Internet at http://epls.arnet.gov/; 2. Obtain a certification from the local agency or procurement contractor, in a format established by the FMNP State agency, providing assurance that the local agency or procurement contractor has not been debarred or suspended; or, 3. State in the local agency contract or procurement contract that the local agency or procurement contractor must provide assurance that it has not been debarred or suspended, and will promptly notify the State agency if it is debarred or suspended in the future. The debarment/suspension certifications for local agencies with respect to the WIC Program are sufficient for FMNP if these certifications cover the period of the FMNP sub-grants. Likewise, the WIC State agency – local agency WIC contract may also be used by the FMNP State agency if this contract covers the period of the FMNP sub-grant and contains the language noted in # 3 above. If there is any doubt about whether a WIC local agency certification or contract covers the period of the FMNP sub-grant, the State agency should use the EPLS instead of the WIC certification or contractual assurance to determine the debarment/suspension status of the local agency. A non-WIC FMNP State agency, such as a State Department of Agriculture, should obtain copies of the local agency certifications or contracts from the WIC State agency for all WIC local agencies involved with FMNP. 8 If the non-WIC FMNP State agency has entered into an agreement with the WIC State agency to obtain the services of WIC local agencies, the WIC State agency would be a sub-grantee of the FMNP State agency. Thus, the FMNP State agency would need to satisfy itself that the WIC State agency is neither suspended nor debarred via one of the methods outlined above. However, under such circumstances, the FMNP State agency would not need to obtain such satisfaction regarding the WIC local agencies because it does not have a direct relationship with them. Also, under such circumstances, if the WIC State agency has submitted a debarment certification for another program, then a copy of that debarment certification could be provided to the FMNP State agency, since the debarment certification concerns the State agency generally instead of a specific grant agreement. FMNP State agencies are not required to submit copies of the local agency certifications or contracts or procurement contractor certifications or contracts to the FNS Regional Office as part of the annual FMNP State Plan submission. However, FMNP State agencies must be able to make these certifications or contracts available for review during management evaluations and audits. Alternatively, the FMNP State agency must keep a record showing that it had consulted the EPLS, and present this record upon request during a management evaluation or audit. DRUG-FREE WORKPLACE REQUIREMENTS The form entitled “Certification Regarding Drug-Free Workplace Requirements” has been abolished. However, the State agency is still required to have in place procedures for implementing a drug-free workplace, per 7 CFR 3021, which must be described in the narrative section of the State Plan. These procedures may be the same as those that are as used for other programs such as WIC. This requirement does not apply to farmers or farmers’ markets. CERTIFICATION REGARDING LOBBYING AND DISCLOSURE FORM TO REPORT LOBBYING Pursuant to 7 CFR 3018.100, FMNP funds must not be used for lobbying Congress or Federal agencies regarding Federal grants and contracts. This prohibition applies to FMNP funds provided in grants, sub-grants, contracts, and sub-contracts, regardless of the amount of funds. However, the lobbying certification and disclosure requirements are based on monetary thresholds. The Certification Regarding Lobbying is required for State agencies, local agencies, and procurement contractors requesting or receiving FMNP grants, sub-grants, contracts, or sub-contracts exceeding $100,000. The State and local agencies, which are grantees and sub-grantees respectively, as well as contractors and sub-contractors of State or local agencies, should use the Form FNS-732 to provide this certification. The grant or sub-grant includes food funds as well as administrative funds; food funds may not be excluded from the determination of whether a grant or sub-grant exceeds $100,000. The State agency’s certification should be 9 appended to the Federal-State Agreement; the local agency should provide its certification to the State agency. If the State agency is using the same Federal-State Agreement for both WIC and FMNP, then only one lobbying certification is needed for both programs; otherwise, a separate lobbying certification must be submitted for each program, since the lobbying certification pertains to a specific grant agreement instead of the State agency generally. This requirement does not apply to farmers or farmers’ markets. The local agency’s certification should be provided to the FMNP State agency; like the local agency debarment certifications, the State agency needs to keep the local agency lobbying certifications on file. (Likewise, the State agency needs to keep on file the lobbying certifications of its contractors.) Also, as with the Federal-State Agreement, if the State agency – local agency contract covers both WIC and FMNP, then only one local agency lobbying certification is needed for both programs; otherwise, a separate lobbying certification must be submitted for each program. Finally, the lobbying certification is not needed for a local office of the State agency, which is part of the State agency but operates like a local agency; a local office of a State agency is covered by the State agency’s certification provided to FNS with the Federal-State Agreement. As explained in the form’s instructions, lobbying with federal funds is prohibited; lobbying with funds from other sources is permitted. However, if lobbying with non-federal funds has occurred, then an additional form needs to be submitted, the Disclosure Form To Report Lobbying (Standard Form LLL), for State agencies, local agencies, and procurement contractors requesting or receiving FMNP grants, sub-grants, contracts, or sub-contracts exceeding $100,000. State agencies need to submit an SF-LLL on their lobbying to the FNS Regional Office; local agencies and State agency contractors need to submit an SF-LLL on their lobbying to the State agency, and then the State agency must submit it to the FNS Regional Office. Again, as above, FMNP State agencies need only submit one SF-LLL if the Federal-State Agreement covers both WIC and FMNP, and local agencies need only submit one SF-LLL if the State agency – local agency contract covers both programs; otherwise, a separate SF-LLL form must be submitted for each program. ADDITIONAL REPORTS AND SUBMISSIONS In addition to the State Plan, FNS requires FMNP State agencies to submit the following reports: a. FMNP Annual Financial Report, FNS-683 provides information regarding FMNP expenditures and is due to FNS no later than January 31 of each year. b. FMNP Program Report, FNS-203 provides information regarding the number of recipients, farmers, and markets; and is due to FNS no later than January 31 of each year. 10 c. If available, an analysis of completed recipient and/or farmers’ survey forms must be submitted annually to FNS by January 31 of each year. At the State agency’s discretion, farmers’ survey forms may be submitted biennially by January 31. State agencies are encouraged to conduct surveys of recipients and farmers. The survey forms are designed to assess the change in the consumption of fresh fruits and vegetables by recipients, and the effects of the program on farmers’ markets. d. At any time during the fiscal year when changes in any of the sections or procedures of the State Plan occur, a State Plan Amendment and any accompanying appendices must be submitted to the FNS Regional Office for approval prior to implementation. 