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.

TABLE OF CONTENTS
INTRODUCTION ................................................................................................................ 5 Eligibility......................................................................................................................6 Funding .......................................................................................................................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

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, 2013 Communities of Excellence in Tobacco Control RFP Release November 6, 2013 Optional Applicant Workshop December 3, 2013 Deadline for submission of questions related to the RFP January 22, 2014 at 4 p.m. CST Deadline 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.

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 or kimm@tset.ok.gov

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 at http://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 1 Solicitation 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 5 Non-Acceptance of Tobacco Funds Form 6a Summary Budget Word Version Form 6b Budget Narrative Justification Word Version Form 6a & b Summary Budget and Budget Narrative Justification Linked Excel Version Form 7 Work Plan Template for Each Community Indicator

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. Purpose This 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.

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 local tobacco 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 minimum total population of at least 15,000. Consortiums with separate tobacco control work groups, committees or sub-coalitions for each county or community 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 nonprofit 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 of Tobacco Funds. The Coalition/Consortium must verify its support of the Lead Agency/Applicant Organization by a majority vote 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 premises under the administrative control of the Agency. Tribal nations that apply as a Lead Agency/Applicant Organization must submit a tribal resolution, or other instrument 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.

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 Consortium for 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.

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 McCoy kimm@tset.ok.gov or 405-521-6423
Timeline for Application Process October 25 October 28 November 6 December 3 December 6 January 22, 2014 February/March March June 30 July 1 RFP Released Invitations to Applicant Workshop Released Applicant Workshop Deadline for Submission of Questions related to the RFP 4 p.m. CST RFP FAQs and Answers are Posted to TSET Website 4 p.m. CST Application Submission Deadline 4 p.m. CST TSET Board of Directors Awards Funding Awards Processed & Work Plans Finalized Grant Year Begins

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 Impact Priority will be given to programs in communities and Tribal Nations that offer the best and innovative strategies for reaching the greatest proportion of targeted populations and organizations with proven interventions. Coalition/Consortium Accomplishments and Community Mobilization Organizational 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 Leadership Ability 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 Results Prior successes in combination with a robust plan for addressing performance measures related to the Community Indicators and operations of the grant program. Appropriateness of Budget Support 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.

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 Indicators and 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, grants management, 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, when developing new plans, tools, protocols, or training events. Facilitate program related communication among grantees, other tobacco control programs in Oklahoma and 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 practices for 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. 10

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 in tobacco control. Identify, develop and disseminate media campaign materials for use by programs, facilitate coordination of health 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 and review 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 best practices/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 and consultation 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 73117 Office 405-271-3619 Fax 405-271-9053 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 Control Program 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 12

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 Number In order to receive grant funds, the Federal Identification Number used 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 expenditure reports 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 guidelines developed 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. 13

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 Program Coordinator 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 in providing 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 the program. The Program Coordinator must have a minimum of a bachelors degree 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 14

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 of the 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/consortium members 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 learning opportunities 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 partners are 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 related to 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 at http://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 Information Provide the requested information about the Coalition/Consortium and the Lead Agency/Applicant Organization. b. Solicitation Request Affidavit Complete and sign as required. c. Profiles Complete and sign as required. a. Community Profile b. Lead Agency/Applicant Organization Profile 17

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, 2014 June 30, 2015. A comprehensive budget will be required, including the following: a. Budget Summary A form requiring a synopsis of line item expenses b. Budget Narrative Justification A 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 21 23 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 Minutes Minutes from the Coalition/Consortium in which the Lead Agency/Applicant Organization was selected as the Lead Agency/Applicant Organization. b. Coalition/Consortium Membership Roster Applicants will pull the most recent Roster from the Monthly Briefing Report accessible in OK.gov. c. Program Staffing Organizational Chart An 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 Audit TSET 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 Standing Any 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 Immunity If 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 Proposals Costs associated with preparation of proposals are the sole responsibility of the applicant and will not be reimbursed by TSET. 8. Rejection of Proposals The TSET Board of Directors reserves the right to reject any and all proposals received as a result of the RFP. 9. Confidential Information Any confidential, proprietary or copyrighted material submitted by RFP respondents must be marked CONFIDENTIAL and 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 Language The terms respondent, applicant and contractor are used synonymously in this document. Must, shall and will denote mandatory compliance of a requirement in this document. The term Trust or TSET is used synonymously with the Oklahoma Tobacco Settlement Endowment Trust and the term state is used synonymously with Oklahoma, as is the term program with the consulting services described in this document. 11. Questions About this Request for Proposal In 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: 19

