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STATE OF OKLAHOMA
OKLAHOMA TOBACCO SETTLEMENT ENDOWMENT TRUST
REQUEST FOR PROPOSALS (RFP)
Communities of Excellence in Tobacco Control A One-Year Program
October 2013
RFP 092-7
Please read the entire request for proposal (RFP) and download the required forms prior
to completing the application.
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TABLE OF CONTENTS
INTRODUCTION ................................................................................................................ 5
Eligibility......................................................................................................................6Funding .......................................................................................................................7
Applicant Workshop.................................................................................................... 8
Timeline for Application Process ................................................................................. 8
APPLICATION EVALUATION CRITERIA................................................................................ 9
PROGRAM SCOPE OF WORK ........................................................................................... 10
Grantee Technical Assistance & Training Support ..................................................... 10
Final Authority .......................................................................................................... 12
Applicant Organization/Lead Agency ........................................................................ 12
Coalition/Consortium Grantee in Partnership with Lead Agency .............................. 15
Grantee Performance Measures ............................................................................... 16
APPLICATION SUBMISSION REQUIREMENTS & INSTRUCTIONS ....................................... 17
APPENDIX 1: BUDGET....................................................................................................... 21
APPENDIX 2: INDICATORS ............................................................................................... 24
APPENDIX 3: FUNDING MAXIMUMS ............................................................................... 31
APPENDIX 4: TERMS & CONDITIONS ............................................................................... 34
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Request for Proposals Overview
Purpose
The Communities of Excellence in Tobacco Control program focuses on community-based actions to reduce tobacco
use among Oklahomans of all ages and populations. This grant initiative is intended to fund communities currently
funded under the Communities of Excellence in Tobacco Control Wave 1, Round 2 initiative, operating and funded by
TSET in Year 5 or Fiscal Year 2014.
Eligibility Criteria
See detail on Page 6 of the RFP.
Total Funding
See detail on Page 7 of the RFP.
A total of $4.1 million is available for all applicants selected with a funding range of $154,000 - $431,000 among
applicants.
Key Dates
See detail on Page 8 of the RFP.
October 25, 2013Communities of Excellence in Tobacco Control RFP Release November 6, 2013Optional Applicant Workshop December 3, 2013Deadline for submission of questions related to the RFP January 22, 2014 at 4 p.m. CSTDeadline for receipt of proposals submitted via hard copy - Applications
must be delivered to the TSET Office at the following address:
Oklahoma Tobacco Settlement Endowment Trust
3800 North Classen Blvd., Suite 200
Oklahoma City, OK 73118
Attention: Grants Management
Application Evaluation Criteria
Proposals will be evaluated using the selection criteria on Page 9 of the RFP.
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How to Apply
One hard copy (using the prescribed format) and two CD copies of the entire application
in a single PDF must be included.
Contact TSET Director of Grants Management Kim McCoy with questions @ 405-521-6423 [email protected]
All TSET grants are awarded contingent upon the availability of funds.
All application submission forms required in response to the Communities of Excellence in Tobacco Control RFP
are available athttp://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.html
Required Application Forms Include the Following:
All forms below will be included as application attachments.
Form 1Solicitation Affidavit Form 2 Coalition/Consortium Membership Roster - Applicants will use the most recent Roster from the
Monthly Briefing Report accessible in OK.gov
Form 3 Community Profile Form 4 Lead Agency Profile Form 5Non-Acceptance of Tobacco Funds Form 6aSummary BudgetWord Version Form 6bBudget Narrative JustificationWord Version Form 6a & b Summary Budget and Budget Narrative Justification LinkedExcel Version Form 7Work Plan Template for Each Community Indicator
mailto:[email protected]:[email protected]:[email protected]://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.htmlhttp://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.htmlhttp://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.htmlhttp://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.htmlmailto:[email protected] -
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INTRODUCTION
The Oklahoma Tobacco Settlement Endowment Trust (TSET), an agency of the State of Oklahoma, announces the
availability of funding for a one-year period, available to current Wave I, Round 2 Communities of Excellence in
Tobacco Control (CX TC) grantees.
PurposeThis grant program is intended to support the continued implementation of comprehensive community-based
programs to reduce tobacco use among Oklahomans of all ages and populations through the implementation of
comprehensive, evidence-based interventions.
Successful applicants will engage in tobacco control interventions that have been proven effective in reducing
tobacco use in several states and are showing progress in current CX programs within Oklahoma.
The CX Program is intended to help implement the Oklahoma Health Improvement Plan and current TSET Strategic
Plan, which includes the following objectives:
Increase serious quit attempts from 58.8 percent to 65 percent of current adult smokers by 2015.
Reduce the rate of tobacco consumption per capita in Oklahoma from 79.0 packs to below the national rate
of 62.1 packs by 2015.
Reduce smoking prevalence in Oklahoma from 25.5 percent to below the national average of 20.6 percent
by 2015.
Community programs awarded funding will utilize a comprehensive and coordinated approach to achieve the
following:
Prevent the initiation of tobacco use among young people
Eliminate exposure to secondhand smoke
Promote cessation among adults and young people who currently use tobacco
Reduce tobacco industry influences among adults and youth
Community programs must also work to identify and eliminate disparities in specific populations, to prevent and
reduce tobacco use and exposure to secondhand smoke.
In general, the following proven strategies will be implemented through the Communities of Excellence in Tobacco
Control RFP:
Promote effective private and public policies that support tobacco use prevention and cessation in
education, business, government, faith-based and health care systems.
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Promote organizational policies and practices among employers, insurers and health care professionals and
systems that increase availability and use of effective treatments for tobacco use and dependence.
Mobilize youth through community and school-based tobacco use prevention education, advocacy and
enforcement activities.
Conduct public education activities to counter pro-tobacco influences and inform, educate and support localtobacco control programs and policies.
Participate in evaluating interventions and communicating results to the public.
Eligibility
Only Wave 1, Round 2 Tobacco Control grantees (current Lead Agency and Coalition) are eligible to apply to address
needs in the same service area, which may include a single county or multiple counties.
Geographical service area must be county-wide or include multiple counties (consortiums) with a minimumtotal population of at least 15,000.
Consortiums with separate tobacco control work groups, committees or sub-coalitions for each county orcommunity in the service area must have a unifying body through which periodic joint communications take
place as related to consortium business.
A Lead Agency/Applicant Organization serves as the fiscal agent for the grant and must be a private non-profit or public entity with an administrative presence in the State of Oklahoma.
The Lead Agency/Applicant Organization must complete and submit the Certification of Non-Acceptance ofTobacco Funds.
The Coalition/Consortium must verify its support of the Lead Agency/Applicant Organization by a majorityvote and provide documentation of that through submission of Coalition/Consortium meeting minutes as a
required part of the application.
The Lead Agency/Applicant Organization must have a tobacco-free policy for all properties and premisesunder the administrative control of the Agency.
Tribal nations that apply as a Lead Agency/Applicant Organization must submit a tribal resolution, or otherinstrument used by the tribe to indicate a waiver of immunity. A letter of tribal counsel must also be
submitted as part of the required waiver process.
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Funding
Funding available for FY 2015 remains at the amount awarded during FY 2014, although TSET may consider
a request by an applicant for greater than level funding as an exception, depending on the rationale and
associated scope of work.
Funding will not exceed the Funding Maximums in Appendix 3 applicable to funding as a single county or as
part of a consortium of multiple counties. A consortium may apply for a base of $100,000 plus an amount
not to exceed the Maximum Funding if Funded as Part of a Consortiumfor each county participating in
the consortium.
Funding is for a grant cycle of one fiscal year.
Funding will not be guaranteed for any county or tribal nation.
10% of the total TSET grant award will be allowed for an administrative charge (previously known as indirect
costs).
All grants are contingent upon the availability of funding.
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Applicant Workshop
To facilitate understanding of the Communities of Excellence in Tobacco Control One-Year RFP, its purpose, terms
and program goals, one applicant workshop will be held in Oklahoma City. The workshop is optional; however,applicants are strongly encouraged to attend, as training will include discussion of specific RFP requirements.
APPLICANT WORKSHOP
DATE:
Wednesday, November 6, 2013
TIME:
9:30 a.m.12:30 p.m.