11 TECHNICAL ASSISTANCE FNS Regional Offices Questions about the development, structure, and/or submission of the FMNP State Plan should be directed to the appropriate FNS Regional Office of the Supplemental Food Programs Office: Regions Address States Northeast Maureen Mallam, Regional Director Connecticut Supplemental Food Programs Maine USDA, Food and Nutrition Service Massachusetts Northeast Regional Office New Hampshire 10 Causeway Street New York Boston, MA 02222-1066 Rhode Island (617) 565-6440 Vermont Mid-Atlantic Diana Lionbacher, Regional Director District of Columbia Supplemental Food Programs Delaware USDA, Food and Nutrition Service Maryland Mid-Atlantic Regional Office New Jersey Mercer Corporate Park Pennsylvania 300 Corporate Blvd. Puerto Rico Robbinsville, NJ 08691-1598 Virginia (609) 259-5100 Virgin Islands West Virginia Southeast Sandra Benton-Davis, Regional Director Alabama Supplemental Food Programs Florida USDA, Food and Nutrition Service Georgia Southeast Regional Office Kentucky 61 Forsyth Street, SW Mississippi Room 8T36 North Carolina Atlanta, GA 30303-3427 South Carolina (404) 562-7100 Tennessee 12 Midwest Elvira Jarka, Regional Director Illinois Supplemental Nutrition Programs Indiana USDA, Food and Nutrition Service Michigan Midwest Regional Office Minnesota 77 West Jackson Blvd. 20th Floor Ohio Chicago, IL 60604-3507 Wisconsin (312) 886-6625 Southwest Sondra Ralph, Regional Director Arkansas Supplemental Nutrition Programs Louisiana USDA, Food and Nutrition Service New Mexico Southwest Regional Office Oklahoma 1100 Commerce Street Texas Dallas, TX 75242 (214) 290-9812 Mountain Jean Liekhus, Regional Director Colorado Plains Supplemental Nutrition Programs Iowa USDA, Food and Nutrition Service Kansas Mountain Plains Regional Office Missouri 1244 Speer Blvd., Suite 903 Montana Denver, CO 80204 Nebraska (303) 844-0331 North Dakota South Dakota Utah Wyoming Western Rich Proulx, Regional Director Alaska Supplemental Nutrition Programs Arizona USDA, Food and Nutrition Service California Western Regional Office Guam 90 Seventh Street, Suite #10-100 Hawaii San Francisco, CA 94108 Idaho (415) 705-1313 Nevada Oregon Washington American Samoa Commonwealth of the Northern Marianas Islands FY 2009 Updated State Plan Information 13 14 WIC FARMERS' MARKET NUTRITION PROGRAM Updated State Plan Information Fiscal Year 2009 At a minimum, each State agency must provide the following information to FNS Regional Offices annually. Even if all other items have remained unchanged (such as months of program operation and months of coupon issuance), State agencies must complete this section of the guidance, including the budget pages and the expansion fund pages for those State agencies requesting expansion funds. State Agency: Rhode Island FY 2008 1. Estimated number of FMNP recipients (those issued FMNP coupons) served with FMNP Federal and State funds in FY 2008 (previously participating fiscal year): 18,270 2. Number of FMNP local agencies reviewed by non-WIC FMNP State agency staff or WIC State agency staff in FY 2008: _7 of 11. Briefly summarize findings and corrective action resulting from local agency reviews. Failure to document correct risks which could affect eligibility determination, failure to consistently document eligibility, failure to provide at least 2 nutrition education contacts, failure to consistently use correct procedures in plotting and scale calibrations, failure to comply with check distribution procedures. Corrective plan included training for staff, follow-up of cited issues during QA reviews, and monitoring for improved documentation 3. Number of authorized farmers’ markets reviewed in FY 2008: 11. The number of farmers reviewed in FY 2008: 31 Number of roadside stands or farm stands reviewed in FY 2008: n/a 0. Briefly summarize any findings and corrective actions resulting from these reviews. Some farmers early in the season did not have their “We accept FMNP checks” sign posted. Failed to use black ink when stamping WIC FMNP check resulting in returned checks for illegible FMP stamp. Corrective plan included, giving the farmer a replacement sign, provide technical assistance with banking issues including referencing the policy and guideline booklet. FY 2009 4. Number of FMNP local agencies to be reviewed in FY 2009: 6 (all local agencies at least once every two years) Number of farmers to be reviewed in FY 2009: 10 (minimum 10%) Number of farmers’ markets to be reviewed in FY 2009: 11(minimum 10%) Number of roadside stands to be reviewed in FY 2009: n/a 0 (minimum 10%) FMNP Grant Request: 5. Estimated number of FMNP recipients to be served with FMNP Federal and State agency funds in FY 2009: (Excluding Expansion) (Including Expansion, If Any) 3,746 Pregnant women 1,217 Breastfeeding women 0 Postpartum women 0 0 Infants (over 4 months of age) 0 13,307 Children (if sub-categories of children, e.g., ages 1-2 years old and 3-4 years old are defined by the State agency, please indicate accordingly) 0 Other designation (e.g., only Priority I pregnant or breastfeeding women; specify): 18,270 Total 0 6. Check (X) the type of FMNP recipients to whom benefits will be issued: x Individuals Households 7. The lowest Federal benefit amount that any FMNP recipient will receive in FY 2009 is $15.00 and the highest is $15.00. (Please note: Federal regulations at section 248.8(b) state that the value of the Federal share of the FMNP benefits received by each recipient, or by each family within a household in those States or Indian Tribes which elect to issue benefits on a household basis under section 248.6(c) may not be less than $10 per year or more than $30 per year.) 8. Do you plan to use non-Federal funds to provide FMNP benefits to non-WIC recipients? 15 Yes No If you answered YES, please describe this caseload; include the name(s) of the program(s) and the sources of non-Federal funds: n/a 9. Indicate the total number of local agencies serving FMNP recipients, and the number of each type of farmers, farmers' markets, and/or roadside stands authorized: FY 2008 FY 2009 11 local agencies 11local agencies 58 farmers 60 farmers 22 farmers’ markets 24 farmers’ markets 0 roadside stands 0 roadside stands 10. If fruits, vegetables, and/or fresh herbs have been added to the State agency’s list of eligible foods for FY 2009, list (or append a list) of those items. N/A 11. Is the State agency applying to use (not more than) 2 percent of the total program funds for market development and/or technical assistance in FY 2009? Yes No If yes, provide the justification for requesting market development or technical assistance funds, meeting the criteria set forth in § 248.14(h) of the Federal FMNP regulations. N/a 12. Describe the source(s) and amounts the State agency intends to use to meet the minimum 30 percent State/ITO match requirement for the FMNP, which will be $15,000 for your State/ITO in FY 2009 based on the Federal Funds Request and State/ITO Matching Funds worksheets on pages 33-36. (Note that the 30 percent minimum match requirement applies only to the total administrative cost of the program, although the State agency may meet this match requirement with State/ITO funds provided for food as well as administrative costs): 16 17 Type Source Amount State/ITO and local funds $ Private funds In-kind Contributions RI Dept. of Environmental Mgmt 15,000 Similar Programs Program Income Total: $15,000 State/ITO and local funds. If available, append documentation, such as a copy of appropriation legislation, budget page containing this line item, etc. Private Funds. Include a detailed description of all cash donations or letters of commitment from the organizations or individuals planning to make such donations. In-kind Contributions. If any portion of the State agency minimum 30 percent matching requirement will be met through in-kind contributions, describe the in-kind contribution, its value, and how the value was determined including any supporting documentation. Dept. of Environmental Management, Division of Agriculture and Marketing have oversight of all farmers. In conjunction with the HEALTH WIC Program FMNP, farmers are approved and eligible to sell at the various markets. Division of Agriculture has contributed the cost of some of the cooking demonstrations at the farmers’ markets. In addition to the cookbooks produced by HEALTH WIC Program FMNP, these demonstrations promote the use of healthy locally grown produce in easy to prepare and culturally divers dishes. Promotional and media placement are key to the marketing of the farmers’ markets. The Division of Agriculture supports seven (7) of the markets by acting as the market manager, providing oversight management of these markets at no cost to the farmers in those markets. Operating costs includes cost of tents, food demonstrations, publicity (signage and media announcements), and staffing of at least one (1) FTE on a 4.5-hour shift in the field from June through October, and transportation. Similar Programs. Federal funds provided for SFMNP or any other FNS program cannot be used as a match source. Include the title of the program, the source of funding and a brief description of how the program operates. Program Income. Describe type and source. Reminder to Current FMNP State agencies: In addition to the Updated State Plan section above, the following must be completed: a. FY 2009 FMNP Estimated Federal Budget Summary; b. Expansion Request for those State agencies requesting expansion funds; c. Other procedural changes or amendments to the plan that have occurred since the previous State Plan submission and approval, such as a change in the benefit level, new months of program operation, the numbers and addresses of new farmers’ markets, roadside stands, and clinics, and a new map showing the new farmers’ markets, roadside stands, and clinics. 