19-034 County of Santa Clara Service Agreement, for Preventing Youth Access to Flavored Tobacco ProductsC
Contractor Name:
(As Displayed In SAP)
Purchase Order Number:
Agency/Department Name:
Brief Description of Services:
t(f-oaq
COUNTY OF SANTA CLARA
SERVICE AGREEMENT
SECTION I: GENERAL INFORMATION
City of Cupertino
PublicHealth Depar'men' 0410Number:
The City of Cupertino will work on preventing youth access to flavored tobacco products
and reduce the number of tobacco retailers in communities.
Maximum Financial Obligation
The maximum amount payable to this Contractor
under this agreement shall not exceed: S 48,608.00
Term of Agreement
StartDate: EndDate: 06/30/2021
Note: When left blank, start date will be the date executed by Authorized
County Representative
Account Plant
Assignment Number
Linel H 0410
For County Use Only
General Cost
Ledger Center Amount
(Expense (Dept
Code) Code)
5255500 2919 910,000
Line2 H 0410 5255500 2919 926,000
Line 3 H 0410 5255500 2919 612,608
14ne 4 Select
Line S Select
WBS
(Capital Project Code)
Internal
Order
("PCA" code
- optional)
FY 19
FY 20
FY 21
Revision Date - August 2018 Page I of 14
C=COUNTY OF SANTA CLARA
SERVICE AGREEMENT
SECTION n: PARTIES TO AGREEMENT
Legal notices and invoices pertaining to this Agreement shall be sent to the appropriate contact person
listed below, except as otherwise specifically provided for herein. Notices shall be in writing and served
either by personal delivery or sent by certified or registered mail, postage prepaid, addressed as follows.
Notice shall be deemed effective on the date that the notice is personally delivered or, if mailed, three (3)
days after deposit in the mail. Either party may designate a different person and/or address for the receipt
of notices by sending written notice to the other party, which shall not require an amendment to this
Agreement.
Contractor
Contractor Name
(As Displayed m SAP):
City of Cupertino
Contact Person:Katy Nomura
StreetAddress *:10300 Torre Avenue
City *:Cupertino State: CA Zip: 95014
Telephone number *:408-777 -4844
Email Address *:KatyN@cupertino,org
SCC Vendor Number:
(As Assigned in SAP)
1002319
* To be completed for Independent Contractors Only - DO NOT COMPLETE FOR DEPENDENT CONTRACTORS
County of Santa Clara
Agency/Department:Public Health
Program Manager/
Contract Monitor Name:
Nicole Coxe
Street Address:1400 Parkmoor Avenue, Suite 120B
City:San lose State: CA Zip: 95126
Telephone Number:408-793-27 45
Fiscal Contact
(Accounts Payable Contact):Nicole Coxe
Contract Preparer:Yulissa Chan
Revision Date - August 2018 Page 2 of 14
C COUNTY OF SANTA CLARA
SERVICE AGREEMENT
SECTION III: CONTRACT AUTHORIZATION
It is agreed between County and Contractor that Contractor will, for the compensation described in this
Agreement, perform the work described in Section V in accordance with all terms and conditions of this
Agreement including all exhibits and attachments. In addition, County and Contractor assert that the tax
withholding status and benefit documentation (Section IV) accurately reflect the anticipated working
relationship between County and Contractor. Further, Independent Contractors shall comply with the
County's insurance and indemnification requirements. Contractor certifies that any applicable insurance
waiver information (Section VIi B) is true and correct. This Agreement may be executed in one or more
counterparts, each of which will be considered an original, but all of which together will constitute one
and the same instrument.
SIGNATURES
Contractis notvalid untilsigned by Contractor, County Counsel and Counff'sAuthorized Representative.
County Agency/Department
Manager:
Date:
County Agency/Department Fiscal
Officer:
Date:
County Counsel Approval as to Form
and Legality:Date:
(Signature required on all contracts before execution by Contractor and
CounffAuthorized Representative)
Contractor:
County Authorized Representative:
# Da'e-,3ffl;'it
Date:
(Procurement Department; President, Board of Supervisors; or DelegatedAuthor%)
Office ofthe County Executive:Date:
(Signature required when Board approved contract by a delegation of authoriff)
Signed and certified that a copy of this A'eS':
document has been delivered by electronic or
other means to the President, Board of
Supervisors.
Date:
Megan Doyle
Clerk of the Board of Supervisors
(Signature required when Board approved contracl)
Approved astoform:
Revision Date - August 2018 Page 3 of 14
C COUNTY OF SANTA CLARA
SERVICE AGREEMENT
SECTION IV: DETERMINATION OF RELATIONSHIP STATUS
Dependent/Independent status is an important relationship distinction. It determines the contractor's
eligibility for Medicare and Social Security, Public Employees' Retirement System benefits, and other
benefits and affects how the contractor files tax returns and the contractor's responsibility for various
federal and state taxes.
Questionnaire to be Completed by Contracting Department to Determine Relationship Stahis of Contractor
Supervision: Will the County have the right to tell the contractor how to do the work, when to arrive or leave
work, or when to take breaks? Do you have other employees performing similar work with a similar degree of
supervision? If the answer to any of these questions is YES, selectYES from the dropdown.
No
Training: Will the County instruct the contractor on how to do the job or pay for external training?No
Incomplete Work: Will the Contractor be able to resign or terminate the contract without being held either
financially or legally liable for unfinished work?
No
Place of Work/Tools: Will the County provide the Contactor with a place to work at a County location and
tools to do the job, i.e. computers, telephones, etc?
No
Length of Relationship: When the Contractor is hired to complete ongoing departmental duties or
functions - answer YES. When the contractor is hired to complete a specific project that was not the
regular tasks performed by County employees before - answer NO.
No
Other Customers: Does the County prevent the Contractor from performing similar services for other
customers, either due to the amount of work (full-time), or by contractual provision?
No
Designation as Business Entity: If the Contractor has a business license or business certificate, or is a
corporation, nonprofit organization, or school district, select "No" from the dropdown. (This does not
pertain to professional licenses or certificates such as a license for a physician or architect.)
Enter below the business license number and the city/entity where issued.
No
Bus Lic. #Issued by:
Payment Schedule: Will payments be made either as an hourly wage or as weekly/monthly salary? If payment
is by commission or based on project milestones or deliverables, answer "NO" to this question. Be sure this
answer matches the contract payment schedule in Section V.
No
Support Services: Will County employees or other independent contractors provide assistance to this No
Contractor? Assistance is defined as clerical, technical or professional support.
If at least S of the above questions were answered "NO" Contractor is an Independent Contractor.
If of tlie above questions were answered "YES" Contractor ts a Dependent Contractor, where the
relationship resembles that of employer/employee. Tax withholding is and benefits are provided.
Complete and attach the following forms: Employee's Withholding Allowance Certificate-Federal Form W-4,
StateWithholding,FormDE-4,DeterminingPERSEligibilityandPERSMemberActionRequest. Visit
for more information regarding Dependent Contractors. County insurance requirements to
Dependent Contractors.
Contractor understands and agrees that the tax withholding and benefit status checked above is correct. Any changes to the
contractor's tax withholding and benefit stahis require a new contract. Contractor is responsible for any penalties and
liabilities assessed by any taxing authority, based on a change oftax withholding status.
Contractor's Initials:Dept. Fiscal Officer's
4
Revision Date - August 2018 Page 4 of 14
C COUNTY OF SANTA CLARA
SERVICE AGREEMENT
SECTION V: CONTRACT SPECIFICS
A.SERVICE DESCRIPTION AND EXPECTED OUTCOME (SCOPE OF SERVICE)
See Attachment:
incorporated by this reference.
DELIVERABLES, MILESTONES, & TIMELINE FOR PERFORMANCE
0y , See Attachment: A incorporated by this reference.
Revision Date - August 2018 Page S of 14
C COUNTY OF SANTA CLARA
SERVICE AGREEMENT
C.PERFORMANCE ST ANDARDS
Or I
See Attachment:
A incorporated by this reference.
D.PAYMENT SCHEDULE Is contractor a Community Based Organization (CBO)?
Notes:
' All reimbursements for travel shall comply with
the current County Travel Policy
Dependent contractors are not permitted to
work in excess of 40 hours per week
Yes r
No j'7
Or I
See Attachment:
B&C incorporated by this reference.
Revision Date - August 2018 Page 6 of 14
C-COUNTY OF SANTA CLARA
SERVICE AGREEMENT
SECTIONVI: STANDARDPROVISIONS
Changes to the terms and conditions in this section require approval of County Counsel
A. ENTIRE AGREEMENT
This Agreement and its Appendices (if any) constitutes the final, complete and exclusive statement of the terms of the
agreement between the parties. It incorporates and supersedes all the agreements, covenants and understandings between
the parties concerning the subject matter hereof, and all such agreements, covenants and understandings have been merged
into this Agreement. No prior or contemporaneous agreement or understanding, verbal or otherwise, of the parties or their
agents shall be valid or enforceable unless embodied in this Agreement.
B. AMENDMENTS
This agreement may only be amended by a written instrument signed by the Parties.
C. CONFLICTS OF INTEREST
Contractor shall comply, and require its subcontractors to comply, with all applicable (i) requirements governing avoidance
of impermissible client conflicts; and (ii) federal, state and local conflict of interest laws and regulations including, without
limitation, California Government Code section 1090 et. seq., the California Political Reform Act (California Government Code
section 87100 et. seq.) and the regulations of the Fair Political Practices Commission concerning disclosure and
disqualification (2 California Code of Regulations section 18700 et. seq.). Failure to do so constitutes a material breach of this
Agreement and is grounds for immediate termination of this Agreement by the County.
In accepting this Agreement, Contractor covenants that it presently has no interest, and will not acquire any interest, direct or
indirect, financial or otherwise, which would conflict in any manner or degree with the performance of this Agreement.
Contractor further covenants that, in the performance of this Agreement, it will not employ any contractor or person having
such an interest. Contractor, including but not limited to contractor's employees and subcontractors, may be subject to the
disclosure and disqualification provisions of the California Political Reform Act of 1974 (the "Act"), that (1) requires such
persons to disclose economic interests that may foreseeably be materially affected by the work performed under this
Agreement, and (2) prohibits such persons from making or participating in making decisions that will foreseeably financially
affect such interests.
If the disclosure provisions ofthe Political Reform Act are applicable to any individual providing service under this
Agreement, Contractor shall, upon execution of this Agreement, provide the Count37 with the names, description of individual
duties to be performed, and email addresses of all individuals, including but not limited to Contractor's employees, agents
and subcontractors, that could be substantively involved in "making a governmental decision" or "serving in a staff capacity
and in that capacity participating in making governmental decisions or performing duties that would be performed by an
individual in a designated position," (2 CCR 18701(a)(2)), as part of Contractor's service to the County under this Agreement.
Contractor shall immediately notify the County of the names and email addresses of any additional individuals later assigned
to provide such service to the County under this Agreement in such a capacity. Contractor shall immediately notify the
Count37 of the names of individuals working in such a capacit37 who, during the course of the Agreement, end their service to
the County.
If the disclosure provisions of the Political Reform Act are applicable to any individual providing service under this
Agreement, Contractor shall ensure that all such individuals identified pursuant to this section understand that they are
subject to the Act and shall conform to all requirements of the Act and other laws and regulations listed in subsection (A)
including, as required, filing of Statements of Economic Interests within 30 days of commencing service pursuant to this
Agreement, annually by April 1, and within 30 days of their termination of service pursuant to this Agreement.
D. GOVERNING LAW, VENUE
This Agreement has been executed and delivered in, and shall be construed and enforced in accordance with, the laws of the
State of California. Proper venue for legal action regarding this Agreement shall be in the County of Santa Clara.
E. ASSIGNMENT
No assignment of this Agreement or of the rights and obligations hereunder shall be valid without the prior written consent
of the other party,
Revision Date - August 2018 Page 7 of 14
COUNTY OF SANTA CLARA
SERVICE AGREEMENT
F. ASSIGNMENT OF CLAYTON ACT, CARTWRIGHT ACT CLAIMS
Contractor assigns to the County all rights, title, and interest in and to all causes of action it may have under Section 4 of the
Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division
7 of the Business and Professions Code), arising from purchases of goods, materials, or services by the Contractor for sale to
the County pursuant to this Agreement.
G. WAIVER
No delay or failure to require performance of any provision ofthis Agreement shall constitute a waiver of that provision as to
that or any other instance. Any waiver granted by a party shall be in writing and shall apply to the specific instance expressly
stated.
H. COMPLIANCEWITHALLIAWS,INCLUDINGNONDISCRIMINATION,EQUALOPPORTUNITY,ANDWAGETHEFT
PREVENTION
(1) Compliance with All Laws. Contractor shall comply with all applicable Federal, State, and local laws, regulations, rules,
and policies (collectively, "Laws"), including but not limited to the non-discrimination, equal opportunity, and wage and hour
Laws referenced in the paragraphs below.
(2) CompliancewithNon-DiscriminationandEqualOpportunityLaws:ContractorshallcomplywithallapplicableLaws
concerning nondiscrimination and equal opportunity in employment and contracting, including but not limited to the
following: Santa Clara County's policies for contractors on nondiscrimination and equal opportunity; Title VII ofthe Civil Rights
Act of 1964 as amended; Americans with Disabilities Act of 1990; the Age Discrimination in EmploymentAct of 1967; the
Rehabilitation Act of 1973 (Sections 503 and 504); the Equal Pay Act of 1963; California Fair Employment and HousingAct
(Gov. Code § 12900 et seq.); California Labor Code sections 1101, 1102, and 1197.5; and the Genetic Information
Nondiscrimination Act of 2008. In addition to the foregoing, Contractor shall not discriminate against any subcontractor,
employee, or applicant for employment because of age, race, color, national origin, ancestr5r, religion, sex, gender identity,
gender expression, sexual orientation, mental disability, physical disability, medical condition, political belief, organizational
affiliation, or marital status in the recruitment, selection for training (including but not limited to apprenticeship), hiring,
employment, assignment, promotion, layoff, rates of pay or other forms of compensation. Nor shall Contractor discriminate in
the provision of services provided under this contract because of age, race, color, national origin, anceshy, religion, sex, gender
identity, gender expression, sexual orientation, mental disability, physical disability, medical condition, political beliefs,
organizational affiliations, or marital status.
(3) CompliancewithWageandHourLaws:ContractorshallcomplywithallapplicablewageandhourLaws,whichmay
include but are not limited to, the Federal Fair Labor Standards Act, the California Labor Code, and, if applicable, any local
minimum wage, prevailing wage, or living wage Laws.