LOCATION:
3800 North Classen Blvd, Oklahoma City, OK 73118
Water Resources Board, 2nd Floor Conference Room (next to TSET Office)
CONTACT PERSON:
TSET Director of Grants Management Kim [email protected]
405-521-6423
Timeline for Application Process
October 25 RFP Released
October 28 Invitations to Applicant Workshop Released
November 6 Applicant Workshop
December 3Deadline for Submission of Questions related to the RFP
4 p.m. CST
December 6 RFP FAQs and Answers are Posted to TSET Website4p.m. CST
January 22, 2014 Application Submission Deadline4 p.m. CST
February/March TSET Board of Directors Awards Funding
MarchJune 30 Awards Processed & Work Plans Finalized
July 1 Grant Year Begins
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APPLICATION EVALUATION CRITERIA
A point value will be assigned to each section of the RFP. The score is only one part of the review process.
Applications will be scored using the following criteria:
Potential for ImpactPriority will be given to programs in communities and Tribal Nations that offer the best and innovativestrategies for reaching the greatest proportion of targeted populations and organizations with proven
interventions.
Coalition/Consortium Accomplishments and Community MobilizationOrganizational impact on local tobacco control, including policy and ordinance passage and changes to
social norms in the service area will be evaluated based on information presented in the application.
Lead Agency/Applicant Organization Capacity and LeadershipAbility of the Lead Agency to facilitate the work as outlined in the application, including the administration
of finances and management of staff working with multiple organizations toward the achievement of stated
program objectives, must be demonstrated through information presented in the application.
Demonstrated Ability to Achieve ResultsPrior successes in combination with a robust plan for addressing performance measures related to the
Community Indicators and operations of the grant program.
Appropriateness of BudgetSupport for the budget request must be demonstrated in the application and expenditures must be tied to
the work plan, including listed objectives and activities.
The total number of points assigned will not be the final determinate for awarding grants.
Final grant awards are made at the sole discretion of the TSET Board of Directors. TSET reserves the right to conduct
a site visit as part of the selection process.
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SCOPE OF WORK
Communities of Excellence Approach
To promote and ensure emphasis on high-impact and outcome-oriented activities coordinated at the state and local
levels, training and technical assistance will be provided throughout the one-year grant lifecycle. Applicants will
prepare an application utilizing the Community Indicatorsand guidance in Appendix 2 of this document.
Grantee Technical Assistance and Training
Several organizations will be involved with Communities of Excellence in Tobacco Control grantees, throughout the
lifecycle of the grant. These include TSET, the Center for the Advancement of Wellness with the Oklahoma State
Department of Health (The Center), and the Oklahoma Tobacco Research Center (OTRC). Each organization plays a
unique role with grantees; however, each organization will:
Provide technical assistance and training related to particular topics in tobacco control, evaluation, grantsmanagement, health communications, and others.
Conduct telephone, email or face-to-face consultation regarding concerns particular to any or all grantees Facilitate sharing of information and experience among TSET grantees, and with other partners in Oklahoma
and nationally.
Work collaboratively with other technical assistance and training team members as well as grantees, whendeveloping new plans, tools, protocols, or training events.
Facilitate program related communication among grantees, other tobacco control programs in Oklahomaand throughout the U.S., to TSET and other relevant audiences, including mass and/or professional media.
Focus statewide attention on tobacco control issues and the community programs.
Oklahoma Tobacco Settlement Endowment Trust
Grant Management and Health Communications
TSET will be the primary point of contact for grants management and health communications, including the
following:
Grants Management
Provide training, technical assistance and consultation to grantees to include information on best practicesfor managing and operating the program under the terms of the grant. Facilitate the approval of a final
strategic plan and budget.
TSET also assures programmatic and evaluation technical assistance resources are available to grantees. Serve as a resource and recommend actions to facilitate grantee progress on program, evaluation, and
financial management reporting and deliverables such as strategic plans/work plans , progress reports, and
budget/fiscal matters.
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Approve and process invoices and expenditure reports. Stay abreast of research, trends, and new issues in grants management and tobacco control.
Health Communications Development and Implementation
Provide grantees with health communications products and collateral materials developed for use intobacco control.
Identify, develop and disseminate media campaign materials for use by programs, facilitate coordination ofhealth communications materials between programs; provide technical assistance on design, development
and evaluation of media at the local level.
Provide health communications technical assistance to grantees to achieve a final set of work plans andreview requested revisions to an approved budget when they contain health communications plans/costs.
Center for the Advancement of Wellness
Program Technical Assistance and Training
The Center will be the state-level point of contact for consultation involving content-specific and specialized
technical assistance and training.
The Center will do the following:
Provide grantees with training and updates of the Program Guidelines Manual.
Provide grantees with training, technical assistance and consultation to include updates to bestpractices/interventions in tobacco use prevention and control and strategic planning.
Facilitate effective strategic planning. Provide resources and technical assistance to TSET and grantees on surveillance systems that monitor
trends in tobacco control.
Disseminate information through distribution lists of grantees and other partners. Stay abreast of research, trends, and new issues in tobacco control. Serve as a resource to grantees in identifying and eliminating tobacco-related disparities among population
groups.
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The Center may contract with other organizations to provide specific training, technical assistance andconsultation on topics related to tobacco control interventions.
All contacts with the Center should be directed to:
Oklahoma State Department of Health, Center for the Advancement of Wellness
1000 NE 10th
Oklahoma City, OK 73117Office405-271-3619
Fax405-271-9053
Oklahoma Tobacco Research Center (OTRC)
External Evaluation Design and Local Evaluation Plan Development
The OTRC will be the primary point of contact for external evaluation of TSET-funded tobacco control programs.
OTRC will do the following:
Update and implement the protocol for data collection as related to the Community Indicators. Provide grantees with training and updates on evaluation planning and serve as an evaluation resource. Provide training and technical assistance as related to development and use of reporting tools and local
evaluations.
Provide feedback after evaluating individual grantees and the Communities of Excellence in Tobacco ControlProgram as a whole.
Facilitate independent evaluation of the Center and TSET periodically. Provide annual program evaluation results to TSET.
Final Authority
While the success of Communities of Excellence in Tobacco Control depends upon active collaborations among all
members of the established team, including the following: grantees, other Oklahoma Tobacco Control Program
partners, the Center, OTRC and TSET, TSET retains responsibility for and authority over the entire grant program.
Applicant Organization Serving as the Lead Agency
Fiscal Capability: The Applicant Organization serving as the Lead Agency for the county, Tribe or
coalition/consortium is the fiscal agent for the grant, with the responsibility of managing grant funds and personnel
associated with the grant. The Lead Agency must possess the capacity to administer funds throughout the one-year
lifecycle of the grant.
In addition, the Lead Agency may award subcontracts to organizations within the country, Tribe or
coalition/consortium, as appropriate, to implement various aspects of the planned program. Staff may find they
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need help in implementing a comprehensive approach, and local or regional resources may exist capable of
implementing a portion of the grant program in an effective manner with oversight by staff. The Lead Agency must
also monitor and manage the subcontracts to ensure the agreed upon work is completed in the manner desired.
As fiscal agent, the Lead Agency must do the following:
Possess a Federal Identification NumberIn order to receive grant funds, the Federal Identification Numberused must be registered to the named Lead Agency.
Maintain current registration as a vendor with the State of Oklahoma. Maintain current registration with the Oklahoma Secretary of State. Maintain a Certificate of Good Standing with the Oklahoma Secretary of State, if applicable. Have sufficient capital on hand to sustain ongoing program services for at least two months in the event of
an unforeseen delay in reimbursement of grant expenditures.
Comply with procedures outlined in the Financial Procedures Manual and submit monthly expenditurereports with invoices according to instructions in the Manual.
At the request of TSET, participate in a financial review conducted by TSET. At the request of TSET, participate in an independent audit about which TSET will notify grantees.
Programmatic Capability: The Lead Agency for the county, Tribe or coalition/consortium is responsible for ensuring
programmatic terms of the grant are fulfilled.
The Lead Agency must do the following:
Comply with guidelines set forth in the Program Guidelines Manual and other additional guidelinesdeveloped as needed.
Participate in grantee meetings, training events, required assessments and updates. Collaborate with community partners in training events, required assessments, preparation of application
information and reports and updates.