TSET/Attention: Director of Grants Management Kim McCoy FAX: 405-525-6104 E-mail kimm@tset.ok.gov 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 by TSET. 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 award Funds will be paid on a reimbursement basis. The grant shall be subject to all of the 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 Conditions detailed 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 Expenses As 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 memberships Seek guidance from TSET as related to professional organizational memberships Certificate of Good Standing Purchase of food not classified as light refreshments 21

 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 training workshops that do not meet the specification detailed in the Program Guidelines Manual Tobacco cessation classes directly provided by the Communities of Excellence in Tobacco Control Program 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 collateral materials such as press kits and non-personnel website costs Classroom or school-based curriculum Curriculum can only be purchased and provided to school districts 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 for use 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 Travel Limit of five individuals traveling in a single year Prior 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 Subcontract This 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 Resource Documents 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 a proposed 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 budget section and the budget as a whole. (Manual available online)

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APPENDIX 2 Community Indicators Minimum Requirements

Interventions will be guided by a set of eight Community Indicators, five of which are Core Indicators (CI 1, CI 10, CI 18, CI 22 and CI 24) and three of which are Optional Indicators (CI 7, CI 8 and CI 13). Applicants will develop work plans to address each of the five Core Indicators and one Optional Indicator for a maximum of six. The applicants selection of the Optional Indicator will depend on existing opportunities for tangible and impactful change at the local level as well as completion of remaining work on already successful efforts. The five Core Community Indicators are mandatory for all applicants, with applicants having the opportunity to select from three Optional Community Indicators.

1. Applicants in urban areas (Oklahoma City, Tulsa and Lawton) are strongly

encouraged to select Community Indicator 7. (Smokefree Multi-Unit Housing) as an

Optional Indicator. 2. The eight Core Community Indicators are based on priorities set by the partnership (TSET and the Center) and recommendations from the CX External Evaluator (OTRC). 3. TSET will work with the OTRC and Center to create a guidance document to inform the development of specific objectives for each of the Community Indicators. 4. Work on the Social Capital Assets will be integrated into the work plans for each Community Indicator and therefore, will no longer be addressed separately. 5. Only Section III of the Work Plan (the actual work plan template) will be required.

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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 CI 1: CORE Proportion of communities with a tobacco-related ordinance or policy encompassing all cityowned/operated property

OUTCOMES AND REPORTING OUTCOMES: Gold standard policy: The community has an ordinance or policy designating all indoor and outdoor city-owned/ operated property tobacco-free and has an ordinance or policy prohibiting tobacco marketing/advertising at city-hosted events Incremental policies: The community has an ordinance or policy designating all indoor and outdoor city-owned/ operated property smokefree and has an ordinance or policy prohibiting tobacco marketing/advertising at city-hosted events

Proportion of communities that do not allow tobacco marketing/advertising at city-hosted events

The community has an ordinance or policy designating all indoor and outdoor city-owned/operated property tobacco-free The community has an ordinance or policy designating all indoor and outdoor city-owned/operated property smokefree The community has an ordinance or policy that prohibits tobacco marketing/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. Tobacco industry marketing/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-hosted events: 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 25

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 multiunit housing complexes

OUTCOMES: Gold standard policy: The multi-unit housing complex has a policy designating the entire complex as smokefree Incremental policy: The multi-unit housing complex has a policy designating at least one residential building as smokefree DEFINITIONS: Multi-unit housing complexes: Examples include public housing, apartments, nonpublic 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

26

INDICATOR CI 8: OPTIONAL Extent of recreational facilities, entertainment venues, sporting venues, and public or private events that are designated tobaccofree or smokefree