(4) Definitions: For purposes of this SubsectionH, the following definitions shall apply. A "Final Judgment" shall mean a
judgment, decision, determination, or order (a) which is issued by a court oflaw, an investigatory government agency
authorized by law to enforce an applicable Law, an arbiter, or arbitration panel and (b) for which all appeals have been
exhausted or the time period to appeal has expired. For pay equity Laws, relevant investigatory government agencies include
the federal Equal Employment Opportunity Commission, the California Division of Labor Standards Enforcement, and the
California Department of Fair Employment and Housing. Violation of a pay equity Law shall mean unlawful discrimination in
compensation on the basis of an individual's sex, gender, gender identity, gender expression, sexual orientation, race, color,
ethnicity, or national origin under Title VII ofthe Civil Rights Act of 1964 as amended, the Equal Pay Act of 1963, California Fair
EmploymentandHousingAct,orCaliforniaLaborCodesectionll97.5,asapplicable. ForwageandhourLaws,relevant
investigatory government agencies include the federal Department of Labor, the California Division of Labor Standards
Enforcement, and the City of San Jose's Office of Equality Assurance.
(5) Prior Judgments, Decisions or Orders against Contractor: By signing this Agreement, Contractor affirms that it has
disclosed any final judgments that (A) were issued in the five years prior to executing this Agreement by a court, an
investigatory government agency, arbiter, or arbitration panel and (B) found that Contractor vtolated an applicable
wage and hour law or pay equity law. Contractor further affirms that it has satisfied and complied with - or has
reached Agreement with the County regarding the manner in which it will satisfy - any such final judgments.
Revision Date - August 2018 Page 8 of 14
C COUNTY OF SANTA CLARA
SERVICE AGREEMENT
(6') Violations of Wage and Hour Laws or Pay Equity Laws During Term of Contract: If at any time during the term of this
Agreement, Contractor receives a Final Judgment rendered against it for violation of an applicable wage and hour Law or pay
equity Law, then Contractor shall promptly satisfy and comply with any such Final Judgment. Contractor shall inform the
Office of the County Executive-Office of Countywide Contracting Management (OCCM) of any relevant Final Judgment against
itwithin30daysoftheFinalJudgmentbecomingfinaloroflearningoftheFinalJudgment,whicheverislater. Contractor
shall also provide any documentary evidence of compliance with the Final Judgment within 5 days of satisfying the Final
Judgment. Any notice required by this paragraph shall be addressed to the Office of the County Executive-OCCM at 70 W,
Hedding Street, East Wing, 11th Floor, San Jos6, CA 95110. Notice provisions in this paragraph are separate from any other
notice provisions in this Agreement and, accordingly, only notice provided to the Office of the County Executive-OCCM
satisfies the notice requirements in this paragraph.
(7) Access to Records Concerning Compliance with Pay Equity Laws: In addition to and notwithstanding any other
provision ofthis Agreement concerning access to Contractor's records, Contractor shall permit the County and/or its
authorized representatives to audit and review records related to compliance with applicable pay equity Laws. Upon the
County's request, Contractor shall provide the County with access to any and all facilities and records, including but not
limited to financial and employee records, that are related to the purpose of this Subsection H, except where prohibited by
federal or state laws, regulations or rules. County's access to such records and facilities shall be permitted at any time during
Contractor's normal business hours upon no less than 10 business days' advance notice.
(8) Pay Equity Notification: Contractor shall (1) at least once in the first year of this Agreement and annually thereafter,
provide each of its employees working in California and each person applying to Contractor for a job in California
(collectively, "Employees and Job Applicants") with an electronic or paper copy of all applicable pay equity Laws or (2)
throughout the term of this Agreement, continuously post an electronic copy of all applicable pay equity Laws in conspicuous
places accessible to all of Contractor's Employees and Jopplicants.
(9) MaterialBreach:FailuretocomplywithanypartofthisSubsectionHshallconstituteamaterialbreachofthis
Agreement. In the event of such a breach, the County may, in its discretion, exercise any or all remedies available under this
Agreement and at law. County may, among other things, take any or all of the following actions:
(i) SuspendorterminateanyorallpartsofthisAgreement.
(ii) WithholdpaymenttoContractoruntilfullsatisfactionofaFinalJudgmentconcerningviolationofanapplicable
wage and hour Law or pay equity Law.
(iii) Offer Contractor an opportunity to cure the breach.
(101 Subcontractors: Contractor shall impose all of the requirements set forth in this Subsection H on any subcontractors
permitted to perform work under this Agreement. This includes ensuring that any subcontractor receiving a Final Judgment
for violation of an applicable Law promptly satisfies and complies with such Final Judgment.
I. TERMINATION
Standard Termination Language
The County may, by written notice to Contractor, terminate all or part of this Agreement at any time for the convenience of the County. The
notice shall specify the effective date and the scope of the termination. In the event of termination, Contractor shall deliver to County all
documents prepared pursuant to the Agreement, whether complete or incomplete. Contractor may retain a copy for its records. Upon
receipt of the documents, Contractor shall be compensated based on the completion of services provided, as solely and reasonably
determined by County.
- OR -
Alternate Termination Language Attached As Exhibit
(Requires County Counsel Approval)
, incorporated by this reference.
J. BUDGET CONTINGENCY
This Agreement is contingent upon the appropriation of suffictent funding by the County for the services covered by this
Agreement. If funding is reduced or deleted by the County for the services covered by this Agreement, the County has the
option to either terminate this Agreement with no liability occurring to the County or to offer an amendment to this
Agreement indicating the reduced amount.
Revision Date - August 2018 Page 9 of 14
C)COUNTY OF SANTA CLARA
SERVICE AGREEMENT
K. COUNTY NO-SMOKING POLICY
Contractor and its employees, agents and subcontractors, shall comply with the County's No-Smoking Policy, as set forth in
the Board of Supervisors Policy Manual section 3.47 (as amended from time to time), which prohibits smoking: (1) at the
Santa Clara Valley Medical Center Campus and all County-owned and operated health facilities, (2) within 30 feet
surrounding County-owned buildings and leased buildings where the County is the sole occupant, and (3) in all County
vehicles.
L. FOOD AND BEVERAGE STANDARDS
Except in the event of an emergency or medical necessity, the following nutritional standards shall apply to any foods and/or
beverages purchased by Contractor with County funds for County-sponsored meetings or events.
If food is to be provided, healthier food options shall be offered. "Healthier food options" include (1) fruits, vegetables, whole
grains, and low fat and low calorie foods; (2) minimally processed foods without added sugar and with low sodium; (3) foods
prepared using healthy cooking techniques; and (4) foods with less than O.5 grams of trans fat per serving. Whenever
possible, Contractor shall (1) offer seasonal and local produce; (2) serve fruit instead of sugary, high calorie desserts; (3)
attempt to accommodate special, dietary and cultural needs; and (4) post nutritional information and/or a list of ingredients
for items served. If meals are to be provided, a vegetarian option shall be provided, and the Contractor should consider
providing a vegan option. If pre-packaged snack foods are provided, the items shall contain: (1) no more than 35% of
calories from fat, unless the snack food items consist solely of nuts or seeds; (2) no more than 10% of calories from saturated
fat; (3) zero trans fat; (4) no more than 35% of total weight from sugar and caloric sweeteners, except for fruits and
vegetables with no added sweeteners or fats; and (5) no more than 360 mg of sodium per serving.
If beverages are to be provided, beverages that meet the County's nutritional criteria are (1) water with no caloric
sweeteners; (2) unsweetened coffee or tea, provided that sugar and sugar substitutes may be provided as condiments; (3)
unsweetened, unflavored, reduced fat (either nonfat or 1% low fat) dairy milk; (4) plant-derived milk (e.g., soy milk, rice
milk, and almond milk) with no more than 130 calories per 8 ounce serving; (5) 100% fruit or vegetable juice (limited to a
maximum of 8 ounces per container); and (6) other low-calorie beverages (including tea and/or diet soda) that do not exceed
40 calories per 8 ounce serving. Sugar-sweetened beverages shall not be provided.
M. CONTRACTING PRINCIPLES
All entities that contract with the County to provide services where the contractvalue is $100,000 or more per budget unit
per fiscal year and/or as otherwise directed by the Board, shall be fiscally responsible entities and shall treattheir employees
fairly. To ensure compliance with these contracting principles, all contractors shall: (1) comply with all applicable federal,
state and local rules, regulations and laws; (2) maintain financial records, and make those records available upon request; (3)
provide to the County copies of any financial audits that have been completed during the term of the contract; (4) upon the
County's request, provide the County reasonable access, through representatives of the Contractor, to facilities, financial and
employee records that are related to the purpose of the contract, except where prohibited by federal or state laws,
regulations or rules.
N. CAIJFORNIA PUBLIC RECORDS ACT
The County is a public agency subject to the disclosure requirements of the California Public Records Act ("CPRA"). If
Contractor's proprietary information is contained in documents or information submi'tted to County, and Contractor claims
that such information falls within one or more CPRA exemptions, Contractor must clearly mark such information
"CONFIDENTIAL AND PROPRIETARY," and identify the specific lines containing the information. In the event of a request for
such information, the County will make best efforts to provide notice to Contractor prior to such disclosure. If Contractor
contends that any documents are exempt from the CPRA and wishes tO prevent disclosure, it is required to obtain a protective
order, injunctive relief or other appropriate remedy from a court of law in Santa Clara County before the County is required to
respond to the CPRA request. If Contractor fails to obtain such remedy within the time the County is required to respond to
the CPRA request, County may disclose the requested information.
Contractor further agrees that it shall defend, indemnify and hold County harmless against any claim, action or litigation
(including but not limited to all judgments, costs, fees, and attorney's fees) that may result from denial by County of a CPRA
request for information arising from any representation, or any action (or inaction), by the Contractor.
0. THIRD PARTY BENEFICIARIES
This agreement does not, and is not intended to, confer any rights or remedies upon any person or entity other than the
parties.
P. INTELLECTUAL PROPERTY RIGHTS:
Revision Date - August 2018 Page 10 of 14
C2)COUNTY OF SANTA CLARA
SERVICE AGREEMENT
Ownership: County shall own all right, title and interest in and to the Deliverables. For purposes of this Agreement, the term
"Deliverables" shall mean any documentation and deliverables created by Contractor during the performance of services that
are identified in this Agreement. Contractor hereby assigns to the County all rights, title and interest in and to any and all
intellectual property whether or not patentable or registrable under patent, copyright, trademark or similar statutes, made or
conceived or reduced to practice or learned by Contractor, either alone or jointly with others, during the period of
Contractor's agreement with the County or result from the use of premises leased, owned or contracted for by the County.
Contractor acknowledges that all original works of authorship which are made by Contractor (either solely or jointly with
others) within the scope of this Agreement and which are protectable by copyright are "works made for hire," as that term is
defined in the United States Copyright Act (17 U.S.C. Section 101), and shall belong solely to County. Contractor agrees that
the County will be the copyright owner in all copyrightable works of every kind and description created or delivered by
Contractor, either solely or jointly with others, in connection with any agreement with the County.
Q. INTELLECTUAL PROPERTY INDEMNITY
Contractor represents and warrants for the benefit of the County and its users that, to its knowledge, as of the effective date
of this Agreement, Contractor is the exclusive owner of all rights, title and interest in the Deliverables and/or services
provided pursuant to this Agreement. Contractor shall defend, indemnify and hold the County harmless against any claim,
action or litigation (including but not limited to all judgments, costs, fees, and reasonable attorney's fees) by a third party
alleging the Deliverables and/or services provided pursuant to this Agreement infringe upon any intellectual property rights
of third parties. This indemnity and duty to defend is in addition to and does not supersede the requirements stated in Vll of
this agreement.
R. OWNERSHIP RIGHTS TO MATERIALS / RESTRICTIONS ON USE
All materials obtained, developed or prepared by Contractor in the course of performing services hereunder, including but
not limited to videotapes, audio recordings, still photographs, ads or brochures, and the derivative works, patent, copyright,
trademark, trade secret or other proprietary rights associated therewith (collectively "Deliverables"), shall be the sole and
exclusive property of the County. To the extent Contractor owns or claims ownership rights to said Deliverables, Contractor
hereby expressly assigns all said rights, title, and interest in and to the Deliverables to the County pursuant to the terms and
conditionsofthisAgreementandatnoadditionalcost. TheCountyhastheexclusiveroyalty-freeirrevocablerightto
duplicate, publish or otherwise use for any purpose, all materials prepared under this Agreement. If Contractor wishes to use
the materials prepared hereunder for any purpose including but not limited to promotional, educational or commercial
purposes, the Contractor shall obtain prior written authorization from the County, which consent may be withheld by the
County in its sole discretion. Contrador acknowledges that all original works of authorship which are made by Contractor
(solely or jointly with others) within the scope ofthis Agreement and which are protectable by copyright are "works made
for hire," as that term is defined in the United States Copyright Act (17 U.S.C., Section 101), and shall belong solely to County.
Contractor agrees that the County will be the copyright owner in all copyrightable works of every kind and description
created or developed by Contractor, solely or jointly with others, in connection with any agreement with the County. If
requested to, and at no further expense to the County, Contractor will execute in writing any acknowledgments or
assignments of copyright ownership of such copyrightable works as may be appropriate for preservation of the worldwide
ownership in the County and its nominees of such copyrights. This section shall apply to the extent not otherwise provided
under this agreement.
S. COUNTY DATA
"County Data" shall mean data and information received by Contractor from County. As between Contractor and County, all
County Data shall remain the property ofthe County. Contractor shall not acquire any ownership interest in the County Data.
Contractor shall not, without County's written permission consent, use or disclose the County Data other than in the
performance of its obligations under this Agreement. Contractor shall be responsible for establishing and maintaining an
information security program that is designed to ensure the security and confidentiality of County Data, protect against any
anticipated threats or hazards to the security or integrity of County Data, protect against unauthorized access to or use of
County Data that could result in substantial harm or inconvenience to County or any end users; and ensure the proper
disposal of County data upon termination ofthis Agreement. Contractor shall take appropriate action to address any incident
of unauthorized access to County Data, including addressing and/or remedying the issue that resulted in such unauthorized
access, notifying County as soon as possible of any incident of unauthorized access to County Data, or any other breach in
Contractor's security that materially affects County or end users; and be responsible for ensuring compliance by its officers,
employees, agents, and subcontractors with the confidentiality provisions hereof. Should confidential and/or legally
protected County Data be divulged to unauthorized third parties, Contractor shall comply with all applicable federal and state
laws and regulations, including but not limited to California Civil Code Sections 1798.29 and 1798.82 at Contractor's sole
expense (if applicable). Contractor shall not charge the County for any expenses associated with Contractor's compliance
with the obligations set forth in this section.
Revision Date - August 2018 Page II of 14
C COUNTY OF SANTA CLARA
SERVICE AGREEMENT
T. PAYMENT TERM [NOT APPLICABLE TO COMMUNITY BASED ORGANIZATIONS - describe payment terms for CBO's in Section V. PAYMENT
SCHEDULE]
The parties agree thatthe paymentterm shall be the term selected below and payment shall be due in accordance with
the selected payment term. For example, if Contractor selects 2.25% 10 Net 45 as the payment term, payment shall be
due 10 days from the date the County approves the invoice, instead of 45 days, and the County shall take a discount of
2.25% of the total amount of the invoice. Payment is deemed to have been made on the date the County mails the
warrant or initiates the electronic fund transfer.
r - 2.25% 10 Net 45 (provides 35 days of cash acceleration)
r"" 2.00% 15 Net 45 (provides 30 days of cash acceleration)
T- 1.75% 20 Net 45 (provides 25 days of cash acceleration)
' l.33%25Net45(provides20daysofcashacceleration)
1.OO% 30 Net 45 (provides 15 days of cash acceleration)
i7- Net 45 (full payment)
Note: Payment term will default to "Net 45 (full payment)", if no other term was selected.