Play a key role in program work and implementation, including any updates. Hire or contract sufficient qualified program personnel, to include the involvement of coalition/consortium
representation in the hiring process.
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Provide necessary professional development opportunities for grant program personnel. Be willing to advocate on behalf of the grant program. Promote strong partnerships and opportunities to leverage one anothers networks and resources. Ensure the participation of all grant related staff in required training events identified by the TSET and the
Center. (See Resource Document 2)
Respond to information requests from TSET, the Center and/or OTRC. Participate in a minimum of one meeting with district legislators per year, or as often as deemed necessary,
for the purpose of informing, updating and strengthening relationships as related to the grant program at
the community level. (Meeting to take place inside the home district/ service area for which funds are
awarded.)
Meet with city, county and state officials according to activities listed in the work plan. Participate in statewide tobacco control policy initiatives.
Submit required program reports according to the format and schedule prescribed by TSET and OTRC.Program reporting may change over time.
Ensure the participation of the Lead Agency Administrator and Financial Officer and the ProgramCoordinator in site visits conducted by TSET and/or the Center and desk audits conducted by TSET.
Coalition/Consortium Support: The coalition/consortium and its member organizations will carry out many activities
under this community grant program; therefore, the Lead Agency must play an essential role inproviding staff time
and financial support to the coalition/consortium in order to mobilize member organizations to conduct community
interventions in tobacco control. The ability of the coalition to select their lead agency represents the will of the
community, creates buy-in from coalition members and community partners and gives the coalition the opportunity
to choose a credible community partner. This approach results in a passionate community workforce as well as a
respected community organization each committed to the success of the program from the start.
The Lead Agency must do the following:
Ensure the hiring of a qualified Community Program Coordinator as a full-time employee dedicated to theprogram. The Program Coordinator must have a minimum of a bachelorsdegree in a community health,
social work, communications or related field; however, substitutions for the educational requirement may
be considered on a case-by-case basis and must be approved by TSET. (Refer to the Program Guidelines
Manual for recommendations as related to qualifications and job description.) S/He must be able to work
collaboratively, be attentive to coalition members and partners and willing to share power and delegate
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responsibility. The Program Coordinator should be competent in negotiation, problem solving and conflict
resolution, and should have a high degree of knowledge of the political processes, proven administrative
skills and the ability to run efficient meetings. The Program Coordinator should display trustworthiness,
patience, energy and a sense of hope and demonstrate self-efficacy, flexibility and have the ability to see
the big picture.
Community programs must also include clerical support or additional staff as needed to fulfill the terms ofthe grant. Said determination must be made by the Lead Agency and the Coalition/Consortium.
Program Staff must not serve as officers of the coalition/consortium. Ensure provision of resources, including but not limited to meeting accommodations and notices, logistical
assistance, training opportunities, health communications resources, budget support and other assistance
as needed.
Ensure development and maintenance of a communication system through which coalition/consortiummembers are consistently informed of community issues, events and activities as related to the grant
program, including fiscal/budgetary matters.
Ensure provision of specific training workshops, conference calls, webinars and experiential learningopportunities for coalition/consortium members to enhance their understanding of effective tobacco
control interventions and evaluations.
Coalition/Consortium Serving as Grantee in Partnership with the Lead Agency
While the Lead Agency plays a fundamental role in coordination and leadership of the grant program, the
coalition/consortium is the engine of the program. Coalition/consortium member organizations and their partnersare the foundation of mobilizing communities in support of lasting changes to the environment and social norms.
When coalitions/consortiums collaborate, each member organization bringing resources and energies to bear,
necessary work is accomplished and goals are achieved; therefore, the responsibility of selecting a Lead Agency is an
important one because the Lead Agency must support the work of the coalition/consortium throughout the grant
lifecycle.
For the purposes of this RFP, the coalition/consortium is the body of community member organizations and
representatives named in the application (Coalition/Consortium Roster) as the grantee in partnership with the Lead
Agency.
The coalition/consortium may designate a work group, committee or subcommittee of member representatives to
work directly on the Communities of Excellence in Tobacco Control program, making the group responsible for
fulfilling work plan objectives. For many grantees, the tobacco control work group is a part of the grantee
coalition/consortium in partnership with the Lead Agency. The coalition/consortium serves as the approving body
and the work group periodically reports to them.
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As the TSET grantee and in partnership with the Lead Agency, the coalition/consortium must do the following:
Select the Lead Agency prior to the grant being awarded. Support the work of the Lead Agency throughout the life of the grant. Participate with the Lead Agency in hiring qualified staff. Participate in grantee meetings, training events and required assessments and updates and collaborate with
community partners in coordination of those things on an as-needed basis.
Play a key community role in implementation of the work plan, including any all named activities as relatedto plan objectives and any required assessments or evaluations.
Participate in a minimum of one meeting with district legislators per year, or as often as deemed necessary,for the purpose of informing, updating and strengthening relationships as related to the grant program at
the community level. (Meeting to take place inside the home district/ service area for which funds are
awarded.)
Meet with city, county and state officials according to activities listed in the work plan. Participate in statewide tobacco control policy initiatives.
After the Communities of Excellence in Tobacco Control Grant is awarded, the first order of business is for the
coalition/consortium to continue working within established operational framework to support the achievement of
work plan objectives.
Coalition/Consortium Collaboration with Other Health Agencies
The Lead Agency and Coalition/Consortium are encouraged to engage in local collaborations with other agencies on
major events designed to leverage the combined actions of several agencies toward comprehensive health
improvements. While maintaining a primary focus on their efforts in tobacco control, Communities of Excellence in
Tobacco Control grantees are also encouraged to seize opportunities to collaborate in meaningful ways with
Communities of Excellence in Physical Activity and Nutrition grantees
Grantee (Lead Agency and Coalition/Consortium) Performance Measures
Communities of Excellence in Tobacco Control grantees will be evaluated based on lead agency as well as
coalition/consortium performance measures and their work together in achievement of outcomes related to
Community Indicators.
Lead agency and coalition/consortium performance measures are described in previous sections addressing the
Applicant Organization Serving as the Lead Agency and Coalition/Consortium Serving as Grantee in
Partnership with the Lead Agency, and are fall under one or more of the following areas:
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Program Management and Staff Development Collaboration and Communication with Partners Engagement of Local Officials and Support of Statewide Policy Efforts Facilitation of Access to Training and Technical Assistance Evaluation Community Interventions
PROPOSALSUBMISSION REQUIREMENTS AND INSTRUCTIONS
Applicants are required to complete and submit the application, including required appendices and attachments to
the TSET Office at 3800 North Classen Blvd., Suite 200, Oklahoma City, OK 73118. The RFP, all attachments and
resource documents, which should be reviewed before attempting to complete the application, can be found athttp://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.html
1. Submit one paper copy of the entire application and two CD copies that include the entire application in a
single PDF are required.
2. All applications must be received by TSET at the address noted above no later than 4 p.m. January 22, 2014.
(Applicants must arrive in time to ensure date stamping by TSET Staff on or before 4 p.m., which may
involve waiting in line; therefore, arriving no later than 3:00 p.m. on the due date is strongly encouraged, as
all applicants must adhere to the prescribed deadline.)
3. A funding request for FY 2015 should not exceed the amount awarded during the last grant year (FY 2014).
TSET may consider a request for greater than level funding as an exception, depending upon extenuating
circumstances and work proposed as detailed and demonstrated in the application by presented by the
applicant. A funding request must not exceed the maximum award amount in the RFP.
4. Each complete grant application must include the required information listed below.
a. Applicant InformationProvide the requested information about the Coalition/Consortium and the Lead
Agency/Applicant Organization.
b. Solicitation Request Affidavit Complete and sign as required.
c. ProfilesComplete and sign as required.
a. Community Profile
b. Lead Agency/Applicant Organization Profile
http://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.htmlhttp://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.htmlhttp://www.ok.gov/tset/Grants/Communities_of_Excellence_Tobacco_Control_1_year_RFP.html -
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d. Work Plans Complete in numerical order. One work plan (Section III) for each Community Indicator (a
total of six)
e. Budget Use FY 2015 format and budget for the grant period of July 1, 2014June 30, 2015.