18 FY 2009 Request for Expansion Funds No expansion funds requested for FY09 19 20 WIC Farmers' Market Nutrition Program Request for Expansion Fiscal Year 2009 This section should be completed only if a State agency operated a Federally-funded WIC Farmers' Market Nutrition Program in fiscal year (FY) 2008. If a State agency is requesting an increase in Federal funds above its base Federal grant, the expansion request should be consistent with expanding benefits to more recipients, increasing current benefits, or a combination of both, and expanding the awareness and use of farmers’ markets. Expansion funds are subject to the 30 percent match requirement. Generally, to be eligible for expansion funds, a State agency must 1) have utilized at least 80 percent of its prior year food grant, and 2) provide documentation supporting the expansion request. A State agency that did not spend at least 80 percent of its prior year food grant may still be eligible for expansion funds, if in the judgment of FNS, a good cause existed. Based on the availability of funds and the justification provided to FNS, expansion requests will be granted as early in the fiscal year as possible, but no later than February 15, 2009. 1. Base Grant amount for FY 2009 (this is your final FY 2008 grant amount): $136,789 2. Amount of expansion funds requested for FY 2009 (additional Federal funds above the amount in item number 1: $0. 3. Using Worksheet III-B, pages 35-36, the total amount of the State/ITO match required for the Base Grant amount and expansion funds is: $ . Describe the source(s) and amounts for the matching funds to support the expansion request 4. Estimated amount and percentage of Federal FMNP food funds spent by the State agency during FY 2008: $ and %. 5. Briefly describe the reason(s) for requesting funds to expand the FMNP, including any supporting documentation. Append additional sheets as needed. 6. Number of additional recipients above the previous year’s level the State agency hopes to serve (by category) with the expansion funds: pregnant women breastfeeding women 21 postpartum women infants (over 4 months of age) children Total 7. Number of additional farmers' market, roadside stand, and clinic sites the State agency anticipates authorizing: New farmers’ market sites. (Append a list of all new addresses.) New roadside stand locations. (Append a list of all new locations.) New farmers. (Append a list of all new addresses.) New clinics. (Append a list of all new addresses.) Append a list and map showing all of the new and continuing farmers’ markets, roadside stands, and clinics. 8. If the State agency intends to increase the benefit level with expansion funds, the new benefit level after expansion will be $ 9. If the State agency uses varying benefit amounts, please list all of the new benefit levels, indicating the recipient categories affected. Recipient category Benefit level 10. Briefly describe the State agency's administrative capacity to manage effectively the requested increase in FMNP caseload. FY 2009 State Plan of Operations 22 23 WIC FARMERS' MARKET NUTRITION PROGRAM State Plan of Operations Fiscal Year 2009 Identify clearly any attachments/addenda pages according to the numbering system used in this format. State Agency: Rhode Island I. Goals Describe the State agency's plans to achieve the dual purposes of the FMNP, i.e., providing a nutritional benefit to WIC recipients and expanding the awareness and use of farmers' markets. Also describe how the State agency plans to target the program to areas with high concentrations of eligible persons with the greatest access to farmers’ markets. Be sure to include any special features, such as the use of volunteers and community resources or specialized management information systems, which the State agency plans to implement for the enhancement of its operation and administration of the FMNP. For State agencies submitting their initial application for funding, please summarize any prior experience with similar farmers' market projects or programs. The summary should describe: a. the number and category of recipients served; b. the extent of the program, for example, was the program’s service delivery area limited to selected cities or counties, or was it a statewide or ITO-wide program?, and c. the source of funding for the program. Please include any data concerning the value or impact of the program(s). Distribution of FMNP checks to eligible participants: Funding is limited, therefore FMNP benefits will be issued on a priority categories process. Currently actively enrolled WIC participants whom are pregnant and/or breastfeeding women and children over the age of twelve (12) months, will be provided with $15.00 worth (three (3) equal checks of $5.00) of “Farm Fresh” checks redeemable at participating farmers’ markets to purchase fresh fruits and vegetables at authorized farmers. Checks will be provided once during the FMNP program year (June 1 through October 31) to each eligible participant. 24 FMNP Sites: Since first implemented in RI in 1994, FMNP approved markets have expanded from four (4) markets to twenty-two (22). These sites are scattered across the state, which enables twenty-six (26) WIC local sites to issue FMNP checks to their eligible clients. The relationship between continued growth of the FMNP and farmers’ market sites expansion is clear. Since the inception, the number of farmers has also expanded from approximately forty (40) to currently fifty-eight (58). II. General Administration 1. Estimated number of FMNP recipients in FY 2008 (if applicable): 18,272 2. Estimated number of FMNP recipients for FY 2009: 18,270 3. Proposed months of all Program operations: June 2009 through October 2009 4. Proposed months of FMNP coupon issuance: June 2009 through September 2009 5. Proposed months of coupon redemption by participants: June through October 6. Proposed months of submission for payment by farmers/farmers’ markets/roadside stands: June through November 7. Staffing List all FMNP staff positions below, including both full-and part-time positions. Append job descriptions for each position. An organizational flow chart identifying levels of responsibility can be provided with this list. Paid through Federal FMNP Administrative funds Position Full Time Part Time Chief, WIC Program x Program Specialist, FMNP Coordinator x Student Intern x Paid through State/ITO FMNP funds Paid through other funding source(s) – specify source(s) 8. If the FMNP State agency is not the WIC State agency, what functions will be performed by State/ITO or local WIC Program staff? Check all that apply. N/A Certify recipients for the FMNP Issue FMNP coupons to recipients Instruct recipients on proper use of coupons Provide nutrition education for the FMNP Issue FMNP coupons to local agencies Reconcile FMNP coupons Conduct FMNP reviews of authorized sites Authorize farmers/farmers' markets/roadside stands Train farmers/farmers' markets/roadside stands Monitor farmers/farmers' markets/roadside stands Include a copy in the attachment section of the signed agreement between the FMNP State agency and the WIC State agency (if different) delineating the functions to be performed as indicated above. The written agreement should delineate the responsibilities of each agency, specific work activities, and identify the responsible designated representative of each agency. 9. Will any other State or local government agency(ies), non-profit or for-profit organizations, or the Cooperative Extension Service provide services for the FMNP State agency? Yes No If yes, list the State or local government agency(ies) and/or other organizations. Include a copy of the signed agreement between the FMNP State agency and the other agencies and/or non-profit or for-profit organizations delineating the services to be performed in the addendum section. 25 10. Check (X) the type of FMNP recipients to whom FMNP benefits will be issued: Individuals Households 11. The lowest Federal benefit amount that any FMNP recipient will receive is $15.00 and the highest is $15.00. (Please note: Federal regulations at section 248.8(b) state that the value of the Federal share of the FMNP benefits received by each recipient, or by each family within a household in those States or Indian Tribal Organizations which elect to issue benefits on a household basis under section 248.6(c) may not be less than $10 per year or more than $30 per year.) 26 27 III. Funding 1. Please append a detailed description of the State agency's financial management system that will provide for accurate, current and complete disclosure of the financial status of the FMNP. At a minimum include the following elements: SEE APPENDIX #1 a. procedures, that enable prompt and accurate payment of allowable and allocable costs, and ensure that costs claimed are in accordance with A-87 (Cost Principles Applicable to Grants and Contracts with State/ITO and Local Governments) and FNS guidelines and instructions (see section 248.12 of FMNP regulations and FMNP Policy Memorandum 2002-1); b. procedures for obligating funds, including disbursing funds from the Letter of Credit; c. description of how farmers are paid; d. claims procedures for overpayments to farmers, farmers' markets, roadside stands, and recipients; and e. description of the time reporting system used to distribute employee salaries and related costs, and procedures and forms for conducting time studies. 