Notwithstanding the option selected above, the parties agree that at any time during the contract term, either party
may initiate an early payment discount on an invoice-by-invoice basis utilizing the Dynamic Discounting functionality
of the Ariba Network. Contractor must have a registered account on the Ariba Network to utilize this functionality.
U. CONTRACT EXECUTION
Unless otherwise prohibited by law or County policy, the parties agree that an electronic copy of a signed contract, or an
electronically signed contract, has the same force and legal effect as a contract executed with an original ink signature. The
term "electronic copy of a signed contract" refers to a transmission by facsimile, electronic mail, or other electronic means of
a copy of an original signed contract in a portable document format. The term "electronically signed contract" means a
contract that is executed by applying an electronic signature using technology approved by the County.
V. LIVING WAGE (If Applicable)
Unless otherwise exempted or prohibited by law or County policy, where applicable, Contractors that contract with the
County to provide Direct Services developed pursuantto a formal Request for Proposals process, as defined in County of
Santa Clara Ordinance Code Division B36 ("Division B36") and Board Policy section 5.5.S.5 ("Living Wage Policy"l and their
subcontractors, where the contract value is $100,000 or more ("Direct Services Contract"), must comply with Division B36
and the Living Wage Policy and compensate their empIoyees in accordance with Division B36 and the Living Wage Policy.
Compliance and compensation for purposes of this provision includes, but is not limited to, components relating to fair
compensation, earned sick leave, paid jury duty, fair workweek, worker retention, fair chance hiring, targeted hiring, local
hiring,protectionfromretaliation,andlaborpeace. IfContractorand/orasubcontractorviolatesthisprovision,theBoardof
Supervisors or its designee may, at its sole discretion, take responsive actions including, but not limited to, the following:
(a) Suspend, modify, or terminate the Direct Services Contract.
(b) RequiretheContractorand/orSubcontractortocomplywithanappropriateremediationplandevelopedbythe
County.
(c) WaiveallorpartofDivisionB36ortheLivingWagePolicy.
This provision shall not be construed to limit an employee's rights to bring any legal action for violation of the employee's
rights under Division B36 or any other applicable law. Further, this provision does not confer any rights upon any person or
entity other than the Board of Supemsors or its designee to bring any action seeking the cancellation or suspension of a
Countycontract. Byenteringintothiscontract,ContractorcertifiesthatitiscurrentlycomplyingwithDivisionB36andthe
Living Wage Policy with respect to applicable contracts, and warrants that it will continue to comply with Division B36 and
the Living Wage Policy with respect to applicable contracts.
SECTION VII: INSURANCE / INDEMNIFICATION
Independent Contractors shall comply with the County's insurance and indemnification requirements as
indicated below. These requirements do not apply to Dependent Contractors.
A. TYPE OF INSURANCE LANGUAGE
The following standard insurance and indemnification language is attached and incorporated into this agreement:
Revision Date - August 2018 Page 12 of 14
C=COUNTY OF SANTA CLARA
SERVICE AGREEMENT
InsuranceExhibitName: Exhibit B-2B Standard Service Contracts Between $10,001 and $50,000
€ ModificationorWaiverAttachedifAppropriate
B. DETERMINATION OF INSURANCE REQUIREMENTS AND WAIVER DECLARATION
Workers Compensation:
Does the contractor have employees?
If "YES", then, WORKER'S COMPENSATION/EMPLOYER'S LIABILITY INSURANCE IS REQUIRED.
Yes
Owned Auto Insurance:
Will the contractor use any owned autos in the provision of direct services, such as transporting clients in NO
autos or operating autos in performance ofthe work itself.
If "YES", then INSURANCE FOR OWNED AUTOS IS REQUIRED.
Hired Auto Insurance:
Will the contractor use any hired autos in the provision of direct services, such as transporting clients in
autos or operating autos in performance ofthe work itself.
If "YES", then INSURANCE FOR HIRED AUTOS IS REQUIRED.
Non-owned Auto Insurance:
Will the contractor be using any non-owned autos in the provision of direct services, such as transporting No
clients in non-owned autos or operating non-owned autos in performance of the work itself?
If "YES" then, INSURANCE FOR NON-OWNED AUTOS IS REQUIRED.
When "NO"is checked, this declaration will serve as a waiver for the specified gpe ofinsurance.
SECTION VIII: FEDERAL/STATE REQUIRED PROVISIONS
(Examples include Drug-free Workplace Activity, Health Insurance Portability and Accountability Act
(HIPAA), Business Associate Language, etc)
A. Federal Required Language Attached
Only add special language if services included in the contract require language different from or in addition to that
in Section Vl.
Exhibit Name:
B. State Required Language Attached
Only add special language if services included in the contract require language different from or in addition to that
in Section Vl.
Exhibit Name:
The Exhibits named above are attached and incorporated by this reference.
SECTION IX: ADDITIONAL ATTACHED EXHIBIT(S)
Attachments and exhibits that conflict with County standard provisions or require risk assessment must
be approved by County Counsel. Examples of attachments that require County Counsel approval are:
Revision Date - August 2018 Page 13 of 14
C)COUNTY OF SANTA CLARA
SERVICE AGREEMENT
1) Contractor's terms and conditions that are different than, or add to the standard provisions
language,
2) Any changes to the language in Section VI-Standard Provisions.
Exceptions to County Counsel review include attachments that further explain the Contract Specifics as
outlined in Section V, and insurance exhibits.
Exhibit Name(s)
The Exhibits named above are attached and incorporated by this reference.
Revision Date - August 2018 Page 14 of 14
Attachment A: Scope of Work
City of Cupertino
Healthy Cities Program - Tobacco-Free Communities
(Upon Execution - June 30, 2021)
A. Introduction
This scope of work centers on the following:
1. Prevent youth access and exposure to flavored tobacco products, including menthol, and reduce the number of tobacco retailers in the City
of Cupertino.
B. Reporting Requirements
1. Contractor will prepare a Quarterly Progress Report on their activities/progress and submit it to:
Nicole Coxe, Senior Health Care Program Manager
Chronic Disease & hijury Prevention (CDIP)
County of Santa Clara Public Health Department
1400 Parkmoor Avenue, Suite 120B
San Jose, CA 95126
Email: nicole.coxe(2Jphd.sccgov.org
DUE: 15 days after the end of the calendar quarter (e.g., January - March report due by April 15)
2. Contractor can submit quarterly progress report with signed quarterly invoice via email.
Scope of Work: City of Cupertino
Tobacco-Free Communities: Health Cities Program
Page 1 of 5
C. Phases and Task Description
Overan Goal: Reduce youth access and exposure to tobacco products
Objective
#1
Obiective:
By June 30, 2021, implement a city-level strategy to restrict the sale of flavored tobacco products, including
menthol cigarettes, and decrease the availability of tobacco products in the City of Cupertino.
Task#l : TaskDescription :Timeline I Responsible Staff Key Deliverables
"" 1.1 I The Policy Consultant will gather research i
Ion strategies to decrease the availability of i
i tobacco products and restrict the sale of
iflavored tobacco products, including
j menthol cigarettes.
I
April 2019 i
I
I
j
I
t
I
Policy Consultant
j
I
l.la Summary of research
findings.
1.2 i The Policy Consultant, in coordination with
iCity staff, will develop a plan for
', stakeholder outreach. For example,
I educational outreach meeting(s) with
itobacco retailers, residents, and other
relevant stakeholders, mailings to retailers,
outreach to the general public, etc.
April20l9 'PolicyConsultant II
, j
: :I
i iI
I I
,
I I
l.2a Stakeholder outreach plan
i
j
I
l_
1.3 The Policy Consultant, in coordination with
i City staff, will prepare the Council reports
to include research findings conducted in
' Activity 1.1 and the stakeholder outreach
I plan.
I
I
I
i
i. RfOerpCortltyDrafted II i
iManager I
iReview: May I
i20l9 i
il I
Policy Consultant;
Senior Management
Analyst
I
i
I
l.3a City Council report on
preventing youth access and
exposure to flavored tobacco
products, including menthol
cigarettes, reducing availability
of tobacco products, and
Istakeholder outreach plan.
I
Scope of Work: City of Cupertino
Tobacco-Free Cornmiu'iities: Health Cities Program
Page 2 of 5
Scope of Work: City of Cupertino
Tobacco-Free Communities: Health Cities Program
Page 3 of 5
1.7 i Pending City Council direction, the Policy
Consultant, in coordination with City staff,
i will develop a flavored tobacco and tobacco
retailer density policy implementation plan
: and educational materials such as letters to
:tobacco retailers, website content, fact
Isheets and a frequently asked questions
', (FAQ) document to increase public
iawareness of any new requirements.
July 2020 -
November 2020
Policy Consultant
I
I
j
I
j.
l.7a Flavored tobacco and
tobacco retailer density policy
implementation plan
j
l.7b Copy of educational
material (letters, fact sheets and
FAQ)
1.8 i City staff and Policy Con-sultant will ' June 2021
participate in stakeholder outreach activities '
as outlined in the implementation plan, for '
:example, educational outeach meeting(s) Ii
lrWe:jehvIanObtasctakcOerheo'ald"leerrss,'mreasi"ldinengIsstoanredtaoi'lheersr, I
1, outreach to the general public, etc. I
' Policy Consultant; : 1.8 Stakeholder outreach
Senior Management activities as outlined in
Analyst; Planning implementation plan
: Staff
I
i
I
i :
D. Position Description Reference
Sr Management Analyst -Responsible as project manager for the intiative and will work with the In-Kind Policy Consultant to research
best practices, develop ordinance language, develop reports, conduct stakeholder outreach, and develop an implementation plan.
Associate Planner - Responsible for assisting this project regarding aspects that affect Zoning and other sections in the Municipal Code.
They will support as the representative from Planning and provide their expertise and fine-tuning on the ordinance language, muni code
changes, appropriate outreach, staff reports and presentations to the Planning Commission or Council.
Scope of Work: City of Cupertino
Tobacco-Free Communities: Health Cities Program
Page 4 of 5
E. Performance Standards
Performance is expected to adhere to the following standards in addition to evaluations completed by the County:
1. Quality - Deliverables and final products will be as described in the Scope of Work and will be of high quality.
2. Timeliness - Deliverables and final products will be completed as scheduled.
3. Achievement of Project Goals - Project will achieve its goals as described in the Scope of Work.
Scope of Work: City of Cupertino
Tobacco-Free Comn'iunities: Health Cities Program
Page 5 of 5
Attachment B: Payment Schedule
City of Cupertino
Healthy Cities Program - Tobacco-Free Communities
(Upon Execution - June 30, 2021)
1. Contractor will prepare a Quarterly Invoice and submit it to:
Nicole Coxe, Senior Health Care Program Manager
Chronic Disease & Injury Prevention (CDIP), Santa Clara County Health
Dept.
1400 Parkrnoor Avenue, Suite 120B
San Jose, CA 95126
Email: nicole.coxe@.phd.sccgov.org
DUE: 15 days after the end of the calendar quarter (e.g., January - March invoice due by
April 15).
la. Invoice template will be provided after agreement is signed by both departments.
lb. Payment will be based on a cost reitnbursement methodology.
2. Contractor can submit quarterly invoice quarterly progress report via email.
3. Payment will be made according to the budget in Attachment C, attached hereto and
incorporated herein by this reference.
Total Budget: $48,608
Tobacco Free Communities - Budget for Cities
Attachment C: Line Item Budget
Santa Clara County Healthy Cities Program - Tobacco-Free Communities Priorities
Contract Term: Upon Execution - June 30, 2021
lCity Name: City of Cupertino I
BUDGET CATEGORY
A. SALARIES (No payment for worker's comp)
Position/Tttle I Salary Amount IFirst & Last Name
Sr Management Analyst
$ 15,363Katy Nomura
Associate Planner
$ 5,653Ellen Yau
Position Name 3
$ -Staff person
If hiring a consultant, list Consultant here
$Consultant Name
$ 21,016
IB. FRINGE BENmTS
lExample: Fringe benefits are calculated at XXO/o of XX'/o x Total Salaries
Frinqe Benefits Subtotal: $
I I
For expense categories C-F, please provide a short nar rative of the expense details that makes clear the expense and n
general. In those cases where expenses may be siginificantly different, you may enter multiple expenses for that category. For
example, category E could use seperate lines for local mileage, costs to travel to a meeting or conference and the expenses related to
hosting a conference or meeting, if applicable. PLEASE REFER TO PROPOSITIONS 56 & 99 ALLOWABLE EXPENSES for assistance in
completing these sections.
C..Operating Expenses [Office Supplies; Printing (external vendor)- smoke-free signage, facLiheets, etc.; Postagea, Duplicating (internal smell jobs)]
Mailers for Stakeholder Outreach (Printing and Postage); over 25,000 postcards to be mailed $16,800
Meetings(Printing,Refreshments,etc.) $800
for Ordinance or Compliance Outreach (Printing and Postage) $8,400
Legal Ad hearing notice ($98), Display Ad hearing notice ($693), Legal Ad Ordinance 1st Reading ($109), Legal Ad Ordinance 2nd Reading ($102) $1,002
Muni Code Digital Update ($104), Muni Code Printed Llpdate ($486) $590
Operating Subtotali' $27,592
10, ITravel/Mileage (no out-of-state travel; TFC trainings OK)
TFC Budget I of 3 2/15/2019
Travel/Mileage will include...
None anticipated.
$ -
E.Subcontrads/Consultanti
ll d buULUI ILI d[LUI I!i l) dl L ill kl II!, llllull&L, 1111!(1!51! lul IIllll_Ll_ Ll ll_ !iHllll lu LdU lll u II!, !,l I&&L, lelul_ll!u bLllllUl ul dlklll L1&L.:III . Ll!a Il&l l! LI It!
Qi ihrnntr;qr+nr/('hnnsi iltant Namp pnrl rlplivprqhlp $ -
None anticipated.
$ -
$
F.Other Costs (Educational Materials- signage, training guides, posters, etc.; Paid Media- ads on tv, radio, newspaper, or billboards, etc.)
$
$
$
(,, INDIRECTS/Administrative Overhead
INDIRECTS MAY NOT EXCEED 10'/o OF SALARIES (salary subtotal from above). If indirects are claimed as an expense please indicate the basis for
klTe charge. For example 5% Of salarfes WOuld 5e 5% X 131 = 7.
$
17;7 1$ 48,608
TFC Budget
Tobacco Free Communities - Budget for Cities
2 of 3 2/15/2019
Subcontractor Budget and Narrative
Name of Subcontractor (if known):
Period of subcontract: (enter start and end dates)
Deliverables/Tasks Cost
Total $-
EXHIBIT A:
LOCAL LEAD AGENCY AND COMPETITIVE GRANTEE
ADMINISTRATIVE AND POLICY MANUAL
The Service Agreement by and between the County of Santa Clara and City of Cupertino ("Agreement")
shall incorporate all applicable provisions of this Local Lead Agency and Competitive Grantee
Administrative and Policy Manual. In the event of an inconsistency between the Agreement and this
Exhibit A, the terms and conditions of this Exhibit A shall govern and prevail.