A comprehensive budget will be required, including the following:
a. Budget SummaryA form requiring a synopsis of line item expenses
b. Budget Narrative JustificationA form requiring explanation of each line item expense
NOTE:
TSET Financial Procedures Manuals are updated annually for use by grantees in budgeting and reporting. Rules that
define budget caps as related to specific line items are detailed and available for review therein.
Please see Pages 2123 of the RFP for additional information.
Applicants will be required to identify expenses according to the following budget categories :
Personnel Salaries Fringe Benefits Travel/Per Diem In State Travel/Per Diem Out-of-State
Training
Purchased Services Facilities Supplies Other Health Communications Administrative Charge (previously known as indirect costs)All applicants should note a FY 15 change
in this budget category. A total of 10% of the award granted will be allowed for an administrative charge
with no justification required.
5. Application Attachments
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a. Coalition/Consortium Meeting MinutesMinutes from the Coalition/Consortium in which the Lead
Agency/Applicant Organization was selected as the Lead Agency/Applicant Organization.
b. Coalition/Consortium Membership RosterApplicants will pull the most recent Roster from the
Monthly Briefing Report accessible in OK.gov.
c. Program Staffing Organizational ChartAn organizational chart indicating the reporting structure of
the staff working on this grant.
d. Job descriptions and resumes for grant program staff hired after July 1, 2013.e. Most Recent Financial AuditTSET must have verification of the fiscal fitness of the Lead
Agency/Applicant Organization to manage grant program finances as well as the capital to continue
operating while awaiting reimbursement of grant related expenditures.
f. Certificate of Good StandingAny incorporated organization serving as Lead Agency/Applicant
Organization must include a current Certificate of Good Standing from the Office of the Secretary of
State, State Capitol Building, Room 101, 2300 North Lincoln Blvd., Oklahoma City, OK 73105-4897
405-521-3912.
g. Tribal Waiver of ImmunityIf a Tribal Nation is selected as the Lead Agency/Applicant Organization,
the Nation must submit a Tribal Resolution or other instrument for use by the Tribe to indicate
waiver of immunity. A Letter of Tribal Counsel must also be submitted as part of the waiver process.
6. An Application Submission Checklist This is a resource document for the purpose of providing an itemized
list of what is required in the application, including all forms and attachments. It is not a required
attachment.
7. Cost of Preparing ProposalsCosts associated with preparation of proposals are the sole responsibility of
the applicant and will not be reimbursed by TSET.
8. Rejection of ProposalsThe TSET Board of Directors reserves the right to reject any and all proposals
received as a result of the RFP.
9. Confidential InformationAny confidential, proprietary or copyrighted material submitted by RFP
respondents must be marked CONFIDENTIALand submitted under separate cover. All proposals by
respondents will be available for review to the extent permissible pursuant to the Oklahoma Open Records
Act, Title 51 24 A. 19 et seq. Applicants should consult their own legal counsel prior to submitting
information for consideration as proprietary or confidential.
10. Clarification of LanguageThe terms respondent,applicantand contractorare used synonymously in
this document. Must,shalland willdenote mandatory compliance of a requirement in this document.
The term Trustor TSETis used synonymously with the Oklahoma Tobacco Settlement Endowment Trust
and the term stateis used synonymously with Oklahoma, as is the term programwith the consulting
services described in this document.
11. Questions About this Request for ProposalIn addition to the applicant workshop, at which applicant
attendance is strongly encouraged, TSET will accept questions and/or comments about the RFP by fax or
email as follows:
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TSET/Attention: Director of Grants Management Kim McCoy
FAX: 405-525-6104
The deadline for submission of questions is Tuesday, December 3, 2013 @ 4 p.m. CST.
All questions will be answered in writing and forwarded by fax or via e-mail within one week of receipt byTSET.
A list of all questions and answers will also be posted to the TSET website Friday, December 6, 2013 @ 4
p.m. CST.
12. TSET does not guarantee receipt of a grant award Submission of a proposal, even one that meets all
grant requirements as stated does not guarantee receipt of an award.
13. The RFP, application submitted, the final budget and a fully executed purchase order constitute the entire
contract or grant awardFunds will be paid on a reimbursement basis. The grant shall be subject to all ofthe TERMS and CONDITIONS in Appendix 4. In the event of noted inconsistencies between the TERMS and
CONDITIONS and any or all portions of the RFP, the TERMS and CONDITIONS in Appendix 4 shall govern.
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APPENDIX 1
Budget Preparation Requirements
An important part of this grant application is budget preparation. The goal of a budget is to link listed all expenses
with specific elements of the proposed project. Applicants should use their best judgment in projecting expenses
and previous year expenditures may be an ideal way to gauge program expenses for the coming year.
NOTES:
Projections that are carefully considered and thoughtfully designed may reduce the need for budget revisions.
Applicants should design budgets that reflect the most effective use of resources.
Applicants should carefully review Terms and Conditionsdetailed in Appendix 4 for information related to the
legal and financial responsibilities of grantees.
General Budget Submission Guidelines
The budget is divided into prescribed sections that represent line items or specific expense categories.
Justification for each budget category must contain a narrative to explain the relationship between the requested
category amount and grant programs scope of work and outcomes. The narrative should describe how the funds
for the expense category will be spent and how the amount for each one was determined.
The Budget Summary page is intended to serve as a synopsis of line item or category specific expenses.
The budget must reflect all program expenses for the entire fiscal year (July 1, 2014 June 30, 2015).
Prohibited ExpensesAs related to this grant program, TSET funds may not be used for the following purposes:
Any activity or expense not directly related to the program Operating expenses of the agency such as telephone costs, utilities, maintenance costs, postage or
stationery unrelated to the program
Hiring/Payment of Lobbyists Items for which third-party reimbursement is available Endowment or capital costs, including construction, renovation or equipment Entertainment costs for amusement or diversion, unless used for SWAT programmatic activities that
have received prior approval from TSET and the Center Compensation of coalition/consortium members for time spent in coalition/consortium meetings;
except that coalition/consortium members may be reimbursed for necessary travel expenses incurred
in the performance of their duties as coalition/consortium members
Individual professional membershipsSeek guidance from TSET as related to professionalorganizational memberships
Certificate of Good Standing Purchase of food not classified as light refreshments
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Items costing in excess of $500 and having a depreciable asset life of greater than five years Fundraising expenses incurred for the sole purpose of raising capital or obtaining contributions
unrelated to the program. (This includes staff time.)
NOTE: Any event requiring payment of an admission fee must be pre-approved by TSET at least 30 days
prior to the event.
Youth, coalition/consortium and community partners attending out-of-state conferences or trainingworkshops that do not meet the specification detailed in the Program Guidelines Manual
Tobacco cessation classes directly provided by the Communities of Excellence in Tobacco ControlProgram Coordinator, either as a coordinator or facilitator of classes; staff members or subcontractors
serving as full-time cessation class facilitators; FDA approved pharmacotherapy for the insured; or
worksite cessation classes beyond the short-term start-up effort of an ongoing program
Expenditure Limitations
The following individual line item expenditures are limited to an amount not to exceed 10% of the TSET grant
award:
Expenditures in the categories listed below that exceed the 10% cap will be assessed on a case-by-case basis.
Health Communications materials, to include billboards, print ads, and/or radio spots and collateralmaterials such as press kits and non-personnel website costs
Classroom or school-based curriculumCurriculum can only be purchased and provided to schooldistricts that do not accept funding from any tobacco company and have adopted a tobacco-free
campus policy that covers the entire schools grounds and school sponsored events 24 hours a day, 7
days a week.
Tobacco dependence treatment therapies, including pharmacotherapy such as nicotine patches, gum,lozenges, nasal spray and inhaler, Zyban, Chantix or other FDA approved pharmacotherapies to aid in
tobacco cessation. Tobacco dependence treatments purchased with TSET funds must be reserved foruse by the uninsured.
The following individual line item expenditures are limited to an amount not to exceed 5% of the TSET grant award:
Out-of-State TravelLimit of five individuals traveling in a single yearPrior written approval must be obtained from TSET prior to the following :
Budget revisions in excess of 5% of the total contacted annual TSET grant award Notice of Intent to SubcontractThis is a form that must be completed prior to the effective date of
the subcontract and prior to incurring any costs associated with the subcontract. See ResourceDocuments for sample form.