OUTCOMES AND REPORTING OUTCOMES : Gold standard policy/written guidelines: The facility, venue, or event has a policy designating it as tobacco-free and has a policy prohibiting tobacco industry marketing/advertising/sponsorships Incremental policies: The facility, venue, or event has a policy designating it as smokefree and has a policy prohibiting tobacco industry marketing/advertising/ sponsorships

Extent of recreational facilities, entertainment venues, sporting venues, and public or private events that prohibit tobacco industry marketing/advertising/ sponsorship

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. Tobacco industry marketing/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. Tobacco industry sponsorship: Financial or other support to the arts, music, sporting, or other types of events Recreational facilities, entertainment venues, sporting venues, public or private 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 or smokefree 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

CI 8: Continued

Documentation of the date of adoption must be submitted For each policy/written guidelines the following numbers will be reported: 27

INDICATOR

OUTCOMES AND REPORTING

Total number of facilities, venues, events included in the policy

CI 10: CORE Proportion of public school districts, charter schools, and private schools with 24/7 tobacco-free campuses

OUTCOME: Public school district, charter school, or private school has a 24/7 tobacco-free campus 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. 24/7 tobacco-free campus: Prohibits tobacco use anywhere on campus, at any time, and by any person policy 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 the provisions 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 the grant year

Monthly average number of tobacco user registrants to the Helpline by county during the grant year 28

INDICATOR

OUTCOMES AND REPORTING DEFINITIONS: Tobacco user registrants: 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: Gold standard policy: The worksite is designated entirely tobacco-free (prohibits tobacco use anywhere on worksite property, at any time and by any person policy extends to company vehicles, equipment, and off-site events) Incremental policy: 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 person policy extends to company vehicles and equipment)

The worksite is designated entirely smokefree (prohibits smoking anywhere on worksite property, at any time and by any person policy extends to company vehicles, equipment, and off-site events) The worksite is designated entirely smokefree with the exception of off-site events (prohibits tobacco use anywhere on worksite property, at any time and by any person policy 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 coverage that exposes tobacco industry practices OUTCOME: Proportion of earned media spots published or aired during the grant year that expose the practices of the tobacco industry DEFINITIONS: Earned media spots: Newspaper articles (including print and online articles, press releases, and editorials), magazine articles and radio or television interviews. 29

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

Estimated Oklahoma Enrolled Members 120 137 300 347 370 365 375 385 613 744 804 812 839 892 976 1,291 1,500 1,600 1,688 1,756 1,779 2,062 2,162 2,320 2,310 2,500 3,000 3,400 4,994 6,958 8,601 9,000 10,176 11,000 12,098 25,000 51,153 90,000 110,000 Maximum Funding if funded as a Single Tribe n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a $150,000 $202,000 $280,000 $300,000 Maximum Funding if funded as part of a Consortium* $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,000 $1,500 $1,500 $1,500 $1,500 $1,500 $2,000 $3,000 $3,000 $3,500 $3,500 $4,000 $4,000 $4,500 $5,000 $5,000 $5,000 $6,000 $7,000 $10,000 $14,000 $17,000 $18,000 $21,000 $22,000 $24,000 $50,000 $102,000 $180,000 $200,000

Tribal Nation Modoc Tribe of Oklahoma + Euchee (Yuchi) Tribe of Indians Ft. Sill Apache Tribe Kialegee Tribal Town Alabama Quassarte Tribal Town Tonkawa Tribe Iowa Tribe of Oklahoma Ottawa Tribe Thlopthlocco Tribal Town Peoria Tribe of Indians of Oklahoma Delaware Miami Nation Eastern Shawnee Tribe Quapaw Tribe of Oklahoma Otoe-Missouria Tribe Kaw Nation of Oklahoma Shawnee Tribe Wyandotte Nation Apache Tribe Wichita & Affiliated Tribes Kickapoo Tribe of Oklahoma Pawnee Nation of Oklahoma Seneca-Cayuga Tribe of Oklahoma Sac & Fox Nation Absentee Shawnee Tribe Caddo Tribe Ponca Nation + Delaware Tribe of Indians Osage Nation Kiowa Tribe Cheyenne-Arapaho Tribes Comanche Nation Citizen Potawatomi Nation United Keetoowah Band of Cherokees Seminole Nation Chickasaw Nation Muscogee (Creek) Nation + Choctaw Nation Cherokee Nation

Population Data Source: Oklahoma Indian Affairs Commission, Oklahoma Indian Nations Pocket Pictorial Directory - Year 2008 Edition 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 part of the consortium

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APPENDIX 3
The 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.