TOBACCO CONTROL POLICY SECTION
TABLE OF CONTENTS Page
100 NTRODUCTION
01 0verview of the Policy Section I
02 Proposition 99 and Proposition 56 Legislative Mandates.........................2
03 California Tobacco Control Program Goals 5
04 Local Lead Agency Responsibilities 7
05 CompetitiveGrantsProgram 8
06 Statewide Media Campaign
07 Evaluation
200 PROGRAM OPERATING PRINCIPLES 12
300 PROGRAM REQUIREMENTS
#01 Tobacco Control Coalition/Advisory Committee Requirements..............13
#02 Health Education Program Requirements 15
#03 Development and Use of Educational,Incentive, and Media Materials.. 16
#04 Use of CTCP Funds for Tobacco Cessation 22
#05 SubcontractAgreementRequirements 23
#06 Young Adult Tobacco Purchase Survey Requirements..........................27
#07 Use of Proposition 99 and 56 Funds for Enforcement Activities.............28
#08 CommunicationsSystem Requirements 29
#09 Training and Technical Assistance Requirements 30
#1 0 Use of Paid, Earned, and Social Media 31
#1 1 Lobbying and Political Activities Policy 33
#12 Collaborating with School Districts and Schools 34
#13 Partners Computer Network System 36
#14 PC 308(a) Operations Guidelines 38
#4 5 Non-Acceptance of Tobacco Company Funds 39
#16 0nline Tobacco Information System (OTIS) 41
#17 Nicotine Maintenance and Harm Reduction Policy 43
#18 Copyright Policies for the Rover Tobacco Control Library......................44
400 ADMINISTRATIVE REQUIREMENTS
#01 Data Collection and Reporting Requirements 49
#02EquipmentPurchases 50
#03 Staffing, Administrative, and Travel Requirements 51
#04 Interest Earned and Generated Revenue Requirements........................53
#05 Information Security Requirements
#06 Audit Overview
California Tobacco Control Program
OTIS: Online Tobacco Information System
User Manuals
Policy Manual
101 Introduction
OVERVIEW OF THE POLICY SECTION
The Policy Section of the Administrative and Policy Manual is provided by the California Department of Public Health
(CDPH), California Tobacco Control Program (CTCP) to guide the programmatic and administrative operation and
functioning of funded tobacco control programs. This includes Local Lead Agencies (LLAs), competitive grantees, and
other funded partners. Except where specifically noted, policies within this section are applicable to all CTCP-funded
projects.
In addition to providing programs with programmatic and administrative requirements, this section also contains
background information on California's tobacco education campaign, the mission and philosophy statements of CTCP,
and principles of strategic planning. This section should be reviewed prior to the development and implementation of
interventions, media activities, materials development, evaluation activities, project staffing, and administration of
tobacco control programs. As staff turnover occurs within your agency, please provide new staff with access to the
entire Administrative and Policy Manual to ensure they are familiar with CTCP program and administrative
expectations. The policy manual is housed on the Online Tobacco Information System (OTIS), under the Help Tab
and User Manual.
Section Revised: 02-01-2018 1 of 58
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102 Introduction
PROPOSITION 99 AND PROPOSITION 56 LEGISLATIVE MANDATES
The California Tobacco Control Program (CTCP) was established in 1989 as a result of Proposition (Prop) 99, the
Tobacco Tax and Health Promotion Act of 1988 which added a 25-cent tax to each pack of cigarettes sold in the
state and designated 20 percent of the funds be directed towards preventing and reducing tobacco use.
Proposition 99
In November 1988, California voters approved the Tobacco Tax and Health Protection Act of 1988, also known as
Proposition 99. This initiative increased the state cigarette tax by 25 cents per pack and added an equivalent amount
and designated a portion of the funds be directed towards preventing and reducing tobacco use. As shown in Table 1,
Prop 99 revenues are deposited into six accounts by a formula and are used for specified purposes (Revenue and
Taxation Code Section 30122(b), 30123, and 30124):
Table 1: List of Prop 99's Six Accounts
Prop 99 Account Purpose Percent
l>o-<-
1Holssp-lta-lllS-Se'Iv"cle-selsA"'A"coc-uonlt ll- "'IJJJ'I
care services for low income-p""-at-ien;;-served by
care services for low income patients served by
:';5'%-a-
I-0%
',I'Y'se-a-rc'h-A'-ccoY';iTt-'--'-'--'--'-'---[TJb_a_';o7r:_te:q___re'00-a_0_'J_al"'-J'JJ J'J "'-7 i"'*l__"'o-a'-""'
'Resources Account i:ro-te-c-t-,'-r;s-tore7;n-hancefisF'-a-nd-wrldlif;-h-a-bitaE:-e;Fi-a-n"""'ce'"""J
state and local park and recreation resources i
l-----'----"'
5%
I
-U;anocat'ea "'Acno'u-nr----'-- --"'-"'--'-iA-va'ilabTe""'foranyo-ft;-a-bo-vepu'rpos-e-s " -"""-'-"""'----- -------:J'5% -'----
The HEA funds both community- and school-based health education programs to prevent and reduce tobacco use and
is jointly administered by the California Department of Public Health (CDPH), California Tobacco Control Program
(CTCP) and the California Department of Education (CDE), Tobacco Use Prevention Education (TUPE) Program.
Currently, CTCP receives approximately two-thirds of HEA funds and the TUPE Program receives the other
approximately one-third. CTCP is responsible for supporting a statewide comprehensive tobacco control program, one
of the largest and most successful public health interventions of its kind ever initiated, nationally or internationally.
CTCP provides funding for 61 Local Lead Agencies (LLA), competitively selected community-based organizations, a
statewide media campaign, and an extensive evaluation of the entire program.
The enabling legislation for Prop 99 includes Assembly Bill (AB) 75 (Chapter 1331, Statutes of 1989), AB 99 (Chapter
278, Statutes of 1991 ), AB 816 (Chapter 195, Statutes of 1994), AB 3487 (Chapter 199, Statutes of 1996), Senate Bill
(SB) 99 (Chapter 1170, Statutes of 1991 ), SB 960 (Chapter 4 328, Statutes of 1989), SB 493 (Chapter 194, Statutes of
1995); the annual State Budget; Health and Safety Code Sections 104350-104480, 104500-104545; and Revenue and
Taxation Code Sections 30121-30130. The enabling legislation, the various codes, and the annual State Budget,
provide legislative and funding authority for programs administered by CTCP to
1. Conduct health education interventions and behavior change programs at the state level, in the community and
in other non-school settings.
2. Apply the most current research findings and recommendations regarding tobacco use prevention.
3. Give priority to programs that demonstrate an understanding of the role community norm change has in
influencing behavioral change regarding tobacco use.
Section Revised: 02-01-2018 2 of 58
California Tobacco Control Program
OTIS: On)ine Tobacco information System
User Manuals
Policy Manual
Proposition 56
Almost three decades after Prop 99's passage, in November 2016, the voters of California overwhelmingly passed
Proposition 56, the California Healthcare, Research and Prevention Tobacco Tax Act of 20'l6. Prop 56 increased
the cigarette tax from $0.87 to $2.87 per pack, taking California's ranking from 37tb to 9ttl in the nation. The initiative
increased the tax on other tobacco products by an equivalent amount, including electronic cigarettes for the first time.
With 64.4% of voters voting in favor of Prop 56, Californians sent a strong message to end the state's tobacco
epidemic. Prop 56 revenues are distributed to state agencies to pay for implementation costs (Table 2), with the
remaining revenues distributed to other state agencies by a formula (Table 3), all of which are to be used for specified
purposes (Revenue and Taxation Code Section 30130.55 and 30130.57).:
Table 2: Prop 56 Revenue Distribution for Implementation Costs
1-----'-'-"--;tate-Age:\y--'----l"""---"-""'Purpose--' --'-"--l
,Cdammolur.lnffista!e,5ffin(CffiDT___fFA)-f_Tfi'7Ji_*_-e_['J'Jadm7mi:J""'iu:te7r"Jin:th'J'-_"e=r0'p6jtfafflX'ffi____ur_rIe_dfflUIi[""5% """"-------'-'-'"'---'
12alifornia State Auditor
lUniversity of California (UC)
iCalifornia Department of Public
:Health (CDPH), Oral Health Program
I
j(OHP)
l!Bu:SedsRTJafJjd:7of_jg_'!'n_c:es'f:e't"'Iv:r__-g-P_rof-p_I'5__Z-._ -__IIl1$400,000/year
$40,000,000/year
I
I
$30,000,000/year
o increase the number of physicians trained
working in California
a prevention, and treatment of dental
including those caused by tobacco use
6let-oprTh-nrtemy-eG-net-noefrJaul"'-;sCt!cD-eT/OFAffi;cCe-Do-fP-t;he-----
Stop Tobacco Access to Kids
'Enforcement (STAKE) Program
lF7und's ';-s-trJblt"""e;to'7hree-:tat-e-af'e'-n'cils t-o-"'be- -'-l
used for tobacco-related law enforcement !
I !
I ,___.J
$48,000,000/year
Table 3: Prop 56 Distribution of Remaininq Revenue Affer Implementation Costs
,113(D_e"Jp'aHCrtS""j)-e7JT'_'fIJH-e_f'l"""th-Ca7-e_ffle_rvJcjsJllLacyrr_':ee:_et:"f"Jorr .e.i_a,C"_'a_l _ffihe-a_f'lthfciart__rea;m"Je'Jn\'____-a'_pno5_"_ne_fflrvIII'ic.'IeJs
1----"--"'--""'-'-'---'---"'-'-" -
I
CDPH/CTCP
I
e;rsn;;com-p-re-bTh-ccoc-oRt'rolpFogram - '--
established by Prop 99, to prevent and reduce
use
least 15% of funds distributed to CTCP must be used to
and monitor the decline in tobacco-related
a with the goal of eliminating them
existing school-based efforts, established by Prop
, to prevent and reduce tobacco use
least 1 5% of funds distributed to CDE must be used to
:accelerate and monitor the decline in tobacco-related i
idisparities with the goal of eliminating.them _ _ . _ _ ._..l
I
CDE
I
I
UC -iMedTca-I-;esearcho-f cancer,heartandlungtoba're""-l;-te'a-'-"
idiseases '
Percent
Il .05%
1.95%
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Section Revised: 02-01-2018 4 of 58
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103 Introduction
CALIFORNIA TOBACCO CONTROL PROGRAM GOALS
Social Norm Change Strategy
The ultimate goal of tobacco control work is to reduce and eventually eliminate death, diseases, and illnesses such as
cancer, cardiovascular disease, premature births, sudden infant death syndrome, emphysema, and asthma that result
from tobacco use and exposure to secondhand smoke (SHS), incJuding marijuana SHS and the aerosol emitted from
Electronic Smoking Devices (ESDs). California's approach to protecting the public's health and preventing
tobacco-related death, diseases and illnesses is achieved through a social norm change strategy that seeks to impact
the diverse and complex social, cultural, economic, and political factors which Foster and support continued tobacco
use.
California's social norm change strategy is a cost-effective and efficient approach because the strategy involves
creating population-level changes such as the adoption of policies that lead to reduced smoking rates and decreased
exposure to SHS. The social norm change strategy is based on the premise that as new people or businesses move
into the community, they inherit and adopt the established norms about smoking and the promotion and sale of
tobacco.
Overall, California's social norm change strategy seeks to create an environment where tobacco use becomes less
desirable, less acceptable and less accessible. Through community interventions, the provision of statewide training
and technical assistance, and a mass media campaign, the California Tobacco Control Program (CTCP) works to
achieve social norm changes, that sum to create a significant decrease in tobacco use at the population level.
Community interventions that focus on policy, environmental, and system-level change are the building blocks of social
norm change and play a vital role in changing and sustaining community norms.
California Tobacco Control Program Goals
To reduce tobacco use among adults and youth in California and to eliminate exposure to SHS, including marijuana
SHS and ESD aerosol, CTCP focuses on four broad goals.
Limit Tobacco Promoting Influences
Tobacco industry advertising and promotions are major social and economic forces aimed at promoting tobacco use.
While the 1998 Master Settlement Agreement (MSA) with the tobacco companies mandated changes in the behavior
of the industry, including specific prohibitions against advertising and promotional strategies that target youth;
eliminating tobacco industiy influence in local communities, particularly within the retail environment, remains one of
the highest priorities of CTCP. The tobacco industry continues to maintain massive expenditures on advertising and
promotional campaigns, most significantly within the retail environment at the point-of-sale. Heavy spending on
marketing and promotions at the point of sale buys the tobacco companies many things - brand recognition, brand
preference, tobacco product cravings and unp!anned purchases, fewer successful quit attempts, perceived norms of
higher smoking prevalence, and increased initiation and continuation of tobacco use, especially by youth. Direct mail
and website advertising are also significant advertising and promotion vehicles. In addition, although tobacco
companies consistently report no spending in connection with the production or filming of any motion picture or
television shows, the motion picture industry has increasingly dramatized the use of tobacco in movies, thus aiding in
recruiting thousands of new adolescent smokers each year. Strategies to limit tobacco-promoting influences include
limiting tobacco product advertising, marketing, and glamorization; addressing financial incentives and disincentives to
reduce tobacco industry influences and promote non-tobacco use norms; and promoting healthy community physical
environments.
Reduce Exposure to SHS, Tobacco Smoke Residue, Tobacco Waste, and Other Tobacco Products
The risks of tobacco use extend beyond the actual smoker. Exposure to SHS increases risk for lung cancer and heart
disease. Among children, SHS and thirdhand smoke (THS), or tobacco smoke residue, are also associated with
serious respiratory problems, including asthma, pneumonia, bronchitis, sudden infant death syndrome, and low
birth-weight. Protecting California workers and the public from the effects of SHS, THS, and ESD aerosol; and helping
large numbers of smokers to receive the environmental support they need to quit smoking remains a high priority for
CTCP. Strategies include reducing community and individual exposure to SHS, THS, ESD aerosol, and tobacco
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waste.
Reduce the Availability of Tobacco
Widespread availability of tobacco products reinforces a social norm that promotes tobacco use. This strategy seeks
to reduce the availability of tobacco to youth and members of priority populations targeted by the tobacco industry, as
well as decrease the overall availability of tobacco products, price discounts, couponing, and sponsorship of adult only
events. Strategies to reduce the availability of tobacco products include tobacco retail licensing, limiting the locations
and/or types of tobacco products where tobacco can be sold, and/or reducing the types of tobacco products that can
be sold in communities.