Budget Clarification Process
Budget clarifications occur following notification of the grant award. The budget submitted as part of the initial
application is considered aproposed budget, not a final one. The proposed budget will be reviewed to ensure that it
is consistent with goals and objectives detailed in the application and prepared in accordance with TSET policies.
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Negotiations as related to the budget may occur between the TSET and the grantee. TSET may determine the need
to limit support for a line item or eliminate support for it altogether.
When clarifications conclude, the grantee will be notified of the final approved budget.
Specific Guidelines for Completing the Budget
Applicants should reference the 2014 Financial Procedures Manual for information used to complete each budgetsection and the budget as a whole. (Manual available online)
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The table that follows lists the Communities of Excellence in Tobacco Control FY 15
Community Indicators. It also includes outcomes and reporting information.
INDICATOR OUTCOMES AND REPORTING
CI 1: CORE
Proportion ofcommunities with a
tobacco-related
ordinance or policy
encompassing all city-
owned/operated
property
Proportion ofcommunities that do
not allow tobacco
marketing/advertising
at city-hosted events
OUTCOMES:
Goldstandardpolicy:
The community has an ordinance or policy designating all indoor and outdoorcity-owned/ operated property tobacco-free and has an ordinance or policy
prohibiting tobacco marketing/advertising at city-hosted events
Incrementalpolicies:
The community has an ordinance or policy designating all indoor and outdoorcity-owned/ operated property smokefree and has an ordinance or policy
prohibiting tobacco marketing/advertising at city-hosted events
The community has an ordinance or policy designating all indoor and outdoorcity-owned/operated property tobacco-free
The community has an ordinance or policy designating all indoor and outdoorcity-owned/operated property smokefree
The community has an ordinance or policy that prohibits tobaccomarketing/advertising at city-sponsored events
DEFINITIONS:
Tobacco: Any product that contains or is derived from tobacco and is intended
for human consumption excluding drugs or devices approved for cessation by the
United States Food and Drug Administration. This includes e-cigarettes and vapor
devices.
Tobacco-free: Prohibits the use of any tobacco product by anyone, anywhere, at
any time.
Tobaccoindustrymarketing/advertising:Advertising is public presentation or
promotion of tobacco products to existing and potential customers. Marketing
includes advertising but also extends to a mix of activities such as market
research, media planning, public relations, product pricing and distribution,
customer support, sales strategy, and community involvement.
City-hostedevents:The city is the host and may or may not invite others to
sponsor the event. Examples include county fairs, rodeos, motor sports, other
sporting events, parades, concerts, museums, dances, festivals, etc.
NOTES:
Data source: OUE provides list of communities
The community may address both components (tobacco-free or smokefree
property and not allow tobacco marketing/advertising) in a single ordinance or
policy or create a separate ordinance or policy for each component
Keep a copy of each ordinance or policy on file and submit a copy to the Center
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INDICATOR OUTCOMES AND REPORTING
CI 1: Continued Ordinance/policy must be accompanied by documentation (e.g., city records,
codification, council meeting minutes) confirming date of adoption
For each community and outcome component the grantee will report if the
outcome was met through:
City/town ordinance or City/town policy
CI 7: OPTIONAL
Extent of smoke free
buildings within multi-
unit housing complexes
OUTCOMES:
Goldstandardpolicy:
The multi-unit housing complex has a policy designating the entire complex assmokefree
Incrementalpolicy:
The multi-unit housing complex has a policy designating at least one residentialbuilding as smokefree
DEFINITIONS:
Multi-unithousingcomplexes:Examples include public housing, apartments, non-
public student housing, nursing homes, assisted living centers, etc.
NOTES:
Selection of this indicator requires a completed assessment demonstrating that
this indicator is a good fit for your service area
Keep a copy of each policy on file and submit a copy to the Center
Documentation of the date of adoption must be submitted
For each policy the following numbers will be reported:
Total number of complexes included in the policy For each complex, the total number of smokefree buildings For each complex, the total number of buildings in the complex
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INDICATOR OUTCOMES AND REPORTING
CI 8: OPTIONAL
Extent of recreationalfacilities, entertainment
venues, sporting
venues, and public or
private events that are
designated tobacco-
free or smokefree
Extent of recreationalfacilities, entertainment
venues, sporting
venues, and public or
private events that
prohibit tobacco
industry
marketing/advertising/
sponsorship
CI 8: Continued
OUTCOMES :
Goldstandardpolicy/writtenguidelines:
The facility, venue, or event has a policy designating it as tobacco-free and has apolicy prohibiting tobacco industry marketing/advertising/sponsorships
Incrementalpolicies:
The facility, venue, or event has a policy designating it as smokefree and has apolicy prohibiting tobacco industry marketing/advertising/ sponsorships
The facility, venue, or event has a policy designating it as tobacco-free The facility, venue, or event has a policy designating it as smokefree The facility, venue, or event has a policy prohibiting tobacco industry
marketing/advertising/sponsorship
DEFINITIONS:
Tobacco: Product that contains or is derived from tobacco and is intended for
human consumption excluding drugs or devices approved for cessation by the
United States Food and Drug Administration. This includes e-cigarettes and vapor
devices.
Tobacco-free: Prohibits the use of any tobacco product by anyone, anywhere, at
any time.
Tobaccoindustrymarketing/advertising:Advertising is public presentation or
promotion of tobacco products to existing and potential customers. Marketing
includes advertising but also extends to a mix of activities such as market
research, media planning, public relations, product pricing and distribution,
customer support, sales strategy, and community involvement.
Tobaccoindustrysponsorship:Financial or other support to the arts, music,
sporting, or other types of events
Recreationalfacilities,entertainmentvenues,sportingvenues,publicorprivate
events:Examples include county fairgrounds, amusement parks, outdoor
stadiums, concert halls, festivals, concerts, 5K walk/run, etc.
NOTES:
Selection of this indicator requires a completed assessment demonstrating that
this indicator is a good fit for your service area
The facility, venue, or event may address both components (tobacco-free orsmokefree and not allow tobacco industry sponsorship) in a single policy/written
guidelines or create a separate policy/written guidelines for each component.
Keep a copy of each policy/written guidelines on file and submit a copy to the
Center
Documentation of the date of adoption must be submitted
For each policy/written guidelines the following numbers will be reported:
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INDICATOR OUTCOMES AND REPORTING
Total number of facilities, venues, events included in the policyCI 10: CORE
Proportion of public
school districts, charter
schools, and privateschools with 24/7
tobacco-free campuses
OUTCOME:
Public school district, charter school, or private school has a 24/7 tobacco-freecampus policy
DEFINITIONS:
Tobacco: Product that contains or is derived from tobacco and is intended for
human consumption excluding drugs or devices approved for cessation by the
United States Food and Drug Administration. This includes e-cigarettes and vapor
devices.
24/7tobacco-freecampus:Prohibits tobacco use anywhere on campus, at any
time, and by any personpolicy extends to school-sponsored vehicles and events
held off-campus
NOTES:
Data source: OUE provides list of public school districts and charter schools.