2. Describe the source(s) and amounts the State agency intends to use to meet the minimum 30 percent State/ITO match requirement for the FMNP, which will be $15,000 for your State/ITO in FY 2009 based on the Federal Funds Request and State/ITO Matching Funds Estimation worksheet on pages 33-34. (Please note that the 30 percent minimum match requirement only applies to the total administrative cost of the program, although the State agency may meet this match requirement with State/ITO funds provided for food as well as administrative costs): Type Source Amount State/ITO and local funds RI Department of Health (HEALTH) $ Private funds In-kind Contributions RI Dept. of Environmental Mgmt 15,000 Similar Programs Program Income Total: $15,000 State/ITO and local funds. If available, append documentation, such as a copy of appropriation legislation, budget page containing this line item, etc. Private Funds. Describe in detail or append documentation of all cash donations or letters of commitment from organizations/individuals planning to make such donations. In-kind Contributions. If any portion of the State agency minimum 30 percent matching requirement will be met through in-kind contributions, describe the in-kind contribution, its value, and include any supporting documentation. (This is paid for by State Funds) Dept. of Environmental Management, Division of Agriculture and Marketing have oversight of all farmers. In conjunction with the HEALTH WIC Program FMNP, farmers are approved and eligible to sell at the various markets. Division of Agriculture has contributed the cost of some of the cooking demonstrations at the farmers’ markets. In addition to the cookbooks produced by HEALTH WIC Program FMNP, these demonstrations promote the use of healthy locally grown produce in easy to prepare and culturally divers dishes. Promotional and media placement are key to the marketing of the farmers’ markets. The in-kind contribution represent a donation from DEM of State funds used for Johnson & Wales to provide education on cooking and safe handling of produce as well as printing of cookbooks that are provided to WIC clients Total state funds used is $15,000.00. Similar Programs. Federal funds provided for SFMNP or any other FNS program cannot be used as a match source. Include the title of the program, the source of funding and a brief description of how the program operates. Program Income: Describe types. 3. Is the State agency seeking approval to use not more than 2 percent of its total program funds for market development or technical assistance to farmers' markets in FY 2009? Yes No These funds are only available for farmers' markets in socially or economically disadvantaged areas, or remote rural areas, where individuals eligible for participation in the program have limited access to locally grown fruits and vegetables. If yes, provide 28 29 the justification for the market development and/or technical assistance funds. 4. Append a detailed description of the State agency's record keeping system for the FMNP, addressing at a minimum, the following areas: a. financial operations - SEE APPENDIX #1 b. coupon issuance and redemption – SEE APPENDIX #2 AND #3 c. FMNP participation reporting – SEE APPENDIX #1 d. tracking staff time and other administrative expenses to ensure that federal FMNP funds are only used for costs, which are allowable and allocable for FMNP.- SEE APPENDIX#2 If forms have been developed to facilitate any of these functions, an example of the forms, along with a brief explanatory statement regarding the intent of each form (if necessary) should be attached to this document. A description of the State's/ITO’s financial management system is required earlier in this section. If some of the same information or forms are used to meet both aspects of this Plan, it is not necessary to duplicate that information. It may be cross-referenced to the section where it is covered most completely, i.e., here or earlier in the State Plan. 5. The Federal Funds Allocation Process and the State/ITO Match As required by law and regulations, the State/ITO match is calculated as follows: 1. Total Federal funds requested (prior year’s total Federal grant) X 17% (or 19%) = Federal administrative funds. 2. Federal administrative funds ÷ 70% = Estimated total administrative cost. 3. Estimated total administrative cost X 30 % = State/ITO match amount. (A State agency may provide more in State funds to administer the program. However, the FNS allocation only reflects the minimum amount that a State agency must match, not the amount of funds/resources a State agency actually puts into the program.) 4. Total Federal funds requested (prior year’s total Federal grant) + State/ITO match amount = Estimated total program cost. 6. Worksheets for Federal Funds Request and Matching 30 I. FY 2009 FMNP ESTIMATED FEDERAL BUDGET SUMMARY This Worksheet is for summarizing the Federal food and administrative funds. All State agencies must complete this worksheet. II. ADMINISTRATIVE BUDGET ESTIMATE This worksheet is for summarizing administrative activities and related funding. All State agencies must complete this worksheet. III. FEDERAL FUNDS REQUEST AND STATE/ITO MATCHING FUNDS ESTIMATION This worksheet is for estimating either the amount of Federal funds based on the State/ITO match amount available, or for estimating the State/ITO match amount and total program funds based on the amount of Federal food funds requested. All State agencies must complete either Part A or Part B of this worksheet as applicable. IV. FEDERAL FOOD FUNDS REQUEST BASED ON A UNIFORM BENEFIT LEVEL This worksheet estimates the number of recipients that can be supported with the Federal funds requested, when each category of recipient (i.e., women, infants and children) will receive the same benefit level. All State agencies must complete either this Worksheet or Worksheet V, below. V. FEDERAL FOOD FUNDS REQUEST BASED ON VARYING BENEFIT LEVELS This worksheet estimates the number of recipients that can be supported with the Federal funds requested, when one or more of the recipient categories (women, infants and children) will receive a benefit level different from the other categories. All State agencies must complete either this Worksheet or Worksheet IV, above. 31 UNIVERSAL IDENTIFIER: 037459216 State Agency Name: RHODE ISLAND I. FY 2009 FMNP ESTIMATED FEDERAL BUDGET SUMMARY 1. Total Federal Funds requested (Prior Year’s Total Federal Grant or Less): 152,739 2. Plus: Expansion funds requested (if any): 0 3. Less: Federal Administrative Funds at 17% of total: 25,965.63 4. Less: Market Devel. /Technical Assist. Funds (up to 2% of total): 0 5. Federal Food Funds: a. 83% (total without market development funds request): 126,773.37 *****OR***** b. 81% (total with market development funds request): II. ADMINISTRATIVE BUDGET ESTIMATE Coupon Market Nutrition Financial Total Management Management Education Management $ 5,193.12 $ 7,789.69 $ 7,789.69 $ 5,193.12 $ 25,965.63 20 % 30 % 30 % 20 % 100% Coupon Management: Printing and reconciling coupons, issuing coupons to recipients, and instructing recipients on the purpose of the program and proper use of coupons. Market Management: Authorizing, training, technical assistance, marketing, and monitoring of farmers/ farmers’ markets. Nutrition Education: Instructing recipients on the nutritional benefits of fresh, nutritious, unprepared foods such as fruits and vegetables. Financial Management: Preparing financial and recipient reports, issuing payments to farmers/farmers’ markets, and costs associated with FMNP audits. 