Promote Tobacco Cessation
Smoking cessation is the desired outcome of all initiatives and activities of CTCP that create new social norm
change around the use of tobacco. Since social norms have shiffed to tobacco use being less socially acceptable, and
tobacco product prices have risen substantially, more smokers than ever are trying to quit. More than three out of
every four California smokers say they would like to stop smoking. Past experience has demonstrated that the
statewide media campaign, coupled with the California Smokers' Helpline (Helpline) and community-level cessation
programs, successfully assists smokers in quitting. Smoking cessation is a complex and often extended process, often
requiring several repeated quit attempts until success is achieved. As social norms shift away from the acceptability of
smoking, more smokers become aware of health issues related to smoking, the level of motivation to quit across the
entire population of smokers increases, and motivation by smokers to quit on their own increases. As such, cessation
becomes the outcome, rather than the intervention.
While recognizing that in California the majority of former smokers report quitting without direct cessation services, the
provision of direct cessation is primarily funded through the Helpline, which offers telephone cessation counseling in
English, Spanish, Vietnamese, Korean, Mandarin, and Cantonese, and has tailored services for chew tobacco users,
the hearing impaired, youth, and pregnant women. In addition, the Helpline offers text and chat services. Many
CTCP-funded projects also provide direct cessation services at no cost or for a nominal fee. Additionally, CTCP-funded
projects promote system changes that support population-based cessation services, such as introducing cessation in
large managed health care plans, coordinating with clinics providing health care to people experiencing homelessness
behavioral health facilities, and university/college health centers that serve priority populations, and providing
physicians nurses, dentists, and dental hygienists with training to establish systematized patient education and
treatment programs in private offices and clinics.
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104 Introduction
LOCAL LEAD AGENCY RESPONSIBILITIES
Each of the 58 California counties, as well as three major California cities, are designated as Local Lead Agencies
(LLAs), LLAs include 56 local county health departments, three (3) city health departments (Berkeley, Long Beach, and
Pasadena), and one (1) non-profit agency with offices serving both Merced and San Bernardino Counties. Sections
104375, 104380, 104400104405, 1 0441 0, 104415, and I 04440 of the California Health and Safetv Code (H&S Code)
address and outline requirements for LLAs. Per the enabling legislation, LLAs are responsible for planning,
implementing, and coordinating a comprehensive tobacco control plan. As the lead tobacco control agency at the
community level, the primary legislated responsibilities of LLAs are to:
1. Obtain the involvement and participation of local community organizations with special expertise in tobacco
control and representatives of priority populations
2. Provide, or contract for, tobacco control activities at the local level
3. Establish a coordinated information, reTerral, outreach, and intake system for preventive health education
against tobacco for priority populations
4. Coordinate efforts between county service providers, government agencies, and the County Office of Education
(COE)
5. Provide technical assistance to tobacco control service providers
6. Establish a uniform data collection system in compliance with standards and guidelines issued by CTCP, and
submit audit and fiscal reports as required by the department
7. Develop a local tobacco control intervention plan and appropriate budget
8. Evaluate local program interventions and report back to CTCP
9. Additional activities may be required as defined in specific procurements
Each LLA serves as the backbone agency to a local community coalition to foster collaboration and engage in
grassroots community mobilization activities that modify policy, systems, and environments to support social norm
change and education to reduce tobacco use and address the tobacco industry strategies that promote tobacco use.
LLAs take the lead on local community policy development, the facilitation of the enforcement of tobacco control laws,
and the provision of local tobacco cessation services.
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105 Introduction
COMPETITIVE GRANTS PROGRAM
Competitive Grants
The California Health and Safety Code (H&S) Section 104385 authorizes the California Tobacco Control Program
(CTCP) to award and administer Competitive Grants to agencies to prevent tobacco-related diseases, conduct health
education and promotion activities targeted to high risk persons and groups to reduce the number of persons beginning
to use tobacco, continuing to use tobacco, or developing tobacco-related diseases. The Competitive Grants Program
funds a variety of statewide, regional, local, and pilot projects. As defined by H&S Code, Section 104355, a grantee is a
public or private nonprofit entity. Grantees may include, but are not limited to: hospitals, community clinics, local health
departments, voluntary health organizations, American Indian tribes, colleges, and universities, County Offices of
Education (COE), school districts, health maintenance organizations, professional health associations, and
professional health education associations. Pursuant to H&S Code, Section 1 04440, Local Lead Agencies (LLAs) are
ineligible for competitive grant awards unless the LLA is a participant within a consortium of community-based
organizations and non-profit agencies.
Statewide Grants
Several funded grants are designed to have a statewide impact, by providing technical assistance and training or direct
services throughout California. As of July 1, 2017 the following projects are funded to provide training and technical
assistance or direct services statewide:
Training and Technical Assistance Providers
L California Youth Advocacv Network (CYAN) is dedicated to supporting youth and young adult tobacco
prevention advocates and tobacco control agencies throughout California. It offers technical assistance,
trainings, and resources related to youth tobacco issues, youth advocacy skills, and youth and adult
partnerships. Technical assistance and training services include one-on-one support, staff and/or coalition
trainings, assistance with developing policy campaigns, assistance with developing tobacco related social
media campaigns, support for draffing tobacco-free policies, and presentation and materials development.
CYAN has three separate program areas:
a. CYAN's College Program works locally and statewide to eliminate tobacco use and industry presence on
college and university campuses by advocating for tobacco-free campus policies and effective cessation
programs.
b. CYAN's Youth Program works with local tobacco control programs to engage youth in advocacy
campaigns to decrease access and exposure to tobacco.
c. CYAN's military program, called Project UNIFORM, focuses on tobacco use by active military personnel
in California. The mission of Project UNIFORM is to build collaborative military-civilian partnerships to
address tobacco use in military communities. They do this by providing culturally appropriate tobacco
control information and trainings to existing military cessation programs on installations, collaborating
with military support networks to promote cessation services, and educating tobacco control
professionals to the culture and existing services within the Armed Forces of the United States.
2. ChanqeLab Solutions provides community-based solutions to maximize health outcomes for all, especially for
communities with the fewest resources. Through their expertise in law and policy, they provide free technical
assistance, research, training, and analysis to help communities pass legally sound and effective tobacco
control laws. Services include individualized capacity building assistance, training on tobacco control laws and
policies, and the development of model tobacco control policies and educational materials on a variety of
tobacco control topics. They offer legal technical assistance during the entire process of policy development
and adoption, and help jurisdictions develop strategies and tools to enforce tobacco control policies.
3. The Center for Tobacco Policv and Orqanizinq (The Center) is a project of the American Lung Association in
California and serves as a state and local tobacco policy resource. It provides policy and organizing technical
assistance to communities working to adopt tobacco control policies by using community organizing strategies.
The resources offered by The Center include providing legislative updates on key tobacco control bills, tobacco
industry campaign contributions, and emerging local issues; assistance to develop and maintain relationships
with legislators at the Capitol and in their district offices; campaign consultation and planning assistance; local
advocacy trainings, including the completion of the Midwest Academy Strategy Chart; and training and technical
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assistance with assessing the local political environment and coalition member recruitment. They organize the
annual Capitol Information & Education Days (I&E Days) where local projects, grantees, and individuals can
educate their legislators about the burden of tobacco in their communities. Finally, The Center tracks and
analyzes local smoke-free policies.
4. Tobacco Control Evaluation Center (TCEC) at University of California, Davis is the statewide evaluation
technical assistance provider for California's tobacco control programs. They offer individual technical
assistance to design evaluation plans, how-to documents and videos, and a searchable collection of data
collection instruments. TCEC can also provide in-person or webinar trainings on specific evaluation tasks such
as sampling or writing a Final evaluation report, and they develop and disseminate a variety of tip sheets on
evaluation-related topics including writing interview questions, using qualitative data collection methods, and
selecting data collection methods. Finally, TCEC manages electronic data collection services that allow CTCP
funded projects to utilize handheld devices for local data collection free of charge.
5. The LOOP at University of California, San Francisco is a centralized, one-stop resource that helps CTCP
funded projects strengthen their capacity to connect, communicate, and collaborate with their local
communities, especially those disproportionately burdened by tobacco. These priority populations include
African American, Hispanic/Latino, Asian/Pacific Islander, American Indian and Alaska Native, and Lesbian,
Gay, Bisexual, Transgender, Queer communities. The LOOP offer webinar trainings, in-person trainings, and
individualized technical assistance. The LOOP's Leadership Development Program aims to increase the
engagement of individuals from priority populations and strengthen the capacity of California's tobacco control
force.
6. Rover Library is California' comprehensive tobacco control library that provides CTCP and their partners and
funded projects with the resources and tools to stay current with tobacco-control research, advocacy and
educational materials, and news. Rover's website features an online catalog of over 20,000 resources to
request or download, and they provide a variety of services including literature searches, quick and in-depth
reference requests, referrals to other experts in the field, and one-on-one trainings.
7. The Center for Tobacco Cessation at the University of California, San Diego, Moores Cancer Center is the
training and technical assistance arm of the California Smokers' Helpline. It provides training and technical
assistance to organizations statewide to increase their capacity in tobacco cessation efforts. Their services
include information and resources, technical assistance, and online and in-person trainings on topics including
development of a comprehensive cessation strategy, evidence-based behavioral treatments, tobacco cessation
in special populations, promotional approaches to increasing cessation, evaluation of cessation programs, and
more.
Direct Service Providers
1. The California Smokers' HelplinejHelpline) operated by the University of California, San Diego, Moores Cancer
Center, is a free, statewide, research-based tobacco cessation program (1-800-NO-BUTTS). The Helpline
provides free services to help smokers and other tobacco users quit, including telephone counseling in English,
Spanish, Mandarin, Cantonese, Korean, and Vietnamese, self-help materials, text messaging support for
cessation, a local resource listing, and on-the-spot customized telephone counseling for pregnant smokers,
tobacco chewers, and teens. By choosing counseling, smokers may have coverage for quitting aids, such as
the patch or Zyban, through Medi-Cal or their private insurance. Those who choose counseling will receive up
to five follow-up calls after their initial call. Helpline services are also available via telecommunications device
(TDD/T TY) for individuals who are deaf or hard-of-hearing. Finally, the Helpline provides a variety of free
resources to tobacco control and health care professionals on referral sources for clients that want to quit
smoking, including educational materials, proactive referral options, and in-person presentations about Helpline
services.
2. The Tobacco Education Clearinqhouse of California (TECC) is an online catalog for tobacco education and
advocacy materials. Registered users can download print-ready materials to print in-house or take to a
professional printer, and many materials can be customized with local contact information or message. These
materials are available in a variety of languages for a wide range of audiences, and include items such as fact
cards, brochures, posters, signage, and toolkits. TECC also collects and reviews CTCP and project materials
and adapts them for the catalog. For CTCP funded projects, TECC provides a variety of services including
material development assistance and review by subject matter experts for cultural, educational, and language
appropriateness for target audiences.
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106 Introduction
ST ATEWIDE MEDIA CAMPAIGN
The California Tobacco Control Program's (CTCP) media campaign, a key component in the nation's longest running
anti-tobacco program, consists of advertising and public relations (PR) campaigns. Both campaigns reach California's
diverse populations in six languages-Spanish, English, Cantonese, Mandarin, Vietnamese and Korean. The
advertising campaign utilizes cutting-edge messages to communicate the dangers of tobacco use including Electronic
Smoking Devices (ESD), the environmental impact of tobacc, and expose the tobacco industry's marketing ploys. The
PR campaign's efforts include communications planning and implementation, facilitating media relations and advocacy,
conducting social media activities, providing technical assistance to local programs, conducting news conferences,
issuing media alerts and press releases, and coordinating media monitoring. Together, the advertising and PR
campaigns work to deliver clear, powerful messages with the broadest reach, educating and furthering the cause. To
learn more, visit TobaccoFreeCA.com or the Media and Communications paqe on the Partners website.
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107 Introduction
EV ALUATION
The California Tobacco Control Program (CTCP) is a data-driven program. Telephone, web-based, observational, and
in-school surveys are used to track adult and youth tobacco knowledge, attitudes, and tobacco use behaviors. These
surveys monitor progress and illustrate emerging challenges (e.g., new tobacco product use). Observational surveys
are conducted to monitor tobacco retail marketing practices and tobacco product sales to persons under 21 years of
age. Additionally, program evaluation is conducted to determine which strategies are most effective. Collectively, these
surveillance and evaluation studies are used to tailor and improve educational and media outreach; determine which
intervention strategies are most effective at reducing tobacco use; and monitor progress towards reaching CTCP goals
and objectives.
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200 Program Operating Principles
PROGRAM OPERATING PRINCIPLES
The following are operating principles For tobacco use prevention and reduction activities funded by the California
Department of Public Health (CDPH), California Tobacco Control Program (CTCP).
CTCP is committed to providing leadership and resources to achieve a 100 percent reduction in tobacco use in
California by 2035. CTCP advocates a social norm change that creates a tobacco-free lifestyle and environment for all
Californians. Toward these ends, CTCP encourages projects to:
1. Empower local decision-making through broad-based community participation.
2. Recognize diversity and maintain respect for differences.
3. Encourage innovative and multi-dimensional models for health education.
4. Create a partnership among communities, schools, worksites, health care organizations, and government.
5. Recognize individual and community rights to self-determination.
6. Anticipate community needs and prepare for major shifts in program emphasis as conditions change.
7. Recognize the critical importance of using interventions that focus on involving the family and community rather
than individuals. Instead, programs must tap into the social context of individual behavior. Individuals, whether
they are young people or adults, interact within a vast complex of relationships, organizations, work, peer and
reference groups, and participate in a variety of personal growth, religious, and recreational activities.
8. Recognize the paramount importance of program cost-effectiveness. In order for programs to be replicable
throughout California, they must be financially feasible. There are a number of ways cost-effectiveness can be
enhanced:
a. Institutionalize interventions into worksites, schools, community networks, and health care systems
through broad frameworks such as Community Health Needs Assessments (CHNA) and General Plans.
b. Emphasize interventions that create generational change. This is particularly important when considering
young people. We know, for example, that youth are more likely to use tobacco if their parents use
tobacco. Therefore, reaching parents and other intermediaries such as trusted adults in their lives, can
help break the chain and reduce program costs over time.
c. Emphasize interventions that last. Policy development is of key importance to changing community
norms about tobacco. Social norm change occurs through organizational, community, and business
policies. Community ordinances ensure access to tobacco-free workplaces, post-secondary schools, and
smoke-free housing. Supportive integration of healthy changes to the retail landscape, incorporation of
cessation into behavioral health practices, and the reduction of access to tobacco eliminates its impact
on our environment and creates a lasting impact on the lives of millions of Californians.
d. Priority populations must be major audiences for tobacco use prevention and reduction efforts since they
are major targets of the tobacco industry. Priority populations are groups that have higher rates of
tobacco use than the general population, experience greater secondhand smoke exposure at work and
at home, are disproportionately targeted by the tobacco industry, and have higher rates of
tobacco-related disease compared to the general population. The tobacco industry maintains persistent
and prolific advertisement efforts to direct individuals who are part of priority populations to their
products.
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301 Program Requirements
TOBACCO CONTROL COALITION/ADVISORY COMMITTEE
REQUIREMENTS
The goal of the California Tobacco Control Program (CTCP) is to change the social norms surrounding tobacco use.