County Cimarron Harmon Harper Roger Mills Ellis Dewey Grant Beaver Alfalfa Greer Coal Cotton Jefferson Major Tillman Woods Love Kiowa Johnston Latimer Nowata Noble Okfuskee Washita Pushmataha Haskell Blaine Murray Hughes Kingfisher Atoka Choctaw Marshall Craig Pawnee Woodward McIntosh

Estimated Population 2,556 2,843 3,290 3,404 3,971 4,389 4,450 5,248 5,637 5,713 5,721 6,191 6,219 7,112 7,899 8,422 9,112 9,155 10,286 10,561 10,729 11,169 11,172 11,709 11,710 12,152 12,659 12,784 13,625 14,300 14,655 14,890 14,919 15,132 16,307 19,838 19,689

Maximum Funding if funded as a Single County n/a n/a n/a $0 n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a $130,000 $133,000 $139,000 $139,000

Maximum Funding if funded as part of a Consortium* $6,000 $6,000 $7,000 $7,000 $8,000 $9,000 $9,000 $11,000 $11,000 $11,000 $11,000 $13,000 $13,000 $14,000 $16,000 $17,000 $18,000 $19,000 $21,000 $21,000 $21,000 $22,000 $22,000 $23,000 $23,000 $24,000 $25,000 $25,000 $27,000 $29,000 $29,000 $30,000 $30,000 $30,000 $33,000 $39,000 $39,000

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County Beckham Adair Seminole Jackson Custer Garvin Caddo Ottawa Lincoln McClain McCurtain Pontotoc Logan Okmulgee Mayes Bryan Delaware Sequoyah Stephens Pittsburg Osage Kay Cherokee Carter Le Flore Washington Grady Garfield Wagoner Pottawatomie Creek Muskogee Payne Rogers Canadian Comanche Cleveland Tulsa Oklahoma

Estimated Population 21,136 21,811 24,200 25,236 26,412 27,247 29,024 31,849 32,153 32,365 33,532 36,999 38,102 39,219 39,912 40,109 40,425 41,044 43,489 45,115 45,489 45,632 45,733 47,979 49,802 50,452 51,066 58, 167 68,960 69,616 69,822 71,278 78,280 84,300 106,079 111,772 239,760 591,982 706,617

Maximum Funding if funded as a Single County $142,000 $144,000 $148,000 $152,000 $152,000 $154,000 $159,000 $164,000 $165,000 $165,000 $167,000 $173,000 $176,000 $179,000 $179,000 $180,000 $181,000 $182,000 $187,000 $190,000 $191,000 $191,000 $191,000 $195,000 $199,000 $201,000 $202,000 $215,000 $234,000 $238,000 $238,000 $242,000 $257,000 $268,000 $285,000 $296,000 $340,000 $500,000 $575,000

Maximum Funding if funded as part of a Consortium* $42,000 $44,000 $48,000 $52,000 $52,000 $54,000 $59,000 $64,000 $65,000 $65,000 $67,000 $73,000 $76,000 $79,000 $79,000 $80,000 $81,000 $82,000 $87,000 $90,000 $91,000 $91,000 $91,000 $95,000 $99,000 $101,000 $102,000 $115,000 $134,000 $138,000 $138,000 $142,000 $157,000 $168,000 $186,000 $196,000 $240,000 $400,000 $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 1-1527 All 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 also preferred, 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 Auditors Office, 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 subcontractors 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 law provisions. The terms TSET, the agency, Trust, Oklahoma Tobacco Settlement Endowment Trust or 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 execution of 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 35

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 36

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 in violation 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 received from 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: 37

Kim McCoy, TSET Director of Grants Management Telephone 405-521-6423 Fax 405-525-6104 kimm@tset.ok.gov Oklahoma Tobacco Settlement Endowment Trust 3700 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 Fax 405-525-6104 JonasM@tset.ok.gov Sharon Neal, TSET Senior Program Officer Telephone 405-521-3884 Fax 405-525-6104 SharonN@tset.ok.gov Jennifer Wilson, TSET Program Officer Telephone 405-521-4959 Fax 405-521-6104 JenniferW@tset.ok.gov