32 III. FEDERAL FUNDS REQUEST AND STATE/ITO MATCHING FUNDS ESTIMATION Part A of this worksheet should be completed by a State agency that knows the amount of State/ITO funds available to meet the matching requirement, and wants to estimate the level of Federal funds the State/ITO matching funds can support. Part B of this worksheet is for a State agency to estimate its match amount and total program funds based on the amount of Federal food funds requested. A: To estimate the Federal food and administrative funds based on the matching amount: 1. Matching Funds: $ ÷ .30 = $ Total Administrative Funds 2. Total Administrative Funds: $ - Matching Funds = $ Federal Administrative Funds 3. Federal Administrative Funds: $ ÷ .17 (or .19) = $ Total Federal Funds B. To estimate the matching and administrative amounts based on the Federal food funds requested: 1. Prior Years Food Grant: $ 126,773.37 ÷ .83 (or .81) = $ 152,739.00 Total Federal Funds Requested, Food and Administrative. 2. Total Federal Funds Requested: $ 152,739.00 X .17 (or .19) = $ 25,965.63 Federal Administrative Funds 3. Federal Administrative Funds: $ 25,965.63 ÷ .70 = $ 37,093.76 Estimated Total Administrative Funds, Federal and State. 4. Estimated Total Administrative Funds: $ 37,093.76 - Fed. Admin. Funds = $ 11,128.13 State Agency’s Match for New FY. 5. State/ITO Matching Funds: $ 11,128.13 + Total Federal Funds = $ 163,867.13 Estimated Total Program Funds 33 IV. FEDERAL FOOD FUNDS REQUEST BASED ON A UNIFORM BENEFIT LEVEL This worksheet estimates the number of recipients that can be supported with the Federal funds requested, when each category of recipient (i.e., women, infants and children) will receive the same benefit level: 1. Total Federal Funds Requested: $ 152,739.00 2. Percent of Total Federal Funds Available for Food: x .83 **OR** x .81 3. Available Food Funds: $ 126,773.37 $ divided by divided by 4. Proposed Federal Food Benefit Level (Minimum $10; Maximum $30): $ 15.00 $ 5. Total Projected Federal Caseload: 8452 34 V. FEDERAL FOOD FUNDS REQUEST BASED ON VARYING BENEFIT LEVELS This worksheet estimates the number of recipients that can be supported with the Federal funds requested, when one or more of the recipient categories (women, infants and children) will receive a benefit level different from the other categories: 1. Total Federal Funds Requested: $ 2. Percent of Total Federal Funds Available for Food: x .83 **OR** x .81 3. Available Food Funds: $ $ CATEGORY I CATEGORY II CATEGORY III (Specify category) 4. Number of proposed program recipients by category: x x x 5. Proposed food benefit level: $ $ $ 6. Totals per category = $ $ $ 7. Add together the totals in Line 6, which must be equal to or be less than the total available Federal food funds in line 3: I: $ + II: $ + III $ = Grand Total: $ ( = line 3) 35 IV. Certification 1. Describe the State agency's plans to target areas with high concentrations of eligible persons and access to farmers' markets within the broadest possible geographic area. For example, will the State/ITO concentrate on serving only a few areas where there are large numbers of WIC recipients who have access to farmers' markets, or will it provide State/ITO-wide coverage? a. Provide a detailed description of the service area(s), including the number and addresses of participating markets, roadside stands, and WIC clinics. SEE APPENDIX #4 b. Append a map outlining the service area(s) and proximity of markets and roadside stands to clinics. SEE APPENDIX #4 c. Estimated number of WIC recipients per clinic: Clinic # of Recipients 2. Intended FMNP recipients: (Excluding Expansion) (Including Expansion) 18,270 WIC recipients only WIC applicants on waiting lists only 18,270 Both 3. Will all WIC recipients in an FMNP service delivery area be issued FMNP coupons, or only certain categories/groups? All eligible recipients Specified categories/groups:(check all that apply) 36 (Excluding Expansion) (Including Expansion) 3,746 Pregnant women 1,217 Breastfeeding women Postpartum women Infants (over 4 months of age) 13,307 Children (if sub-categories of children, e.g., ages 1-2 years old and 3-4 years old are defined by the State agency, please indicate accordingly): Other designation (e.g. only Priority I pregnant or breastfeeding women) (specify): 37 V. Coupon and Market Management 1. Issuing FMNP coupons to recipients a. Describe the State agency's procedures for ensuring the secure transportation and storage of coupons. Append any type of reporting form used to gather data. Include in your description the method used to transport coupons from the contractor who produces them to the State agency, and from the State agency to the local WIC clinics. Include a description of how unissued FMNP coupons are stored. This description should also include the automated processes as well as the manual processes used in the transportation and storage of coupons. SEE APPENDIX #3 b. Describe the coupon issuance system for recipients. Append any type of reporting form used to gather data. This description should include the automated processes as well as the manual processes used for issuance of coupons to recipients. SEE APPENDIX #3 c. Describe the State agency's system for instructing recipients on the proper use of FMNP coupons. If this function is to be performed by the WIC local agency on behalf of the FMNP State agency, indicate accordingly, who issues the coupons; what materials are provided during issuance; and who explains the use of the coupons and redemption procedures to the recipient. Append materials provided to participants instructing them on how to use FMNP coupons and any list of Farmers' Markets provided to participants. SEE APPENDIX #3 d. Append a copy of the log or other form used to record coupon issuance to valid certified recipients. SEE APPENDIX #3 2. Authorization of farmers, farmers’ markets, and roadside stands The State agency is responsible for the fiscal management of and accountability for FMNP-related activities by farmers, farmers’ markets and roadside stands. Each State agency may decide whether to authorize farmers individually, farmers’ markets, or both farmers and farmers’ markets, and also roadside stands. Only farmers and/or farmers’ markets and roadside stands authorized by the State agency, as set forth in the federal FMNP regulations, may redeem FMNP coupons. 38 a. Describe the State agency’s general authorization procedures for farmers and/or farmers’ markets. SEE APPENDIX #6 – FMNP SPONSOR GUIDELINES SEE APPENDIX #7 – FMNP FARMERS’ GUIDELINES b. List or append the criteria used to authorize farmers’ markets. Examples of authorization criteria include: 1) permanent market location; 2) sufficient number of growers who participate in the market; 3) a wide selection of products; or 4) good community support from non-FMNP sales. SEE APPENDIX #6 c. List or append the criteria used to authorize farmers. Examples of authorization criteria include: 1) grows a percentage (in the space below, indicate the percentage specified by the State agency) of the produce to be sold; 2) owns land within the State/ITO where produce is grown or, 3) certified by the State Agriculture Department, ITO Cooperative Extension Agent or by a Farmers’ Market Association within the State agency SEE APPENDIX #6 – FMNP SPONSOR GUIDELINES SEE APPENDIX #7 – FMNP FARMERS’ GUIDELINES d. How does the State agency define “eligible foods”? List or append a list of the fruits, vegetables, and/or fresh herbs that may be purchased with FMNP checks or coupons. For the purposes of the FMNP, “eligible foods” means fresh, nutritious, unprepared, locally grown fruits, vegetables and herbs. Eligible foods may not be processed or prepared beyond their natural state except for usual harvesting and cleaning processes. Honey, maple syrup, cider, nuts, seeds, eggs, meat, cheese and seafood are examples of ineligible foods for purposes of the FMNP. State agencies can also describe eligible foods as “all fruits, vegetables and herbs locally grown except…” SEE APPENDIX #8 e. How does the State agency define "locally grown produce" in order to designate FMNP eligible foods? Eligible foods are limited to produce grown within State/ITO borders or areas in neighboring States/ITOs adjacent to its borders. SEE APPENDIX # 6– FMNP SPONSOR GUIDELINES f. To what extent does the State agency permit or prohibit the participation of individuals who are selling produce grown by someone else, in addition to their own produce? Individuals who exclusively sell produce grown by someone else, such as wholesale distributors, cannot be authorized to participate in the FMNP. SEE APPENDIX # 6– FMNP SPONSOR GUIDELINES g. Under what conditions, if any, does the State agency authorize roadside stands, i.e., a location in which a single, individual farmer sells his/her own produce directly to consumers in contrast to a farmers’ market or a nonprofit organization that does not grow its own produce, but realizes a profit from such sales? Examples of authorization criteria include: 1) participant access, or 2) lack of farmers’ markets. List authorization criteria for roadside stands. RI FMNP does not authorize farm stands h. Indicate the number and type of farmers’ markets, farmers, and/or roadside stands that will be authorized