One way funded projects participate in efforts to create social norm change in relation to tobacco use is
through community interventions which focus on policy, system, and environmental change. To change policies,
systems, or environments, community involvement is a required and essential component to long-term success. When
a community affected by a problem, such as tobacco use, and it is able to define the problem and solutions to that
problem, it is on a path to overcome the problem. By taking ownership of the problem and solution, lasting social norm
change is created.
In order to shape change in communities to produce social norm change, all funded local lead agencies (LLAs) are
required to establish a community-based tobacco control coalition or integrate issues of tobacco control into
an existing community-based coalition. Community-based coalitions are groups of diverse individuals and
organizations with a common interest who agree to work together toward a common goal in their own community. The
role of funded projects is to provide the community a space, knowledge, and resources to come together and support
the community's problem-solving effort.
In addition to LLAs' community-based coalitions, some competitive grant procurements may require the
recruitment and maintenance of an advisory committee. Advisory committees function in many similar ways to
community-based coalitions and their membership should be just as diverse, but they are more likely to advise the
project on how to do its work on various issues, rather than problem solve for the community as a whole.
Projects that are required to form and maintain a community-based coalition/advisory committee are to organize these
bodies in such a way that they:
1. Obtain the participation and involvement of local community organizations with special experience and expertise
in community health education against tobacco use and representatives of priority populations
disproportionately impacted by tobacco use
2. ASSiSt in the development and implementation of community-based tobacco control efforts
3. Develop and demonstrate widespread public support for issues, actions, and unmet needs
4. Maximize the power of individuals, single groups, and agencies through collaborative action for the purpose of
creating a "critical mass"
5. Mobilize the talents and resources of multiple individuals, groups, and agencies to promote tobacco education
and control strategies
6. Provide a united voice to respond to the tobacco industry
The organizationai structure of the community-based coalition/advisory committee is flexible and may include:
4. Forming a centralized coalition/advisory committee that serves the entire health jurisdiction, region, or state
2. Integrating tobacco control issues into an existing community-based coalition or advisory committee
3. Creating campaign committees to Focus on the passage of specific policies or implementation of existing polices.
The requirements for all community-based coalitions/advisory committees are as follows:
1. Constituency Representation: Community-based coalitions/advisory committees are to recruit a diverse
membership that includes representatives that work or have a vested interest in tobacco control issues as well
as those beyond traditional health, education and social service organizations. Outreach should be made on the
part of LLAs and competitive grantees to include representatives of the respective local-funded project within
the project's coalition/advisory committee. These various constituencies include, but are not limited to:
TLLArad'/'-'IfoenfaltlhcDoenpsakrt'mueennctsy RepresaTafaf-'!na---"""-'I(-R'Buoe-spn:rTe-esr;aesd"-aHffan'ofa"Jo6an'olmc"""omnusn'i'tfy;eJ'rgCaynizations
ACTlcCohPoGl arandnkeDerusg Programs '---'-'"-'-4F-a\hnv TroRnem-pe-ren'slaelnotartgioanniz-"1'-o"-!--- -'
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Education [including Tobacco Use Prevention
Education (TUPE) Programs]
Hospitals, Clinics and Health Care Providers
Social Service Organizations
Voluntary Health or Tobacco Control Organizations
Other Tobacco Control Funded Agencies
Labor and Union Organizations
Law Enforcement
Media and Communications-related Agencies
Military and Veteran Organizations
Worksite/Employer
2. Population Representation: Community-based coalition/advisory committee membership should be
geographically-balanced and include priority population representation comparable to the demographics of the
area. Tobacco-related priority populations are groups that have higher rates of tobacco use than the general
population, experience greater secondhand smoke exposure at work and at home, are disproportionately
targeted by the tobacco industry, and have higher rates of tobacco-related disease compared to the general
population. Individuals may be members of more than one priority population. California's tobacco-related
priority populations of focus are determined by the Tobacco Education and Research Oversight Committee
(TEROC) and are identified in the most current version of their Master Plan, available on TEROC's website.
3. Compensation: Coffimunity-based coalition and advisory committee members serve without compensation, but
members may be reimbursed for necessary travel expenses incurred in the performance of their duties as a
coalition or advisory committee member.
4. Operating Rules and Procedures: Tobacco control community-based coalitions and advisory committees are
required to have formalized operating rules and procedures (e.g., by-laws) that include:
a. A description of the community-based coalition/advisory committee's organizational structure
b. A mission statement for the community-based coalition/advisory committee
c. A definition of the roles and responsibilities of members, the method of appointment to the
community-based coa!ition/advisory committee, length of membership, and meeting frequency
d. A defined process for new member orientation
e. An annual assessment of members to monitor coalition/advisory committee functioning and member
satisfaction utilizing assessment instruments identified by CTCP or others acceptable to the
community-based coalition/advisory committee
f. The creation of a standing subcommittee charged with recruiting new members that meets a minimum of
four times a year to determine and fulfill membership recruitment goals
5. Coalition Chair: A community-based coalition/advisory committee chair should be a representative of the
community that the coalition/advisory committee intends to serve and not receiving tobacco control-related
funding obtained through a California tobacco tax initiative.
a. If a community-based coalition/advisory committee is chaired by a single individual, they may not be
from the administrative agency that functions as the facilitator of the community-based coalition/advisory
committee or another project funded by dollars obtained through a California tobacco tax initiative.
b. If a community-based coalition/advisory committee determines there is a need for two co-chairs, at
least one chair may not be from the administrative agency or another project funded by dollars obtained
through a California tobacco tax initiative.
6. Membership Recruitment: Agencies responsible for facilitating the community-based coalition/advisory
committee are to develop a process for recruiting and orienting new members in coordination with the standing
recruitment subcommittee.
7. Training: Agencies responsible for facilitating the community-based coalition/advisory committee are to
periodically provide training for and review operational procedures with members.
8. Communications: Agencies responsible for facilitating the community-based coalition/advisory committee are
to develop communication systems to keep members fully informed for both urgent (rapid response) and routine
communication needs.
9. Resources: Agencies responsible for facilitating the community-based coalition/advisory committee shall
provide staff, logistical assistance, training, budget support, and other assistance as needed by the
community-based coalition/advisory committee.
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302 Program Requirements
HEALTH EDUCATION PROGRAM REQUIREMENTS
The Following are health education program requirements which are to be utilized by the California Tobacco Control
Program (CTCP) funded projects and their subcontractors to design and implement tobacco-related health education
strategies. Programs are to:
1. Focus on social norm strategies which are likely to be institutionalized and apply current and evidence-based
research findings to ensure the effectiveness of policy, media, and program strategies.
2. Focus the greatest effort and resources toward the priorities of 1) limiting tobacco promoting influences; 2)
reducing exposure to secondhand smoke, tobacco smoke residue, tobacco waste, and other tobacco products;
and, 3) reducing the availability of tobacco.
3. Be comprehensive in nature and use community education, paid media, earned media, policy, training,
technical assistance, collaboration, surveys, and other activities to work in a coordinated and focused fashioned
to achieve outcome-oriented objectives.
4. Reflect coordination and collaboration with the efforts of Local Lead Agencies (LLA), competitive grants,
statewide projects, regional projects, pilot projects, and statewide initiatives.
5. Reach out to and include groups with access to, knowledge of, and experience with priority populations of
focus, but who are not currently involved in or receive tobacco tax funding. Such groups include, but are not
limited to environmental organizations, faith-based organizations, housing organizations, law enforcement
agencies, living wage groups, professional organizations, early childhood development, youth groups, schools,
chambers of commerce, business groups, and unions.
6. Collaborate with representatives of priority populations of focus, policymakers, and intervention groups. They
shall be conducted with the participation or support of organizations or individuals from the priority populations
of focus or from representatives from organizations serving priority populations.
7. Mobilize the community to demonstrate support for educational, policy, and enforcement activities. This may
include conducting letter writing campaigns, press conferences, community forums, obtaining resolutions from
community groups, obtaining organizational endorsements, generating opinion editorials, meeting with key
community leaders or agencies, creating new alliances with groups such as civil rights organizations, chambers
of commerce, women's groups, community beautification groups, (aw enforcement agencies, land use planning,
transportation, alcohol and drug professionals, mental health organizations, etc.
8. Build the capacity of communities to address tobacco issues through offering opportunities for training,
conducting surveying efforts, participation in community-based coalition/advisory committees, facilitating
educational presentations to policymakers, providing leadership opportunities for youth, and/or media
opportunities (e.g., spokesperson training), etc.
9. Identify, document, and publicize the presence of tobacco-related problems and demonstrate public support for
tobacco control interventions through the media. Documentation of the problem may include publicizing the
results of the Healthy Stores for a Healthy Community (HSHC) survey, Young Adult Tobacco Purchase Survey
(YATPS), surveys of tobacco advertising, Key Informant Interviews (Kll) summaries, Public Opinion Poli/Public
Intercept Surveys, Photovoice, telephone surveys, etc.
10. Utilize paid media, Public Service Announcements (PSA) and earned media opportunities in a coordinated
fashion to support national, state, regional, and local policy and educational activities.
11. Provide education and materials that are culturally responsive and linguistically appropriate for the priority
populations of focus and to intended intervention groups.
12. Incorporate program evaluation into tobacco control activities and meet at least the minimum percentage of
deliverables required, as defined by the procurement. Evaluation activities are to be focused on outcomes, but
also may include process evaluation and formative research.
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303 Program Requirements
DEVELOPMENT AND USE OF EDUCATIONAL, INCENTIVE, AND MEDIA
MATERIALS
The following requirements apply to using California Tobacco Control Program (CTCP) funds to develop, produce and
disseminate educational, media (advertising and public re!ations), and incentive materials.
1. Examples of Materials
a. Behavior Modification Materials are now known as 'Jncentives" as of January 2018. "Educational
Materials" are items such as brochures, infographics, books, booklets, curricula, tip sheets, fact sheets,
posters, videos, and non-campaign related social media posts.
b. "Advertising (Ad) Materials" are items such as T\//video, radio, out-of-home (e.g., billboards, bus
shelters/transit, cinema, etc.), print, or digital advertisements.
c. "Public Relations (PR) Materials" are items such as press releases, key messages, images, video,
podcasts, social media graphics, opinion editorials, bylined articles, Letters to the Editor, and press
packets provided to media for announcements, media events, or news conferences.
d. 'Jncentives" are used to motivate and/or reinforce positive behavior, participation, or involvement in
activities related to a project's Scope of Work (SOW) (e.g., completing a survey or participating in a focus
group). If used, materials must be consistent with Proqram Letter 1 8-Oal : Incentive Materials.
2. Approved Scope of Work Activities
a. Development, modification and/or dissemination of any educational, advertising, public relations, and/or
incentive materials cannot be conducted by the project unless there is an approved activity in the SOW
describing the purpose, intended audience, format, consumer/focus group testing results (as
appropriate), and dissemination of the product. Materials must be consistent with the approved SOW and
must be developed to support SOW activities (e.g., for use during educational outreach events in
tandem with educational efforts with the public, assisting with evaluation training or dissemination, use
and distribution during educational presentations to policymakers, etc.).
3. Formative Research Re:luirement Priorto Developinq Materials
a. Prior to developing any educational materials, a funded project must check with the Rover Librarv and
Tobacco Education Clearinqhouse of California (TECC) to identify if an existing material is already
available or could be adapted to fill the project's need. This is a mandatory requirement to ensure
non-duplication of efforts and statewide coordination.
b. Prior to developing any advertising materials, a funded project must check the Media & Communications
of the Partners website to identify any existing materials that have previously been developed
and tested for target audience effectiveness. The Media & Communications Section on the Partners
website provides a description of the advertising assets available and a form is available to request
advertising materials and technical assistance from the Media & Communications Unit. For more
information on requirements, see (5) TechnicalAssistance to Develop Media Materials below. This is a
mandatory requirement to ensure non-duplication of efforts and statewide coordination
c, Prior to the development of any educational, media or incentive materials, the funded project must obtain
and incorporate the most recent evidence-based research to substantiate messaging. Assistance is
available from the Rover Library. This is a mandatory requirement to ensure that all materials are
factually accurate, current, and evidence-based.
4. Technical Assistance to Develop Educational MaterialB
a. Throughout the material development process, it is highly recommended the project contact TECC for
technical assistance with developing the intended educational material. TECC is available to provide
assistance with content, design, readability, accessibility (ensuring access for people with disabilities or
special needs), customization for the intended audience, format, consumer/focus group testing,
production, and dissemination to ensure that all educational materials are high quality, cost-effective, and
appropriate for the intended audience.
5. Technical Assistance to Develop Media Materials
a, Prior to the development of advertising materials, the funded project is required to contact CTCP's Media
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& Communications staff by filling out the Media Materials and Technical Assistance Request Form in the
Media & Communications Section of the Partner's website, to discuss advertising development, including
content, intended audience, intended target markets, media formats, testing, production, and time period
for advertising placement. Staff is available to assist funded projects in communications strategy
development. Media & Communications staff are also available to provide strategy and messaging
feedback for funded projects' PR-related efforts.
6. Process to Request Use and/or Adapt Educational or Advertisinq Materials Produced with CTCP Funds
a. The State of California, California Department of Public Health (CDPH) owns the copyright on
educational and advertising materials developed with funds provided CTCP except for materials
developed through a University of California interagency agreement-the University of California retains
the copyright for the materials.
b. Following is the procedure to request the use of and/or adaptation of materials by a CTCP-funded
project, other than the funded project that produced the material.
i. For education materials, contact TECC for assistance with this procedure and to ensure that there
are no copyright restrictions associated with the material.
ii. For advertising and media materials, contact CTCP's Media & Communications staff by filling out
the Media Materials and Technical Assistance Request Form on the Media & Communications
7. Requests for Use of Statewide Media Campaiqn Advertisinq Materials
a. On the Media & Communications Section of the Partners website, there is a library of recent and historic
ads developed by the CTCP Statewide Media Campaign, as well as ads developed by many tobacco
control organizations throughout the state and country. Most CTCP advertising materials are available at
no cost to funded projects.
b. Requests from CTCP Funded Projects:
i. All funded projects who wish to use or modify media materials produced by CTCP must complete
the Media Materials and Technical Assistance Request Form located in the
Communications Section of the Partners website and provide the funded project's
Communications Plan to outline the strategy and need forthe media. In most cases, permission
will not be granted for modifications to CTCP media materials (with the exception of taglines and
logos) that may compromise the integrity of the materials. Any request for modifications of
advertising will be forwarded to CTCP's Chief of the Media & Communications Section for a
secondary review and decision.
ii. Projects must make their own arrangements to "tag" (e.g. add the funded project's name, logo,
and/or tagline) the media materials themselves.
iii. Tagging costs are to be incurred by the project and negotiated directly with the vendor who is
engaged to place the advertising.
c. Requests from non-CTCP Funded Agencies/Organizations:
i. Requests from local county programs (e.g., county alcohol and drug program, county
environmental health) should be forwarded to the appropriate LLA for collaboration of local efforts.