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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 and conditions 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. Within 30 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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Grantee s 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 workers compensation 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, suits, judgments, penalties, expenses and liabilities of any kind or nature whatsoever including reasonable attorneys fees that may be incurred arising directly or indirectly out of or in connection with the possession, use, reuse, sale or resale or said goods or services, including actual or alleged infringement of intellectual property rights, including invention rights pending applications, patents, trademarks, copyrights, trade names trade dress, trade secrets, right of privacy and right of publicity, and grantee agrees to step in and defend the same if requested by the State of Oklahoma. The grantee warrants and acknowledges the State of Oklahomas reliance hereon, that the grantee has good and lawful title to all goods and services supplied by the grantee to the State of Oklahoma, and that the grantee conveys same free of encumbrance, including infringement of any known intellectual property rights, or if 40

covered by intellectual property rights of the grantee and in consideration of the State of Oklahoma buying goods and services from the grantee, grantee covenants not to sue the State of Oklahoma for infringement of said intellectual property rights of grantee, subject to the exceptions made in writing by the grantee to the State of Oklahoma within (30) days thereof and specifically listing each excepted right. Agencies are not allowed to profit from the sale of materials created through the use of grant funds awarded under this grant. In some cases, agencies are allowed to recoup material duplication/distribution costs on a costrecovery basis only. The grantee must contact the Center to obtain PRIOR APPROVAL to recoup material duplication/distribution costs or if they are considering private distribution of materials. Invoicing: A properly completed invoice must be submitted within 30 days of the end of the month in which services were delivered, be in accordance with the terms and conditions of this agreement, and include the following items: name, address and FEI number of the grantee invoice date period covered by invoice purchase order number any other data, reports, information or documentation required by other conditions of the contract detail of the services provided and be in accordance with the terms and conditions of this agreement Applicants may be asked to complete the monthly invoice online using the OKGrants System as automated invoicing becomes available to TSET grantees. The State of Oklahoma has 45 days from presentation of a proper invoice to issue payment to the grantee. The TSET may withhold or delay payment to any grantee failing to provide required programmatic documentation and/or requested financial documentation. If the grantee is unable to support any part of their claim to the TSET and it is determined that such inability is attributed to misrepresentation of fact or fraud on the part of the grantee, the grantee shall be liable to TSET for an amount equal to such unsupported part of the claim in addition to all costs, including legal, attributable to the reviewing and discovery of said part of claim. Liability under this section shall be determined within five years of the commission of such misrepresentation of fact or fraud. Non-Collusion: The Non-Collusion Affidavit is contained within the Solicitation Request that must be certified by the authorized official. Other Certifications: The grantee certifies compliance with the provisions of Titles VI and VII of the 1964 Civil Rights Act and Section 504 of the Rehabilitation Act 1973, the Age Discrimination Act of 1975, the Hatch Act, the Pro Children Act of 1994, Drug Free Workplace Act of 1988, the American with Disabilities Act of 1990, Title IX or the Education Amendments of 1972, 31 U.S.C. Section 1352, Public Law 105-78, and the Single Audit Act of 1984; as applicable. 41