Grantee maintains list of private schools
Keep a copy of each policy on file and submit a copy to the Center
Policy must include date of adoption and signature, or must be accompanied by
documentation (e.g., school records, board meeting minutes, student handbook)
confirming the date of adoption
CI 13: OPTIONAL
Proportion of
communities or tribal
nations with youth access
ordinances or laws
prohibiting tobacco sales
to minors that at least
meet the provisions of
the Oklahoma Prevention
of Youth Access to
Tobacco Act
OUTCOME:
Community or tribal nations has an ordinance or law that at least meets theprovisions of the state law
DEFINITIONS:
Communities:Number of non-excluded incorporated areas in the service area
NOTES:
Data source: OUE provides list of communities
Selection of this indicator requires a completed assessment demonstrating that
this indicator is a good fit for your service area
Keep a copy of each policy on file and submit a copy to the Center
Policy must include date passed and signature, or must be accompanied by
documentation (e.g., city records, codification, council meeting minutes)
confirming the date of adoption
CI 18: CORE
Extent of utilization of the
Oklahoma Tobacco
Helpline by tobacco user
registrants
OUTCOME:
Total number of tobacco user registrants to the Helpline by county during thegrant year
Monthly average number of tobacco user registrants to the Helpline by countyduring the grant year
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INDICATOR OUTCOMES AND REPORTING
DEFINITIONS:
Tobaccouserregistrants:Tobacco users who called the Oklahoma Tobacco
Helpline and registered for the one-call program, the multiple-call program, or
self-help materials
NOTES:
Data source: OUE
CI 22: CORE
Extent of worksites
designated tobacco-free
or smokefree
OUTCOMES:
Goldstandardpolicy:
The worksite is designated entirely tobacco-free (prohibits tobacco useanywhere on worksite property, at any time and by any personpolicy extends
to company vehicles, equipment, and off-site events)
Incrementalpolicy:
The worksite is designated tobacco-free with the exception of off-site events(prohibits tobacco use anywhere on worksite property, at any time and by any
personpolicy extends to company vehicles and equipment)
The worksite is designated entirely smokefree (prohibits smoking anywhere onworksite property, at any time and by any personpolicy extends to company
vehicles, equipment, and off-site events)
The worksite is designated entirely smokefree with the exception of off-siteevents (prohibits tobacco use anywhere on worksite property, at any time and
by any personpolicy extends to company vehicles and equipment)
DEFINITIONS:
Tobacco: Product that contains or is derived from tobacco and is intended for
human consumption excluding drugs or devices approved for cessation by the
United States Food and Drug Administration. This includes e-cigarettes and vapor
devices.
Tobacco-free: Prohibits the use of any tobacco product by anyone, anywhere, at
any time.
NOTES:
Keep a copy of each policy on file and submit a copy to the Center
Documentation of the date of adoption must be submitted
CI 24: CORE
Proportion of local
earned media coveragethat exposes tobacco
industry practices
OUTCOME:
Proportion of earned media spots published or aired during the grant year thatexpose the practices of the tobacco industry
DEFINITIONS:
Earnedmediaspots:Newspaper articles (including print and online articles, press
releases, and editorials), magazine articles and radio or television interviews.
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INDICATOR OUTCOMES AND REPORTING
NOTES:
The following numbers will be reported:
Number of earned media spots published or aired during the grant year Number of earned media spots exposing the tobacco industry published or
aired during the grant year
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APPENDIX 3
Communities of Excellence in Tobacco Control Funding Maximums
Tribal Nation
EstimatedOklahomaEnrolled
Members
Maximum Funding if
funded as a Single
Tribe
Maximum Funding if
funded as part of a
Consortium*
Modoc Tribe of Oklahoma 120 n/a $1,000
Euchee (Yuchi) Tribe of Indians+
137 n/a $1,000
Ft. Sill Apache Tribe 300 n/a $1,000
Kialegee Tribal Town 347 n/a $1,000
AlabamaQuassarte Tribal Town 370 n/a $1,000
Tonkawa Tribe 365 n/a $1,000
Iowa Tribe of Oklahoma 375 n/a $1,000
Ottawa Tribe 385 n/a $1,000
ThlopthloccoTribal Town 613 n/a $1,000
Peoria Tribe of Indians of Oklahoma 744 n/a $1,000
Delaware 804 n/a $1,500
Miami Nation 812 n/a $1,500Eastern Shawnee Tribe 839 n/a $1,500
Quapaw Tribe of Oklahoma 892 n/a $1,500
Otoe-Missouria Tribe 976 n/a $1,500
Kaw Nation of Oklahoma 1,291 n/a $2,000
Shawnee Tribe 1,500 n/a $3,000
Wyandotte Nation 1,600 n/a $3,000
Apache Tribe 1,688 n/a $3,500
Wichita & Affiliated Tribes 1,756 n/a $3,500
Kickapoo Tribe of Oklahoma 1,779 n/a $4,000
Pawnee Nation of Oklahoma 2,062 n/a $4,000
Seneca-CayugaTribe of Oklahoma 2,162 n/a $4,500
Sac & Fox Nation 2,320 n/a $5,000
Absentee Shawnee Tribe 2,310 n/a $5,000
Caddo Tribe 2,500 n/a $5,000
Ponca Nation 3,000 n/a $6,000
Delaware Tribe of Indians+
3,400 n/a $7,000
Osage Nation 4,994 n/a $10,000
Kiowa Tribe 6,958 n/a $14,000
Cheyenne-Arapaho Tribes 8,601 n/a $17,000
ComancheNation 9,000 n/a $18,000
Citizen PotawatomiNation 10,176 n/a $21,000
United Keetoowah Band of Cherokees 11,000 n/a $22,000
Seminole Nation 12,098 n/a $24,000
Chickasaw Nation 25,000 $150,000 $50,000
Muscogee (Creek) Nation 51,153 $202,000 $102,000
Choctaw Nation+
90,000 $280,000 $180,000
Cherokee Nation 110,000 $300,000 $200,000Population Data Source: Oklahoma Indian Affairs Commission, Oklahoma Indian Nations Pocket Pictorial Directory - Year 2008Edition or the Oklahoma Indian Nations Information Handbook - Year 2006-2007 Edition
+ Population Data Source: Tribal Nation
* Consortiums will be eligible for a base funding amount of $100,000 plus the amount listed in this column for each county or tribe that is partof the consortium
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APPENDIX 3The 26 counties highlighted in green are currently part of a CX 1 Coalition/Consortium; therefore eligible for funding through this RFP 092-7.Counties currently included as part of a Wave I Consortium are not eligible to apply for funding as individual counties.
CountyEstimated
Population
Maximum Funding if
funded as a Single
County
Maximum Funding if
funded as part of a
Consortium*
Cimarron 2,556 n/a $6,000Harmon 2,843 n/a $6,000
Harper 3,290 n/a $7,000
Roger Mills 3,404 $0 $7,000
Ellis 3,971 n/a $8,000
Dewey 4,389 n/a $9,000
Grant 4,450 n/a $9,000
Beaver 5,248 n/a $11,000
Alfalfa 5,637 n/a $11,000
Greer 5,713 n/a $11,000
Coal 5,721 n/a $11,000
Cotton 6,191 n/a $13,000
Jefferson 6,219 n/a $13,000
Major 7,112 n/a $14,000
Tillman 7,899 n/a $16,000
Woods 8,422 n/a $17,000
Love 9,112 n/a $18,000
Kiowa 9,155 n/a $19,000
Johnston 10,286 n/a $21,000
Latimer 10,561 n/a $21,000
Nowata 10,729 n/a $21,000
Noble 11,169 n/a $22,000
Okfuskee 11,172 n/a $22,000
Washita 11,709 n/a $23,000
Pushmataha 11,710 n/a $23,000
Haskell 12,152 n/a $24,000
Blaine 12,659 n/a $25,000
Murray 12,784 n/a $25,000
Hughes 13,625 n/a $27,000
Kingfisher 14,300 n/a $29,000
Atoka 14,655 n/a $29,000
Choctaw 14,890 n/a $30,000
Marshall 14,919 n/a $30,000
Craig 15,132 $130,00 $30,000
Pawnee 16,307 $133,00 $33,000
Woodward 19,838 $139,00 $39,000
McIntosh 19,689 $139,00 $39,000
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CountyEstimated
Population
Maximum Funding if
funded as a Single
County
Maximum Funding if
funded as part of a
Consortium*
Beckham 21,136 $142,000 $42,000
Adair 21,811 $144,000 $44,000
Seminole 24,200 $148,000 $48,000
Jackson 25,236 $152,000 $52,000
Custer 26,412 $152,000 $52,000Garvin 27,247 $154,000 $54,000
Caddo 29,024 $159,000 $59,000
Ottawa 31,849 $164,000 $64,000
Lincoln 32,153 $165,000 $65,000
McClain 32,365 $165,000 $65,000
McCurtain 33,532 $167,000 $67,000
Pontotoc 36,999 $173,000 $73,000
Logan 38,102 $176,000 $76,000
Okmulgee 39,219 $179,000 $79,000
Mayes 39,912 $179,000 $79,000
Bryan 40,109 $180,000 $80,000
Delaware 40,425 $181,000 $81,000Sequoyah 41,044 $182,000 $82,000
Stephens 43,489 $187,000 $87,000
Pittsburg 45,115 $190,000 $90,000
Osage 45,489 $191,000 $91,000
Kay 45,632 $191,000 $91,000
Cherokee 45,733 $191,000 $91,000
Carter 47,979 $195,000 $95,000
Le Flore 49,802 $199,000 $99,000
Washington 50,452 $201,000 $101,000
Grady 51,066 $202,000 $102,000
Garfield 58, 167 $215,000 $115,000
Wagoner 68,960 $234,000 $134,000
Pottawatomie 69,616 $238,000 $138,000
Creek 69,822 $238,000 $138,000
Muskogee 71,278 $242,000 $142,000
Payne 78,280 $257,000 $157,000
Rogers 84,300 $268,000 $168,000
Canadian 106,079 $285,000 $186,000
Comanche 111,772 $296,000 $196,000
Cleveland 239,760 $340,000 $240,000
Tulsa 591,982 $500,000 $400,000Oklahoma 706,617 $575,000 $475,000
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APPENDIX 4
Grant Terms and Conditions
SPECIAL TERMS AND CONDITIONS
Compliance with the Oklahoma Smoking in Public Places and Indoor Workplaces Act:
Title 63 of the Oklahoma Statutes, Sections 1-1521 through 1-1527All grantees and subcontractors must be in full compliance with the Oklahoma Smoking in Public Places and Indoor
Workplaces Act.