in FY 2009: 60 farmers 24 farmers’ markets 0 roadside stands i. Does the State agency require that the Market Manager be bonded? Yes No 3. Farmers and/or Farmers’ Market Agreements Each State agency must enter into a written agreement with all participating farmers and/or farmers’ markets and roadside stands. This agreement must contain at a minimum the following specifications, including sanctions for non-compliance with FMNP requirements. Include the FMNP State agency -Farmers’/Farmers' Market/Roadside Stand Agreement in the addendum. SEE APPENDIX #9 – FMNP MARKET AGREEMENT – 2 YR SEE APPENDIX #10 – FMNP FARMER AGREEMENT – 1 YR a. The farmer and/or farmers’ market and roadside stand shall: i. provide such information as the State agency shall require for its periodic reports to FNS; ii. assure that FMNP coupons are redeemed only for eligible foods; iii. provide eligible foods at the current price or less than the current price charged to other customers; iv. accept coupons within the dates of their validity and submit coupons for payment within the allowable time period established by the State agency; v. in accordance with a procedure established by the State agency, 39 40 mark each transacted coupon with a farmer identifier. In those cases where the agreement is between the State agency and the farmer or roadside stand, each transacted FMNP coupon shall contain a farmer identifier and shall be batched for reimbursement under that identifier. In those cases where the agreement is between the State agency/ITO and the farmers' markets, each transacted FMNP coupon shall contain a farmer identifier and be batched for reimbursement under a farmers' market identifier; vi. accept training on FMNP procedures and provide training to farmers and any employees with FMNP responsibilities on such procedures; vii. agree to be monitored for compliance with FMNP requirements – including both overt and covert monitoring; viii. be accountable for actions of farmers or employees in the provision of foods and related activities; ix. pay the State agency for any coupons transacted in violation of this agreement; x. offer FMNP recipients the same courtesies as other market customers; xi. comply with the nondiscrimination provisions of USDA regulations; xii. notify the State agency if any farmer or farmers’ market or roadside stand ceases operation prior to the end of the authorization period. Provide the State agency with a regularly updated list of all farmers at the authorized market who accept FMNP coupons in exchange for their produce, and their effective dates of participation. b. The farmer and/or farmer’s market and roadside stand shall not: i. collect sales tax on FMNP coupon purchases; ii. seek restitution from FMNP recipients for coupons not paid by the State agency: and iii. issue cash change for purchases that are in an amount less than the value of the FMNP coupon(s). c. Neither the State agency nor the farmer and/or farmers’ market or roadside stand have an obligation to renew the agreement. Either the State agency or the farmer and/or farmers’ market or roadside stand may terminate the agreement for cause after providing advance written notification. The period of time within which such advance notification must be provided is to be stipulated by the State agency as part of the standard agreement. d. The State agency may deny payment to the farmer and/or farmers’ market or roadside stand for improperly redeemed FMNP coupons or 41 may establish a claim for payments already made on improperly redeemed coupons. The State agency may disqualify a market and/or a farmer or roadside stand for program abuse with a minimum of 15 days advance written notification. e. The State agency may disqualify a farmer and/or farmers’ market or roadside stand for FMNP abuse. f. A farmer and/or farmers’ market or roadside stand that commits fraud or engages in other illegal activity is liable to prosecution under applicable Federal, State/ITO or local laws. g. A farmer and/or a farmer's market or roadside stand may appeal an action of the State agency denying its application to participate, imposing a sanction, or disqualifying it from participating in the FMNP. If a State agency has agreements with farmers' markets, then a farmer shall appeal such actions to the farmers' market or farmers' association. Expiration of a contract or agreement shall not be subject to appeal through the FMNP State agency. h. Agreements may not exceed 3 years. The farmer and/or farmers' market and roadside stand agreements are valid for 1 year. 4. Describe or append other cooperative arrangements that may have been negotiated, such as with Cooperative Extension Service programs, or a State Agriculture Department or ITO to authorize farmers/farmers’ markets or roadside stands. Department of Environmental Management – Division of Agriculture SEE APPENDIX #11 5. Annual training for farmers and/or farmers’ markets: a. State agencies shall conduct annual training for farmers, roadside stands and/or farmers’ market managers and those who participated in the FMNP in prior years or who join the program after the regularly scheduled training has been held. Append or describe the procedures the State agency has in place or plans to implement for the annual training required for authorized farmers, and roadside stands and/or farmers’ market managers. SEE APPENDIX #7 – FARMER GUIDELINES & PROCEDURES SEE APPENDIX #12 – OPERATIONS MANUAL SECTION 3; V-3 b. Further, the State agency shall conduct a face-to-face training for all farmers, roadside stands and farmers’ market managers their first year of participation in the FMNP. Face-to-face training offers the opportunity for interaction and exchange of questions and answers, which may include 42 video conferencing as well as actual face-to-face training sessions. State agencies have discretion in determining the method used for future annual training purposes. At a minimum, annual training shall include instruction emphasizing: eligible food choices; coupon redemption procedures; equitable treatment of FMNP recipients; Civil Rights compliance and guidance; guidelines for storing coupons safely; and guidelines for canceling FMNP coupons, such as punching holes or rubber stamping. This description or appendix should also include the subsequent training methods made available to market managers, farmers, and roadside stand operators after the first year’s face-to face training. SEE APPENDIX #12 – OPERATIONS MANUEL, SECTION 3: V-3 6. Coupon accountability The coupon reconciliation process is intended to assure accountability by enabling the State agency to reconstruct the "life history" of each coupon, from the time it is issued through its final disposition. The State agency is responsible for reconciling validly redeemed coupons, as well as lost, stolen, voided, expired, or FMNP coupons that do not match issuance records. The process for reconciling lost and/or stolen coupons must ensure that farmers accepting such coupons in good faith, and through approved procedures, are not unfairly penalized for doing so. a. Describe or append the State agency's system for identifying and reconciling FMNP coupons that were redeemed, voided, expired, or reported lost or stolen and not matching issuance records. Validly redeemed FMNP coupons are those that are issued to a valid FMNP participant and redeemed by an authorized farmer or farmers’ market or roadside stand within valid dates. They must include: a valid recipient identifier from the signature on the issuance log, and a unique and sequential serial number; and must be transacted within valid dates and; by an authorized farmers' market, an authorized farmer operating under the auspices of the authorized market, or an authorized roadside stand. SEE APPENDIX #5 – PROCEDURE MANUAL , SECTION 300 SEE APPENDIX #3 – OPERATIONS MANUAL, SECTION 3, V-11 b. Describe or append the State agency’s system for ensuring that coupons are redeemed only by authorized farmers, farmers’ markets, or roadside stands for eligible foods. SEE APPENDIX #3– OPERATIONS MANUAL, SECTION 3, V-11 SEE APPENDIX # 13 – FMNP MONITORING c. Describe or append the State agency's system for identifying and 43 disallowing coupons that are redeemed or submitted for payment outside valid dates or by unauthorized farmers or farmers' markets or roadside stands. SEE APPENDIX #3– OPERATIONS MANUAL, SECTION 3, V-11 d. Coupon Timeframes (i) Redemption by recipients: October 31(no later than November 30) (ii) Submission for payment by farmers/farmers' markets/roadside stands: November 28 (iii) Payment by the State agency: December 1 All of the functions described above shall be completed within a timeframe that will allow the State agency to reconcile coupons, liquidate obligations, and submit its financial and recipient reports (FNS-683 and FNS-203) to FNS no later than January 31 of each year. e. Append a copy of the coupon/check to be used in the FMNP. SEE APPENDIX #14 – SAMPLE FMNP CHECK 44 VI. Management Evaluations and Reviews 1. Describe or append a description of the State agency's criteria for defining a high-risk farmer. Such criteria must include at a minimum: a. proportionately high volume of coupons redeemed within a farmers’ market or roadside stand and within a State or ITO; b. recipient complaints; and c. new farmers, farmers' markets, and roadside stands in their first year of operation. SEE APPENDIX #16 – OPERATIONS MANUAL SECTION 3, V-2 2. Review of farmers and farmers’ markets and roadside stands Describe the State agency's plans (including any compliance purchase activities) for reviewing authorized farmers/farmers' markets/roadside stands (on-site) in FY 2008. Ten percent of farmers, 10 percent of farmers' markets, and 10 percent of roadside stands must be monitored. For example, if there are five farmers' markets in a participating State/ITO and 40 farmers, the State agency shall monitor, at a minimum, one farmers' market and four farmers. These four farmers may or may not be participating within the one farmers' market being monitored. State Agency: RHODE ISLAND a. Number of farmers’ markets reviewed in FY 2008 (minimum 10%): 11 i. Markets with high-risk farmers 11 (50%) ii. Other markets ( %) b. Number of farmers’ markets to be reviewed in FY 2009 (min. 10%): 11 i. Markets with high-risk farmers 11 (50%) ii. Other markets ( %) c. Number of farmers reviewed in FY 2008 (minimum 10%): 31 (53%) i. High-risk farmers 15 (26%) ii. Other farmers 16 (27%) d. Number of farmers to be reviewed in FY 2009 (minimum 10%): 25 (43%) ( %) i. High-risk farmers 13 (22%) ii. Other farmers 12 (21%) 45 e. Number of roadside stands reviewed in FY 2008 (minimum 10%): 0 (N/A) i. High-risk farmers 0 (0%) ii. Other farmers 0 (0%) f. Number of roadside stands to be reviewed in FY 09 (minimum 10%): 0 N/A i. High-risk farmers 0 (0%) ii. Other farmers 0 (0%) 3. Describe or append the State agency's policies and procedures for determining the type and level of sanctions to be applied against farmers, farmers’ markets, and roadside stands which violate Federal and/or State agency FMNP requirements based upon the severity and nature of the FMNP violations. SEE APPENDIX #6 SEE APPENDIX #7 4. Review of Local Agencies Describe the State agency’s plans for reviewing FMNP practices at local agencies in FY 2008. All local agencies participating in the FMNP must be reviewed at least once every two years by non-WIC FMNP State agency staff or WIC State agency staff. Please append a copy of the State agency’s FMNP monitoring tool to review local agencies. a. Number of local agencies to be reviewed in FY 2009: 6 b. Number of local agencies reviewed in FY 2008 (if applicable): 7 c. Briefly summarize findings and corrective actions taken from any reviews conducted in FY 2008: Reviewed during management evaluations of the WIC programs. Failure to document correct risks which could affect eligibility determination, failure to consistently document eligibility, failure to provide at least 2 nutrition education contacts, failure to consistently use correct procedures in plotting and scale calibrations, failure to comply with check distribution procedures. 46 VII. Nutrition Education Requirements 1. Describe or append in detail the State agency’s plan to provide nutrition education to FMNP recipients. If the administering State agency for the FMNP is not the WIC State agency, and has entered into an agreement for the WIC State agency to provide nutrition education, append a copy of the WIC State agency’s nutrition education plans for FMNP recipients. It is not mandatory that the FMNP State agency retain sole responsibility for providing nutrition education to Program recipients. Nor is it intended that the FMNP State agency duplicate the nutrition education that may be currently provided by the WIC local agency. The FMNP nutrition education requirement may be fulfilled directly by the farmer’s markets or another branch of the State Department of Agriculture or ITO, or under agreement with the local WIC agency, area colleges and universities, the Expanded Food and Nutrition Education Program (EFNEP), the Cooperative Extension Service, and/or any number of other entities having the capability to address the particular nutritional benefits of fruits and vegetables that can be obtained at farmers’ markets. Any costs associated with the provision of nutrition education by an entity other than the administering agency of the FMNP are allowable administrative expenses under FMNP funding (up to 17 percent of the total grant). This aspect of the program responds directly to the Congressional intent in establishing the FMNP as a way to increase recipients’ awareness and use of farmers’ markets. Encourage Partnerships FNS believes that the effectiveness of nutrition education can be greatly enhanced through collaboration with others interested in promoting health and nutrition in low- income populations. Therefore, FNS strongly encourages collaboration and coordination of efforts with state/ITO-wide public and private partners to enhance both the outreach and efficacy of the nutrition education efforts. FNS encourages such collaboration to facilitate development of long-term, coordinated nutrition education plans and sustainable infrastructures, foster an integrated approach to nutrition education across programs in the State or ITO, capitalize on promotional opportunities, coordinate and pool resources for material development, duplication, and dissemination, and insure development of science-based messages that are consistent with the U.S. Dietary Guidelines for Americans, the Food Guide Pyramid, and other federal guidance. Promote the Dietary Guidelines Messages To create a base of messages that may be reinforced across FNS programs, FNS encourages State agencies to incorporate the messages contained in the latest edition of the Dietary Guidelines for Americans into nutrition education plans. It is expected that nutrition education messages will logically be tailored to address the most urgent nutrition education needs of constituents. However, as opportunities arise, FNS strongly encourages State agencies to convey at a minimum four key messages through WIC and other FNS programs so that program recipients have repeated exposure to these messages. The messages, all designed to promote food and physical activity choices for a healthy lifestyle, are as follows: Build a healthy base -- eat a variety of foods Add more fruits, vegetables and whole grains Eat lower fat foods more often Be physically active These messages-derived from the Dietary Guidelines-are being consistently and prominently promoted in all of the FNS programs to advance an integrated, behavior- based, comprehensive nutrition education approach across FNS programs. Using these four core messages, nutrition education program administrators across the many FNS programs can collaborate and work jointly around these common themes for their nutrition education interventions, for example to pool resources to develop materials jointly, conduct social marketing campaigns, and reinforce the educational messages. 2. List or append the locations or settings where nutrition education for FMNP is provided (i.e., WIC clinics, farmers’ markets, community centers, child care facilities, or schools). WIC Clinics and inner city farmers’ markets 3. Does the State agency coordinate with other agencies around issues related to nutrition education and promotion? No Yes (If yes, check the applicable partnerships below): Food Stamp Program Team Nutrition Other school-based programs Commodity Supplemental Food Program Children and Adult Care Food Program (CACFP) Food Distribution Program on Indian reservations WIC Other FNS programs (specify): Temporary Assistance for Needy Families Program Expanded Food and Nutrition Education Program (EFNEP) and/or Cooperative Extension Service Other government programs (e.g., Head Start, 5 A Day, etc.) Non-profit organizations (specify): 47 For-profit organizations (specify): Industry (specify): Professional organizations (specify): Educational Institutions (specify): Johnson and Wales University Religious Institutions (specify): Other (specify): 4. Describe how nutrition education for FMNP is coordinated with other nutrition education programs or services, such as WIC, Food Stamps, Extension Service, 5 A Day, or State/ITO initiatives. Sharing of nutrition education materials and demonstrations/classes at the FMNP market sites. 