Privacy Clause: The Grantee shall treat all information, and in particular, information relating to recipients and providers, which is obtained by it through its performance under the grant as confidential information to the extent that confidential treatment is provided under State and Federal law, and shall not use any information so obtained in any manner without the prior written approval of TSET except as necessary for the proper discharge of its obligations and securing of its rights hereunder. Procurement Integrity: The grantee certifies they have not entered into this contract with this or any other state agency that would result in a substantial duplication of the services or duplication of the end product rendered by the grantee or its employees. Prohibited Interests: The successful grantee and any entity or person directly or indirectly controlled by, under common control with, or controlling the grantee will not acquire any interest, direct or indirect, which would conflict in any manner or disagree with the performance of its services hereunder. The grantee further covenants that in the performance of the contract no person having any such known interest shall be employed. No official or employee of the State and no other public official of the State of Oklahoma or the Federal Government who exercises any functions or responsibilities in the review or approval of the undertaking or carrying out of the project shall prior to the completion of the project, voluntarily acquire any personal interest direct or indirect, in this grant or proposed grant. Public Disclosure: Upon signing of the grant by all parties, terms of the grant shall become available to the public, pursuant to the Oklahoma Central Purchasing Act, Title 74 O.S. Section 85.1 et seq., the Oklahoma Open Records Act, Title 25 O.S. Section 301 et seq., and any other applicable state or federal laws. Severability: If any provision of the grant (including items incorporated by reference) is declared or found to be illegal, unenforceable, or void, then both the TSET and the grantee shall be relieved of all obligations arising under such provision; if the remainder of the grant is capable of performance, it shall not be affected by such declaration or finding and shall be fully performed. Statement of Responsibility and Liability: The parties intend that each shall be responsible for its own intentional and negligent acts or omissions to act. The TSET shall be responsible for the acts and omissions to act of its officers, and employees while acting within the scope of their employment according to the Governmental Tort Claims Act, Title 51, O.S., 2001 & supp. 2008, 151 et seq. The grantee shall be responsible for any damages or personal injury caused by the negligent acts or omissions to act by its officers, employees, or agents acting within the scope of their authority or employment.

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The grantee agrees to hold harmless the TSET of any claims, demands and liabilities resulting from any act or omission on the part of the Grantee and/or its agents, servants, and employees in the performance of this contract. It is the express intention of the parties hereto that this agreement shall not be construed as, or given the effect of, creating a joint venture, partnership or affiliation or association that would otherwise render the parties liable as partners, agents, employer-employee or otherwise create any joint and several liability. Time and Effort: The grantee and any approved subcontractor claims reimbursement for time worked shall maintain time and effort reports on all personnel reimbursed by this grant. For employees, time and effort reports must account for the total activity for which each employee is compensated and include all hours worked by the employee (s) with the hours delineated by each program area. Time and effort reports must reflect after-the-fact distribution of the actual activity of each employee. Both the employee and their supervisor attesting to the performance of the services and the accuracy of the report must sign the reports. For subcontractors claiming reimbursement for time worked, the time and effort report must document the actual time worked by the subcontractor related to the program. The time and effort report for subcontractors must be signed by an authorized representative of the lead agency responsible for managing the subcontract. Travel and Related Expenses: If travel costs and related expenses are a part of the contract, they shall not exceed those authorized by the State Travel Reimbursement Act, Title 74 O.S. Supp. 2008, 500.1 et seq. All out-of-state travel where reimbursement is requested must be pre-approved in writing by the TSET. Waiver of Breach: No failure by the TSET to enforce any provisions hereof after any event of default by the grantee shall be deemed a waiver of the TSETs rights with regard to that event, or any subsequent event. Waiver shall not be construed to be a modification of the terms of the grant. Waiver of Immunity: It is recognized that tribes enjoy sovereign immunity which protects the tribes and tribal entities from unconsented suit, liability, judgment and collection. Tribes are, however, empowered to waive their sovereign immunity. To the extent that the grantee may have any immunity from any action to enforce the terms of this grant, the grantee must expressly waive its immunity from suit, liability, judgment and collection as to all parties and entities with respect to all acts or omissions arising out of or related to this contract and all matters ancillary thereto. This contract is expressly conditioned upon the receipt of an opinion of counsel for any grantee that any waivers of immunity are binding and enforceable. The grantee may offer substitute language regarding the waiver of immunity without such offer rendering their grant application non- responsive, but the approval of any substitute waiver language is within the sole discretion of TSET.

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Workers Compensation and Employer s Liability: The grantee is required to comply with applicable Federal and State workers compensation and occupational disease statutes. If occupational diseases are not covered under those statutes, they shall be covered under the employers section of the insurance policy. The grantee shall provide evidence of insurability (Certificate of Insurance), including Workers Compensation, Automobile Insurance, Medical Malpractice, or General Liability, as applicable, from the insurance carrier before the commencement of any work. Such policy or policies shall require thirty days advance notice of cancellation be provided to the TSET.

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