The CTCP Media Unit will forward all local county program media-related requests to the
appropriate LLA for follow-up and collaboration as deemed necessary.
ii. Requests from all other non-CTCP funded agencies/organizations will be reviewed by the
CTCP's Chief of the Media & Communications Section. The request should describe the product,
how it will be used and distributed, cost if applicable, and any modification the requestor would
like to make.
iii. The appearance of a gift of public funds for the profit or benefit of an agency will be considered
and avoided in any request.
iv. Requests for materials for use by a CTCP-funded project's subcontractors or consultants must be
submitted to CTCP by the primary funded project.
v. Any agency/organization granted permission to use or modify advertising materials from CTCP is
to bear the cost associated with the permitted use or modification of the material.
8. Contract and Administrative Issues Related to Educational and Media Materials Development
a. When utilizing the consulting services of an artist, writer, designer, advertising, and/or public relations
agency for the development of materials, all agencies must indicate "Work Made for Hire" on contracts
and invoices. Please include in all subcontract and consultant agreements, the language found in item
"(8) (d) (i)" below. This will ensure that the copyright belongs to CDPH/CTCP, that CTCP has the
authority to make derivative works, and that no residual costs will be incurred by CTCP for additional
printing or use.
b. The funded project is responsible for ensuring that any selected services from an agency or consultant
carry no conflicts of interest (e.g., no connection to the tobacco industry, subsidiaries, electronic
smoking/vaping companies, or other related industries that work against the intended interests and
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mission of CTCP).
c. The funded project is responsible for ensuring that an agency or consultant has the expertise for the type
of services being sought, an understanding of health or social issue campaigns, and the ability to
respond appropriately to industry or political criticism.
d. Include the following provision in all subcontract agreements for a materials development agency or
consultant:
i. "The subcontractor grants the State of California copyright interest in any Works created,
provided, developed, or produced under the agreement and ownership of any Works not fixed in
any tangible medium of expression and agrees to assign those rights to the State. For any Works
for which the copyright is not granted to the State, the State shall retain a royalty-free,
non-exclusive and irrevocable license throughout the world to reproduce, to prepare derivative
Works, to distribute copies, to perform, to display, or otherwise use, duplicate or dispose of such
Works in any manner for government purposes, and to have or permit others to do so."
ii. Print the following statement on any invoices for duplication services of materials:
1. "All (e.q.: artwork, type, electronic files, or photographic film or
video/audio recording) created or submitted for reproduction is the property of the
California Department of Public Health (CDPH), California Tobacco Control Program
(CTCP). Acceptance of this order indicates agreement of these terms."
e. If any material to be developed involves any copyright limitations (e.g., talent fees, limits on distribution
or term, stock photography royalties), agencies must get CTCP approval prior to the development of the
material.
f. When using the image or likeness of an individual in an educational or media material agencies must
ensure that the individual has signed a consent form or photo or talent release. Agencies shall obtain an
additional consent form from the parent or legal guardian of individuals under 18 years of age.
g. Subcontract and consultant agreements and/or photo or talent releases must be completed and include
the required CDPH/CTCP copyright language even if no monetary payment is part of the transaction.
h. Agencies are not allowed to profit from the sale of materials created with CTCP funds or utilize materials
for non-tobacco control related purposes.
i. No CTCP video, ad, or portion of one can be edited and incorporated into another educational video
without the express written permission from the CTCP.
9. Educational, Media, and Incentive Material Standards
a. Materials must be consistent with the approved SOW and support SOW activities (e.g., for use during
educational outreach events, use and distribution during educational presentations to policymakers, etc,).
b. Materials must not duplicate existing materials known to Rover or TECC.
c. Incentive Materials (incentives) must be consistent with Proqram Letter I 8-C)1 : Incentive Materials,
d, Materials are scientifically and factually accurate and cite original sources using a recognized standard
format (e.g. the American Psychological Association, 6th Edition [APA] style formatting).
e. Messages are based on research shown to be effective in discouraging tobacco use among the intended
audience(s).
f. Materials do not contain offensive or misleading language, visuals or messages, and do not put down,
stigmatize or otherwise blame tobacco users or other groups (e.g., messages do not focus on smokers
as "losers").
g. Materials do not promote or inhibit any religious ideology.
h. Materials do not feature the image, voice, or identifiable views of any elected public official or candidate
for public office.
i. Materials are free of grammatical, punctuation, and spelling errors.
j. The reading level of the material is appropriate for the intended audience as verified through literacy
testing.
k. The material is appropriate for the intended audience, as verified through consumer testing.
1. Materials convey messages that are consistent with other health or public health messaging (e.g.,
visuals with people on bicycles includes the use of helmets, and visuals of consumption food and
beverages depict healthy options).
m. Materials are visually appealing without the use of excessive production costs.
n. Permission to use copyrighted material and artistic, photograph, talent, and model releases are obtained
in advance and retained on file.
o. Acknowledgement of the funding source is included on the piece.
p. Educational materials and consumer testing documentation is to be submitted to TECC via the following
link: https://www.tecc.orq/material-submission/.
q. Advertising, educational materials, and consumer testing documentation is to be submitted to CTCP with
the funded project progress report.
r. The funded project agrees to allow CTCP and TECC to review the educational materials for possible
statewide distribution and to adapt these materials as appropriate for free distribution through the TECC
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website.
s. The funded project agrees to allow CTCP to review the advertising materials for possible statewide
distribution and to adapt these materials as appropriate for free distribution through the Partners website.
t, The funded project retains the following materials on file and makes them available to CTCP and/or
TECC:
i. Results of consumer testing for literacy level and cultural responsiveness for educational
materials;
ii. Advertising related consumer testing should include assessment of message comprehension
emotional impact, and overall reactions to concepts;
iii. Field test, pilot test, or expert review evaluation findings, as appropriate;
iv. Signed Copyright Release Form for all subcontractors including writers, designers, talent,
photographers and artists;
v. Signed Model/T alent Release Form for anyone who is recognizable in materials used.
u. For educational and media materials that are print, out-of-home and digital retain:
i. Receipts/invoices for any stock photos or graphics purchased;
ii. A copy of the original Tile from the page layout or design program (e.g., the original QuarkXPress;
Adobe PageMaker, InDesign, Photoshop or Illustrator; MS Publisher; Word files) in
editable/layered form;
iii. All original illustrations and photos (including.jpg,.tif,.eps,.psd/Photoshop, and/or.ai/Illustrator
files);
iv. All fonts used, even if they are converted to outlines.
v, For educational and media materials that are television (T\/)/Video digital file masters - generic taggable
versions retain content in the following formats:
i. Apple ProRes 422 (HD), Uncompressed, Broadcast Quality Master with Split VO & Music Tracks;
ii. Apple ProRes 422 (HD), Uncompressed, Broadcast Quality Master.
w. For educational and media materials that are Radio/audio digital file masters - generic taggable versions
retain content in the following formats:
i. WAV format, Broadcast Quality Master with Split VO & Music Tracks;
ii. WAV format, Broadcast Quality Master
x. Translations of materials submitted in languages other than English.
y. Quit kits are considered educational materials, and should be tailored to the audience. Quit kids may
include printed materials such as: Take Control Guide book(et, Decide Guide booklet, Take Charge Gold
Cards, and in-language cessation rack cards (bulk quantities may be obtained from TECC), as well as
local cessation class flyers, and information on local cessation resources. Other items that are helpful to
a person making a quit attempt may also be included in the quit kit, such as: rubber bands, a quitter's
journal, or individually-wrapped toothpicks.
10. Acknowledgement of Fundinq Source
a. Educational Materials: All educational materials (e.g. brochures, fact sheets, infographics, posters,
reports, published documents, or materials) developed with CTCP funds must include the following
statement:
i. "@ [current year]. California Department of Public Health. Funded under contract # XX-XXXXX."
b. Advertising Materials: All advertising assets (e.g. T\/, digital video, radio, out of home, digital banner,
print) utilized by a funded project must acknowledge the agency that is placing the advertising with an
attribution statement. Funded projects may choose from one of the following:
i. "Sponsored by [Your Project/Agency's Namel
ii. "This message paid for by [Your Project/Agency's Name]"
c. Social Media Materials: Social media images, infographics, or gifs provided by CTCP, TECC, or
downloaded from CTCP's Facebook profile are not to be modified.
d. Incentive Materials: As appropriate, incentive materials should contain the following statement (e.g.,
cessation quit kit):
i. "This material made possible by funds received from the California Department of Public Health,
under contract # XX-XXXXX."
ii. Projects may omit the acknowledgement if there is a space limitation or the attribution interferes
with the image of the piece. Consult with the funded project's Program Consultant for additional
guidance.
'1 1. Use oflncentive Materials
a. Funded projects may use incentives to reinforce or motivate a change in behavior. Incentives are only to
be given to participants attending a pre-determined effort or activity. Incentives may be awarded to
individuals, businesses, or groups for making a positive behavior or policy change (e.g., participating in a
cessation program, adopting a smoke-free housing policy, creating, and promoting a
smoke-free/tobacco-free event). They may also be awarded to adult and youth volunteers to reinforce
participation in the project's scope of work (e.g. participation in the Communities or Excellence [CX]
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Needs Assessment process, beach cigarette litter clean-ups, data collection for a Young Adult Tobacco
Purchase Surveys [YATPS], or completion of significant service to the project's coalition).
Please note: A 2015 Cochrane Database of Svstematic Reviews on the use of incentives for smoking
cessation programs concluded that six months or more after the beginning of the trial, people receiving
incentives were more likely to have quit than those in the control groups were; however, only three trials
reported prolonged success beyond the close of the program. Tobacco cessation programs using
incentives and competitions should consider how to incorporate these findings.
b. Non-Consumable (Non-Food/Refreshments) incentives can be both tangible and intangible in nature. A
mix of both forms of incentives are permitted. For example, if a funded project wishes to reward a
participant for involvement with a behavior change:
j, Tangible Incentives: Giving a participant in data collection activities a merchandise card, following
the completion of activities.
ii. Intangible Incentives: Writing a letter of recommendation for a student applying to college detailing
their participation in program activities.
c. Limitations to non-consumable incentives, include, but are not limited to:
i. The cost of the incentives may not exceed $50 in value, per person, per year, and shall not
include merchandise cards that can be used to purchase tobacco or alcohol products. The funded
project is responsible for the possession, security (e.g. will keep under lock and key), and
Bccountability of the merchandise cards. The funded project is responsible for maintaining a log
Bheet to track and identify each merchandise card, its value, the date the card was transferred,
and the recipient of the merchandise card.
ii. The $50 per person, per year limit may not be pooled to exceed the $50 per person, per year limit;
however, awards over the $50 limit may be provided by soliciting donations from the community,
which are not associated with CTCP funding.
iii. Cash awards are not permitted as incentives.
d. The value of the incentive must be commensurate with the degree of behavior change sought. As such,
a significant behavior change, such as quitting tobacco use and remaining tobacco-free for a six-month
period, may merit a large award (e.g. $40). A less significant behavior change, such as attending
individual cessation classes may be rewarded with incentives of more modest value (e.g., $5) per class.
No total can exceed the $50 per person, per year limit.
e. Consumable (Food/Refreshment) incentives are allowable. These items may be purchased and made
available at coalition or advisory committee meetings, or to volunteers who participated in tobacco
control-related events and activities, such as Young Adult Tobacco Purchase Survey or beach litter
clean-ups, specific to the funded project's SOW.
i. Food is an appropriate item that acknowledges appreciation of people's participation in meetings,
events, and activities. Moreover, it is recognized that the provision of food or refreshments is a
cultural expectation in many of the communities that tobacco control projects work with and that
the provision of refreshments at planning meetings with these communities will facilitate the
development of positive relationships.
ii. Limitations to consumable incentives, include, but are not limited to:
1. The value of the incentive should be reasonable and budgeted overall at no more than $50
per person, per year. For example: yogurt, muffins, coffee, and juice for a morning event;
sandwiches, fruit, and bottled water for lunch events; or pizza, fruit, and bottled water for
evening events.
2. The $50 per person, per year limit may not be pooled to exceed the $50 per person, per
year limit; however, awards over the $50 limit may be provided by soliciting donations from
the community, which are not associated with CTCP funding.
3. Cash awards are not permitted as incentives.
iii. Food incentives may be awarded in addition to the other non-consumable incentives that may be
awarded for reinforcing a positive behavior change or for recognizing and reinforcing community
participation in tobacco control activities.
iv. This incentive policy does not permit the purchase of meals for staff of CTCP-funded projects, nor
local health department employees. These individuals are subject to the rules and policies for
meal and per diem reimbursement required by the CTCP contract language or their agency's
personnel policies.
f. Recommendations on Utilizing Incentives:
i. It is best to provide a series of small incentives for the initiation of intermediate changes, which
could be for the reduction of smoking and given on the selected quit date. Incentives of more
significance should be awarded affer the intervention is concluded, and in the case of cessation,
when the behavior change can be documented (e.g., smoke-free one month after the conclusion
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of the cessation program).
ii. Incentives may be used to motivate or reinforce institutional change (e.g., plaques given to
businesses or worksites that support non-smoking policies, certificates to businesses that reduce
the amount of tobacco advertising in their stores, signage to help educate the public about the
policy).
iii. It is important to reinforce the behavior change or maintenance of positive behavior by clearly
stating how the person earned the incentives when it is given.
iv. Consider leveraging incentives by reinforcing other healthy behaviors (e.g., a pass to a
recreational activity, healthy food options, or cultural event), reinforcement of other tobacco
education efforts in the community (e.g., a gift card to a store that has stopped selling tobacco
products), or providing healthy consumable incentives (e.g. fruit trays, vegetable platters,
non-sugar sweetened beverages).
v. The value that the target population places on the incentives item should be considered. Youth
may be more likely to value iTunes giff cards, amusement park, or movie tickets, while adults
may value coffee shops or restaurant gift cards.
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304 Program Requirements
USE OF CTCP FUNDS FOR TOBACCO CESSATION
The following are requirements for the provision of tobacco cessation interventions which are to be utilized by the
California Tobacco Control Program (CTCP) funded projects to design and implement tobacco cessation strategies.
'l. CTCP funded projects may:
a. Administer tobacco cessation programs utilizing self-help, group, community, web-based, and media
strategies;
b. Train health care professionals or others to provide tobacco cessation services and/or to adopt and
implement tobacco use assessment and cessation counseling policies;
c. Work with and provide technical assistance to voluntary health organizations to ensure that priority
populations, such as ethnic/racial populations, individuals who identify as Lesbian, Gay, Bisexual,
Transgender, Queer (LGBTQ), people experiencing low socioeconomic statuses, people belonging to
labor populations, and smokeless tobacco users are served by the cessation efforts of those voluntary
health organizations;
d. Conduct efforts to motivate tobacco users to quit using tobacco products;
e. Conduct efforts to educate and inform tobacco users about the cessation benefit available to them
through either publicly-funded (e.g., Medi-Cal or Medicare) or privately-funded (e.g., employment-based
or individual insurance programs).