5. Describe the nutrition education materials that you have developed and how they are used. In addition, describe any new materials you are planning to develop. WIC Farmers’ Market Nutrition Program Participant Guide is given to WIC participants at the time of check pick-up. Guide includes healthy recipes, seasonal guide, and tips for storage. Recipe books with nutrition facts labels are given at the inner city farmers’ markets during cooking demonstrations. 6. Does the State agency plan to develop new participant educational materials containing the new Dietary Guidelines for Americans messages? Yes No If yes, please describe the elements below. Type of Material Target Audience Project Completion Date 7. If the State agency intends to collect survey information to assess the effects of the program on farmers’ markets and roadside stands and the change in consumption of fresh fruits and vegetables by FMNP recipients, append copies of survey forms. See appendix # 17 – Farmer and Participant surveys 48 49 VIII. Miscellaneous Requirements - Civil Rights Procedures; Hearing Procedures and Program Complaints; State Agency Drug-Free Workplace Procedures; Local Agency Debarment/Suspension Procedures; and, Local Agency Lobbying Certification and Procedures 1. Civil Rights – a. Describe the State agency's procedures for handling complaints of discrimination on the basis of race, color, national origin, age, sex or disability, including timeframes for submitting such complaints and for investigating them and responding to plaintiffs. The State agency's procedures for handling complaints of discrimination in the FMNP should be consistent with established and approved procedures for handling such complaints related to other assistance programs administered by the State agency. For example, if WIC Program-related allegations of discrimination are to be forwarded to FNS Headquarters for investigation and resolution, then FMNP complaints should be handled in the same way. It is not necessary for the State agency to develop separate, duplicative procedures for the FMNP if one already exists in a related program administered by the State agency. b. Confirm that the State agency is using the following statement on all FMNP brochures and publications, excluding materials which provide only nutrition education information without mentioning FMNP, and such items as caps, buttons, magnets and pens, when the size or configuration make it impractical: “In accordance with Federal law and U.S. Department of Agriculture policy, this institution is prohibited from discriminating on the basis of race, color, national origin, sex, age, or disability. To file a complaint of discrimination, write USDA, Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410 or call (800) 795-3272 (voice) or (202) 720-6382 (TTY). USDA is an equal opportunity provider and employer.” c. Confirm that the State agency is using the following statement, in print size no smaller than the text, in material to small to permit the full statement: “This institution is an equal opportunity provider.” d. Confirm that the State agency is using the following statement in radio and television public service announcements: “The FMNP is an equal opportunity provider.” 2. Hearing Procedures and Program Complaints - The State agency shall provide a fair hearing procedure whereby local agencies, recipients, and farmers/farmers' markets adversely affected by certain actions of the State agency may appeal those actions. A local agency may appeal an action of the State agency disqualifying it from participating in the FMNP. A recipient may appeal disqualification/suspension of FMNP benefits. A farmer/farmer's market may appeal an action of the State agency denying its application to participate, imposing a sanction, or disqualifying his/its from participating in the FMNP. If a State agency has agreements with farmers' markets, then a farmer shall appeal such actions to the farmers' market or farmers' association. Expiration of a contract or agreement, and determination of ineligibility to receive WIC benefits (and therefore to receive FMNP coupons) shall not be subject to appeal through the FMNP State agency. The State agency shall also provide procedures for addressing complaints about program operations. a. Describe or append the State agency's procedures for offering, conducting, and rendering final decisions on fair hearings requested by local agencies, recipients, and markets/farmers. The opportunity to request a fair hearing regarding certain adverse actions taken by the State agency must be provided to all farmers and/or farmers’ markets and recipients against whom such adverse action is taken. APPENDIX #15 – PROCEDURE MANUAL, SECTION 800 b. Describe or append the State agency's procedures for handling program complaints from recipients, non-recipients, markets, and farmers If the local WIC agency cannot handle a complaint, it is forwarded to the State Agency Staff. Referring the policies and procedures of the WIC program, State Staff respond to complaints from all sources. As necessary, feedback and/or technical assistance are provided to those involved. Complaints are tracked at the State Agency and reviewed periodically as part of the quality assurance and evaluation process. 3. Drug-Free Workplace - Describe or append the State agency's plans to maintain a drug-free workplace and otherwise comply with 7 CFR 3021. Per 7 CFR 3021.230, the State agency must identify all of its known State agency workplaces where work under the federal FMNP grant will be performed; please append a list of these workplace addresses. 4. Local Agency Debarment/Suspension – Per 7 CFR 3017.300, the FMNP State agency has on file either 1) a current certification in a format established by the State agency; or, 2) a local agency contract, or procurement contract equal to or exceeding $25,000, including assurance on debarment / suspension, which may be satisfied by the local agency debarment / suspension certification provided for WIC if it covers the same period as the FMNP local agency contract; or, 3) a record showing that the FMNP State agency had checked the Excluded Parties List System for each local agency (EPLS)? Yes No 50 5. Local Agency Lobbying Certification and Procedures – Per 7 CFR 3018, the FMNP State agency has on file the current form FNS-732, Certification Regarding Lobbying, for each FMNP local agency and procurement contractor with a sub-grant or sub-contract exceeding $100,000, if any? (This may be satisfied by the local agency lobbying certifications provided for WIC only if the State agency – local agency contract covers both WIC and FMNP.) Yes No 6. SF-LLL on File - The FMNP State agency has on file the current SF-LLL, Disclosure Form to Report Lobbying, if lobbying occurs with non-federal funds, for each FMNP local agency and procurement contractor with a sub-grant or sub-contract exceeding $100,000, if any? (This may be satisfied with local agency lobbying disclosures provided for WIC only if the State agency – local agency contract covers both WIC and FMNP.) Yes No 7. SF-LLL Transmission - The FMNP State agency has provided a copy of any such disclosures to the FNS Regional Office? Yes No 51 52 Appendices Include all appendices here. Identify clearly any appendices’ pages according to the numbering system used in this format. APPENDIX 1 Federal-State Agreement Special Supplemental Food Program Agreement (FNS 339) SUBMITTED WITH WIC STATE PLAN APPENDIX 2 WIC / FMNP Financial Management System Operations Manuel SECTION 6 SUBMITTED WITH WIC STATE PLAN APPENDIX 3 Vendor Payment Process Operations Manuel, SECTION 3, POLICY V-11 SUBMITTED WITH THE WIC STATE PLAN APPENDIX 4 Map of WIC/FMNP Sites SEE ATTACHED DOCUMENT FILE APPENDIX 5 Check Issuance and Control Procedure Manuel, SECTION 300 SEE ATTACHED DOCUMENT FILE APPENDIX 6 FMNP Sponsor Guidelines: FMNP-17 SEE ATTACHED DOCUMENT FILE APPENDIX 7 FMNP Farmer Guidelines and Procedures: FMNP-11 SEE ATTACHED DOCUMENT FILE APPENDIX 8 FMNP Participant Guidebook SEE ATTACHED DOCUMENT FILE APPENDIX 9 FMNP Market Agreement SEE ATTACHED DOCUMENT FILE APPENDIX 10 FMNP Farmer Agreement SEE ATTACHED DOCUMENT FILE 53 APPENDIX 11 FMNP Cooperative Agreement with DEM SEE ATTACHED DOCUMENT FILE APPENDIX 12 Vendor Education and Training Operations Manuel, SECTION 300: V-3 SUBMITTED WITH THE WIC STATE PLAN APPENDIX 13 FMNP Monitoring Farmer Market Monitoring Form – 10M SEE ATTACHED DOCUMENT FILE Farmer Monitoring Form – 10F SEE ATTACHED DOCUMENT FILE Local Agency Management Evaluation SUBMITTED WITH THE WIC STATE PLAN APPENDIX 14 Sample FMNP Check SEE ATTACHED DOCUMENT FILE APPENDIX 15 Civil Rights and Fair Hearing Process Procedure Manuel, SECTION 800 SUBMITTED WITH THE WIC STATE PLAN APPENDIX 16 Identification of High Risk Vendors Operations Manuel, SECTION 3: V-2 SUBMITTED WITH THE WIC STATE PLAN APPENDIX 17 FMNP Surveys FMNP Farmer Survey SEE ATTACHED DOCUMENT FILE FMNP Participant Survey SEE ATTACHED DOCUMENT FILE