Electronic Communication Minimum Standards:
In order to assure consistent and accessible communication between the grantees, Center, OTRC and TSET,
grantees must ensure that at a minimum, all program staff members have internet access, Microsoft Windows 2003
or more current, Microsoft Office 2003 Professional or more current and Adobe Acrobat Standard or Professional.
Broadband access is not required but is preferred, as many of the electronic forms or web-based reporting items
may be difficult to access or download through use of dial-up access. Document scanning capability is alsopreferred, though not required. Document scanning is used to improve turnaround time on invoice related issues,
including approval, Notices of Intent to Subcontract and desk audit information requests.
Grantees should be able to participate in online communication product testing and surveys, which may include the
need for grantees to view videos, photographs and webinars, as well as hear accompanying audio and/or read
closed captioned copy.
GENERAL TERMS AND CONDITIONS
Access to Records Requirements:The grantee agrees to maintain required records and supporting documentation for validation of costs billed to TSET
for three years from the end date of the grant. The grantee also agrees to allow the State Audito rsOffice, TSET or
their authorized representatives to access records, books, documents, accounting procedures, practices or any
items of the service provider related to this contract for the purpose of audit and/or examination. The grantee
further agrees to ensure appropriate access by the aforementioned parties to any subcontractor s associated
records. In the event of any audit, litigation or other action involving these pertinent records beginning before the
three-year period, the grantee agrees to retain these records until all issues arising out of the action are resolved or
until the end of the three year period, whichever is later.
TSET may routinely request supporting documentation to validate vendor payments.
Advance Payments Prohibited:
No payments in advance of or in anticipation of goods or services to be provided under this grant shall be made by
TSET to the grantee or by the grantee to a subcontractor.
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Amendments:
Any modifications or amendments to this grant shall be in writing, dated and executed by both the grantee and
TSET.
Applicable Law:
This grant shall be governed in all respects by the laws of the State of Oklahoma not withstanding its choice of lawprovisions. The terms TSET, the agency, Trust, Oklahoma Tobacco Settlement Endowment Trustor any
other reference to an agency of the State of Oklahoma means the State of Oklahoma acting by and through that
agency. Any legal action in connection with this Agreement shall be filed in a court of competent jurisdiction in
Oklahoma County, Oklahoma, to which jurisdiction and venue TSET expressly agrees.
Assignment and Delegation:
The grantee may assign this contract or subcontract out a portion of the services as identified in the contract,
subject to the following conditions: For assignments, the TSET Contract Officer, prior to the effective date of any
assignment, must approve the assignment in writing. For subcontracts, the grantee will be responsible for
subcontracting the services or making alternative arrangements for the provision of services. Prior to the executionof a subcontract, the grantee agrees to provide to TSET a Notice of Intent to Subcontract.The grantee will be
liable for any and all additional costs and expenses arising from such subcontract or substitution to cover
performance. The grantee shall be totally responsible for the management of all subcontracts/subcontractors
proposed or engaged and shall be liable for all performance requirements regardless of which party is providing the
contracted supplies, materials, equipment or services. The grantee shall give TSET immediate notice in writing, by
certified mail, of any action or suit filed and prompt notice of any claim made against the grantee by any
subcontractor or contractor which, in the opinion of the grantee, may result in litigation related in any way to the
contractor or the State of Oklahoma.
Availability of Funding
Notwithstanding any contrary provision of this grant, any obligation of the TSET to make any payment(s)
hereunder is subject to the availability and continuation of sufficient funds for that purpose. This grant may be
canceled, and not renewed beyond the current fiscal year ending June 30, 2015 and the end of any subsequent
fiscal year without obligation or penalty, should the Board of Investors fail to certify sufficient earnings from the
Oklahoma Tobacco Settlement Endowment Trust, or if a reduction in or elimination of any source of funding for
the payment(s) required under this grant occurs.
Budget Revisions:
Reimbursement of all expenditures will be made in accordance with the approved budget. For each year of this
agreement, the grantee is allowed to make budget revisions not to exceed 5% of the total annual grant award,
between existing budget categories without seeking the prior approval of the TSET. All budget revisions in excess
of 5% of the total annual grant award must be approved in writing by the TSET prior to incurring any costs. Once
the 5% flexibility level is reached or a budget revision is submitted and approved, every budget revision thereafter
must be approved by TSET through the submittal of a budget revision request. It is understood that the TSET may
or may not have funds available to reimburse the grantee for substantial salary increases. All budget revisions that
would have the effect of changing the scope of work cannot and will not be reimbursed. TSET will determine, in its
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sole discretion, whether any particular budget revision changes the scope of work such that the revision cannot
and will not be reimbursed.
Cancellation Clause:
This grant shall be in force until the expiration date, or until 30 days after notice has been given by either party of
its desire to cancel. Notification of cancellation shall be by Certified Mail to the business address of record.
Certification of Non-Acceptance of Tobacco Funds
The grantee must certify that it will not accept funding from nor have an affiliation or contractual relationship with
a company engaged in the manufacture of tobacco or tobacco products during the term of the contract from the
TSET.
Certification Regarding Debarment, Suspension, Proposed for Debarment, or Declared
Ineligible for Award of Contracts by any Federal or State Agency:
By signing the contract, the grantee attests and assures that no employee or any of its
Principals performing hereunder:
a. are presently debarred, suspended, proposed for debarment, or declared ineligible for the award of
contracts by any Federal agency;
b. have within a three year period of this offer, been convicted of or had a civil judgment rendered against
them for: commission of fraud or a criminal offense in connection with
obtaining, attempting to obtain, or performing a public (Federal, State, or local) contract or subcontract;
violation of Federal or State antitrust statutes relating to the submission of offers; or commission of
embezzlement, theft forgery, bribery, falsification or
destruction of records, making false statements or receiving stolen property.
c. have, within a three year period preceding this offer, had one or more contracts terminated for
default by any Federal, State or local entity.d. are presently indicted for, or otherwise criminally indicted, or charged by a governmental
entity with any of the offenses enumerated above in this section .
Confidentiality of Protected Health Information:
To the extent the Health Insurance Portability and Accountability Act of 1996 (HIPAA) is applicable to this
agreement, the grantee, its officers and employees, agree as follows. Grantee acknowledges that it may have or
obtain access to confidential protected health information (PHI), including but not limited to individually
identifiable health information. Grantee may use PHI solely to perform its duties and responsibilities under the
Agreement and only as provided in the Agreement. Grantee acknowledges and agrees that PHI is confidential and
shall not be used or disclosed, in whole or in part, except as provided in the Agreement or by law.Specifically, grantee agrees it will:
a. not use or further disclose PHI except as permitted in the Agreement or as required by law, and in such
case, disclose only the minimum necessary;
b. protect and safeguard from any oral and written disclosure all confidential information,
regardless of types of media on which it is stored, with which the grantee may come in
contact
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c. use appropriate safeguards to prevent use or disclosure of PHI other than as permitted by the
Agreement or required by law
d. ensure that all of its subcontractors, vendors and agents to whom it provides PHI pursuant to
the terms of the Agreement, including this Addendum, shall agree to all of the same
restrictions and conditions to which the grantee is bound
e. report to TSET any unauthorized use or disclosure immediately upon becoming aware of it
and mitigate any harmful effects known to it of a use or disclosure the grantee makes inviolation of the Agreement
f. indemnify and hold TSET harmless from all claims, liabilities, costs and damages arising out of
or in any manner related to the disclosure by the grantee of any PHI or to the breach by the
grantee of any obligation related to PHI
g. make PHI available in accordance with 45 CFR 164.524
h. make PHI available for amendment and incorporate any amendments to PHI in accordance
with 45 CFR 164.526
i. make the information required to provide an accounting of disclosures available in accordance
with 45 CFR 164.528
j. make its internal practices, books and records related to the use and disclosure of PHI receivedfrom or created or received by one party on behalf of the other available to the Secretary of
Health and Human Services, governmental officers and agencies and TSET for the purpose of
determining compliance with 45 CFR 164.500-534
k. upon termination of the Agreement, return or destroy all PHI, if feasible, received from or created
or received by the grantee on behalf of TSET, which the grantee maintains in any form and retain
no copies of such information. If such return or destruction is not feasible, the grantee will extend
the precautions of the Agreement and this Addendum to the information and limit further uses
and disclosures to those purposes that make the return or destruction of the information
infeasible
l. comply with all applicable laws and regulations related to privacy and security, specifically
including but not limited to HIPAA.
The Parties agree to abide by any determination made by the TSET as to the applicability of HIPAA in
regard to any obligation or duty recognized, identified or performed by Organization pursuant to this
contract. The Parties recognize that any breach of confidentiality or misuse of information may result in
the termination of the contract and/or legal action. Said termination may be immediate and need not
comply with any termination provisions in the parties contract. The Parties further recognize that a
disclosure or improper use of PHI may subject the Parties to liability for their wrongful conduct. Except
as otherwise limited in the contract, the Parties may use or disclose PHI to perform the functions,
activities, and services for, or on behalf of, the other Party as specified in the contract, provided that
such use or disclosure would not violate applicable HIPAA provisions if done by such other Party.
Contact Persons:
For the purposes of this RFP, all contacts with the applicant shall be directed to its representative as
indicated on the solicitation request.
Prior to grant awards, all contacts regarding this Request for Proposal or any resulting contract shall be directed to
the issuing contract officer at the Tobacco Settlement Endowment Trust:
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Kim McCoy, TSET Director of Grants Management
Telephone 405-521-6423
Fax 405-525-6104
Oklahoma Tobacco Settlement Endowment Trust3700 N. Classen Boulevard, Suite 215
Oklahoma City, OK. 73118
Following acknowledgment of grant awards by TSET, all contacts with the grantor should be directed to TSET
Director of Grants Management Kim McCoy, who will serve as contracts manager. All program specific contacts
related to fiscal management, Indicators, objectives, activities and outcomes should be directed to TSET Director of
Programs and/or the TSET Program Officer assigned to your grant.
Jonas Mata, TSET Director of Programs
Telephone 405-521-3878
Sharon Neal, TSET Senior Program Officer
Telephone 405-521-3884
Fax 405-525-6104
Jennifer Wilson, TSET Program Officer
Telephone 405-521-4959
mailto:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected] -
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Disputes:
Any dispute concerning performance of the grant shall be decided by the TSET and a copy served in writing to the
contractor. Pending final determination of any dispute hereunder, the grantee shall proceed diligently with the
performance of the contract and in accordance with the Contract Officer's direction.
Entire Agreement:
This grant, including referenced forms and documents listed in Appendix 4, represents all the terms andconditions agreed upon by the parties. No other understandings or representations, oral or otherwise, regarding
the subject matter of this grant shall be deemed to exist or to bind any of the parties hereto.
Equipment and Other Purchases:
It is understood that no items of equipment, property or other capital purchases may be purchased without the prior
approval of TSET. Items of value under $500 are considered supplies and not equipment. It is understood that no
property or other capital purchases shall be reimbursed under the provisions of this grant. Ownership shall be
retained by TSET of any items of equipment, property or other capital assets purchased by TSET and placed with the
grantee pursuant to this grant. All inventory, maintenance and repair of items on loan to the grantee by TSET shall
be the responsibility of the grantee. The grantee shall be financially responsible for all TSET loaned property. Within30 days of the termination date of this grant, all such items must be returned, FOB destination, to the TSET by the
grantee in as good working order as when placed with the grantee except for reasonable wear and tear and subject
to consideration of a reasonable adjustment for any obsolescence. Failure to return the equipment in such working
order will result in deletion of the value of the equipment or the reasonable cost of restoring the equipment to such
order or condition, whichever is more reasonable, from the final payment to the grantee.
Event of Default:
In the event the grantee fails to meet the terms and conditions of this grant or fails to provide services in
accordance with the provisions of the grant, the TSET at its sole discretion, may withhold payments claimed by
the grantee or may by written notice of default to the grantee, cancel this grant. Cancellation due to default
shall not be an exclusive remedy, but shall be in addition to any other rights and remedies provided for by law. In
the event a Notice of Cancellation is issued, the grantee shall have the right to request review of such decision as
provided by the policy on file with the Board of Directors of the Oklahoma Tobacco Settlement Endowment Trust.
*Exception to standard cancellation clause of thirty (30) days notice.
Failure to Comply Statement:
The grantee shall be subject to all applicable state and federal laws, rules and regulations, and all amendments
thereto. The grantee agrees that should it be in noncompliance, the grant may be suspended or canceled in part
or in whole. Compliance with the requirements shall be the responsibility of the grantee, without reliance on or
direction by the TSET.
Force Majeure:
The grantee shall not be liable for any damages resulting from any delay in delivery or failure to give notice of
delay that directly or indirectly results from the elements, acts of God, delays in transportation, or delays in
delivery by any cause beyond the reasonable control of the grantee.
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Grantees Relation to the TSET:
The grantee is in all respects an independent contractor and is neither an agent nor an employee of the TSET.
Neither the grantee nor any of its officers, employees, agents, or members shall have authority to bind the
TSET nor are they entitled to any of the benefits or workerscompensation provided by the TSET to its
employees.
Inspection of Work Performed:The State of Oklahoma, State Auditor and Inspector, Tobacco Settlement Endowment Trust, or their authorized
representatives shall, at all reasonable times, have the right to enter into contractor's premises, or such other
places where duties under the grant are being performed, to inspect, monitor, or otherwise evaluate the quality,
appropriateness, and timeliness of work being performed. The grantee and all subcontractors must provide access
to all reasonable facilities and provide assistance, if deemed necessary by the requesting agency/personnel. All
inspections and evaluations shall be performed in such manner as will not unduly delay work.
Intellectual Property:
The grantee warrants that the purchase, use or sale of goods or services covered by this grant do not and will not
infringe any patent, trademark, copyright, trade secret or other intellectual property right.
The State of Oklahoma shall own all intellectual property rights, including without limitation copyright, resulting
from any design or development work by grantee in conjunction with this grant. The State of Oklahoma shall have
the authority to make derivative works of the products and results of the services rendered and no residual costs
will be incurred by the State of Oklahoma for additional printing or use. When using the consulting services of an
artist, writer, or designer for the development of materials, all grantees must indicate "Work for Hire" on
contracts. All subcontracts must provide that the products and results of the services to be rendered (and all
rights therein, including, without limitation, copyright) belong to and shall be the sole and exclusive property of
the State of Oklahoma and that the State of Oklahoma shall have the authority to make derivative works of the
products and results of the services rendered and no residual costs will be incurred by the State of Oklahoma for
additional printing or use.
When using the image or likeness of an individual in an educational material, grantees must ensure that the
individual has completed a consent form. Agencies shall obtain an additional consent form from the parent or legal
guardian of individuals under 18 years of age. The grantee agrees to hold harmless and indemnify the State of
Oklahoma, its officers, agents, successors, assigns and customers against and from any and all claims, demands,
losses cost, damages, suit