2. Local Lead Agency (LLA) tobacco control projects may use no more than 10 percent of their cumulative budget
for the provision of direct cessation services. Competitive grant funded tobacco control projects are limited to
the portion of their budget that may be applied to the delivery of direct cessation services through the
procurement under which the project was funded.
3. Tobacco cessation methodologies are to incorporate the following:
a. Elements focusing on the health and social consequences of tobacco use;
b. Strategies and exercises aimed at quitting;
c. Relapse prevention;
d. Evaluation of quit status at three months, six months, and one year, and an annual determination of the
cost effectiveness of cessation activities.
4. Tobacco cessation methodologies MAY also incorporate pharmacological interventions (when used as an
adjunct to an educational intervention meeting the tobacco cessation criteria described above) however, CTCP
funds MAY NOT be used to purchase or reimburse the cost of medications.
5. Funds MAY NOT be used to fund health care professionals or lay professionals to provide individual tobacco
cessation counseling or tobacco use prevention counseling, unless expressly permitted in the procurement
under which the project was funded.
6. Funds MAY NOT be used to develop or administer intensive telephone or texting tobacco cessation counseling
without explicit written authorization from California Tobacco Control Program (CTCP) in order to avoid
duplication of services with the California Smokers' Helpline (Helpline).
7. Tobacco cessation methodologies MAY NOT incorporate:
a. Hypnosis techniques;
b. Acupuncture;
c. Aversion therapy.
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305 Program Requirements
SUBCONTRACT AGREEMENT REQUIREMENTS
Subcontracts are allowable when the prime agency funded by the California Tobacco Control Program (CTCP) requires a level of
service or expertise that extends beyond what is available within the funded agency. The following definitions, requirements, and
guidance are applicable when using CTCP funds for subcontracts. The requirements described below apply to different types of
agreements between CTCP and its funded projects [e.g., Local Lead Agency (LLA) Allocation Agreements, grants, contracts, antl
Interagency Agreements with state universities and colleges'. Subcontracting requirements vary based upon the type of agreement
used to fund the prime agency. The variations are described below.
Definitions
1. Subcontract Agreement: A subcontract agreement is between the prime agency funded by CTCP (e.g., LLA, grantee,
contractor, university) and a third party (e.g., subcontractor or consultant) to perform a component of the Scope of Work
(SOW) approved by CTCP. Subcontracts are to be awarded via a competitive bid process and must contain a detailed SOW
that clearly identifies the services/activities to be performed and a detailed budget/budget justification.
2. Subcontractor: The term subcontract refers to an individual or agency qualified to:
a, Complete specialized component(s) or task(s) directly related to the SOW.
b. Perform a service or activity on a limited term basis.
3. Consultant Agreement: A consultant agreement is a type of subcontract agreement awarded to an individual or agency
qualified to:
a. Provide a service or expertise that is advisory in nature (a product of the mind) versus the completion of a
mechanical or physical task.
b. Offer services such as: conduct a workshop or seminar provide an answer to a specific question; and/or advise on
programmatic issues (e.g., evaluation; program design and development; group facilitation; and in-service training).
4. Community Engagement Agreement: A community engagement agreement is one in which the award is less than $5,000
and the funds are used to facilitate community engagement to support completion of activities described in the SOW.
Community engagement activities may include providing funds to an agency to participate in data collection, educational
outreach, advocacy activities, and trainings.
5. Competitive Bid Process: A competitive bid prohibits the drafting of a competitive bid document (e.g., Invitation for Bid or
Request for Proposal) in a manner that limits bidding directly or indirectly to any single bidder and it seeks to obtain at least
three competitive bids.
Requirements
'1, Duplication of Services: A prime agency, funded by CTCP (e.g. LLA or Competitive Grantee), may enter into a
subcontract with another agency funded by CTCP when the services provided by the subcontractor do B51 overlap or
supplant the funding for similar services provided by the other agency under their original CTCP-funded agreement.
2. Competitive Bid Process Requirements: When the amount of the subcontract agreement is $5,000 or more, the prime
agency must submit their competitive bid process to CTCP for approval before making an award. When the prime agency is
a LLA, the following applies:
a. CTCP does not review and approve the competitive bid process or agreement, regardless of the amount, when the
LLA follows its City or County competitive bid process, policies, and procedures for awarding a subcontract or
community engagement agreement.
b. CTCP reserves the right to review any subcontracts or community engagement agreements, as well as the
competitive process, at any time.
c. When the LLA subcontracts 60 percent or more of their award to another entity, CTCP must approve a detailed
line-item budget, in the Online Tobacco Information System (OTIS), for the subcontractor.
3. Documentation: Once CTCP approves the competitive bid process Bi the subcontractor selection for agreements $5,000
or more, the prime agency is responsible for submitting a "Subcontract Agreement Transmittal Form" through OTIS for each
subcontract agreement. The prime agency must also retain a copy of the competitive bid process and subcontract
agreementthatincludesadetailedSOWandBudget/BudgetJustification.Thisrequirementdoes BglapplytoLLAswhen
their City or County competitive bid process is applied.
Interaqency Aqreements with State Llniversities and Colleqes
Subcontracts within an Interagency Agreement are subject to restrictions on subcontracting. In general, a subcontract within an
Interagency Agreement may not exceed 25 percent of the total budget of the prime agreement or $50,000 whichever is less.
Guidance For Hirinq Evaluation Subcontractors
Subcontracting for Local Program Evaluator services is a common type of subcontract agreement that CTCP-funded agencies use.
The solicitation, under which an agency applies for CTCP funding, typically provides guidance about the evaluation activities to be
performed and the minimum qualifications of the Local Program Evaluator who oversees and guides implementation of the
evaluation activities.
The number and complexity of the evaluation activities in the approved SOW will determine both the expertise needed to perform
the tasks and the amount of time required to complete tasks. The evaluation subcontract may be with an individual or an agency.
For an evaluation consultant the justification is to include the Local Program Evaluator's hourly rate, number of hours of work to be
performed, and a description of the services to be performed. For evaluation services that are with an agency, the description may
include a multi-category budget (e.g., salary, fringe benefits, travel, and indirect expenses), the complexity level of the approved
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evaluation components will determine both the expertise needed to perform the tasks and the amount of time required to complete
the tasks.
1. Evaluator Qualifications: Minimum education and experience levels required for the project's evaluator are listed below.
Evaluators must certify they meet these qualifications when setting up their directory profile at the CTCP Tobacco Control
Fundinq Opportunities and Resources (TCFOR) website, under the Local Program Evaluator Directory, which also identifies
the complete list of required minimum education and experience levels. Minimum education and experience requirements
for an evaluator include:
a. Completion of at least one course in study design or at least one year of experience in determining the study design
for an evaluation;
b. Have intermediate or higher proficiency in calculating sample size, developing a sampling scheme, and determining
appropriate data collection methods;
c. Completion of one course in program evaluation or one year of planning and implementing a program evaluation;
d. Have intermediate or higher proficiency in evaluating behavior change, policy, or media intervention;
e. Completion of at least two intermediate courses in statistics;
f. Have intermediate or higher expertise in using statistical software packages to analyze and interpret quantitative data.
2. Typical Evaluation Activities: The approved evaluation components of the plan will dictate the funding level and time to
determine overall costs. The goal is to find an evaluator with Skillsets comparable to the approved evaluation components.
The components completed by the evaluator will determine the funding amount and hours. Typical evaluation activities
include:
a. Brief Evaluation Reports
b. Data Analysis Reports
c. Education/Participant Surveys
d. Final Evaluation Reports
e. Focus Groups
f. Key Informant Interviews
g. Media Activity Records
h. Observation Surveys
i. Public Opinion Polls/Intercept Surveys
j. Policy Record Reviews
k. Youth Tobacco Purchase Survey
I. Other Evaluation Activities as Needed
3. Estimating Appropriate Evaluation Budgets: The State of California has classifications, comparable titles, and salaries
for positions responsible for evaluation work. State classifications and salaries vary but provide examples of salary levels for
knowledge, skills, and abilities needed for minimum to maximum evaluation components. More information about these
classification qualifications are located on the CalHR website.
Comparable Evaluator Salaries for the State of California
Comparable Monthly Salary
(based on 40-hour work weeks)
$5,255.00 - $6,728.00
$5,772.00 - $7,441.00
$6,341 .00 - $7,937.00
$7,387.00 - $9,206.00
$8,728.00 - $10,872.00
$10,249.00 - $11 ,637.00
$5,488.00 - $6,820.00
$6,028.00 - $7,491.00
$6,582.00 - $8,239.00
$7,568.00 - $9,47 4.00
$3,377.00 - $5,387.00
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IResearch Analyst II IResearch Analyst II -S,oY:.oo - ss,go.oo
To assist projects with budgeting for their evaluation plan, the table below lists average hours needed to help projects estimate their
evaluation costs based on common evaluation activities, at the quantity of sample sizes (n=) listed. This chart is intended to help
projects consider their evaluation scope of work and corresponding budget needs it is not meant to substitute for negotiation with
a project's evaluation subcontractor or consultant. These numbers are averages, and projects may need lower or exceed the hours
listed, due to a number of factors, including, but not limited to:
a. Evaluator experience
b. Need for data collector training and number of collectors to train
c. Need for pre- and/or post-evaluation data
d. Number of jurisdictions worked in per objective
e. Number of waves for data collection needed per activity
f. Required travel for evaluator, if not built into hourly cost
g. Sample size for evaluation activity
h. Whether objective requires process and/or outcome evaluation
i. Use of pre-developed and pre-tested instruments
Note: Please refer to Section 1, Administrative Section of the Competitive Grantees Administrative and Policy Manual, Chapter 600,
Subcontract and Community Engagement Agreements Requirements for additional instructions.
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l'-'-'-' -'-'-'-'-'-
y._-_,,_,,___,_,_,,_,,__,,,_,___,,,,__,_,,_
Activity
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-4
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Education/Participant Survey
n=25
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n=6-1 0 (adults)
n=5-7 (youth)
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n=50 2J3- ---"-'----l['_-'_"ra_fp_8l6'3T6___-'l':-Ol:-00""" -"-"- l f:-5720 a----'--
Brief Evaluation Report
(For Non-Primary Objectives)lf:7.77-17t_"771-----"-'-'l
i'l-i-10--30 '---"'--
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I (Policy Record Review or
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' Evaluation Plan Development
(including negotiations and
revisions)
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New Evaluation Plan Review &
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Evaluation Plan Monitoring,
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Regular meetings with Project
Director/ Internal Evaluation
Project Manager
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___________ I
- I
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-4 hours per
2-48 hours per
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306 Program Requirements
YOUNG ADULT TOBACCO PURCHASE SURVEY REQUIREMENTS
The following requirements shall be followed by agencies when conducting young adult tobacco purchase surveys:
l Agencies may use either consummated buys or attempted buys for conducting young adult tobacco purchase
surveys. A list of the pros and cons of each of these formats can be found immediately following this policy.
2. You do not need to obtain letters of immunity. Due to changes in Penal Code 308, underage individuals are no
longer penalized for possession. Therefore, you do not need to obtain immunity from prosecution for
underage participants. As a courtesy and for safety purposes you still may need to get support from and
coordinate with local law enforcement.
3. Agencies should notify one another and coordinate underage tobacco purchase surveys conducted in the
region with Local Lead Agencies and other competitive grantees as appropriate to avoid confusing the local law
enforcement agencies and the media.
4. Underage individuals participating in the purchase surveys should preferably be between 18 and 20 years of
age and include an approximate equal gender representation. Efforts must be made to ensure appropriate
ethnic representation to match the communities being surveyed.
5. Decoys must receive a minimum of one hour of training on the survey protocol.
6. Safety of all the participants must always be placed first and appropriate safety measures followed at all times.
7. Informed consent and a liability waiver must be obtained from all adult and underage survey participants prior to
their participation in any survey activities. Documentation of valid California driver license is required of all adult
drivers.
8. Agencies are required to use California Tobacco Control Program (CTCP) protocols and procedures for
conducting young adult tobacco purchase surveys including the young adult purchase survey instrument, forms,
and data collection procedures (for consummated or attempted purchase surveys).
9. The agency shall develop a random sample of retailers (to include grocery stores, gas/convenience stores,
liquor stores, convenience stores, drug stores/pharmacies, gas stations only, restaurants, and others) for the
self-selected geographic area to be surveyed. CTCP may be contacted for assistance in generating random
lists, and for sample size. Stores may be contacted prior to the survey to confirm their correct address, and that
the store sells tobacco; however, precautions must be taken not to alert the store of an upcoming purchase
survey.
10. Results of the purchase survey should be disseminated to policy-makers, including local elected officials and
community leaders, through media channels (press conferences, news releases, press kits), and other
appropriate mechanisms to generate support for action to decrease underage access to tobacco. Results
should be posted on Partners.
11. A report of the results is to be sent to CTCP and is to include, at a minimum, purchase protocol, survey
instrument, survey methodology, buy rate for each area surveyed, and barriers/facilitating factors in conducting
the survey.
12. Stores surveyed may be contacted following the purchase survey to provide feedback (letters of congratulations
or disappointment). Educational activities directed to merchants who illegally sold tobacco to underage following
a purchase survey include: distribution of merchant education materials, in-store visits, and merchant education
training.
There are two ways of doing tobacco purchase surveys: consummated versus attempted. Consummated buys
provide evidence of a sale and are more accurate. Additionally, tobacco products can be used in press conferences,
and it more closely duplicates the real situation. Attempted buys are typically well received by media because an
underage buyer stopped the buy. Also, money does not have to be spent on tobacco products; money does not need
to be tracked during the "buys." The risk with an attempted buy is that it may tip retailers off, and there is no hard
evidence that the buy took place. Both approaches have their pros and cons. Please be sure to weigh your options
before deciding which is best for your community.
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307 Program Requirements
USE OF PROPOSITION 99 AND 56 FUNDS FOR ENFORCEMENT
ACTMTIES
The following are requirements and restrictions when utilizing California Tobacco Control Program (CTCP) funds for
enforcement activities:
1. CTCP funds may not be used to conduct law enforcement activities. They can only be used for purposes
specified in the statute. Law enforcement is not within the scope of any of the specified purposes as detailed
below.
2. California Revenue and Taxation Code Section 30122 authorizes use of CTCP funds as follows:
a. The Cigarette and Tobacco Products Surtax Fund is hereby created in the State Treasury. The fund shall
consist of all revenues deposited therein pursuant to this article. Moneys in the fund may only be
appropriated for the following purposes:
i. Tobacco-related school and community health education programs
ii. Tobacco-related disease research
iii. Medical and hospital care and treatment of patients who cannot afford to pay for those services,
and for whom payment will not be made through any private coverage or by any program funded
in whole or in part by the Federal government
iv. Programs for fire prevention, environmental conservation; protection, restoration, enhancement,
and maintenance of fish, waterfowl, and wildlife habitat areas; and enhancement of state and local
park and recreational purposes
b. The funds consist of six separate accounts as follows:
i. The Unallocated Account, which shall be available for appropriation for any purpose specified in
subdivision (a)
3. California Revenue and Taxation Code Section 30al30.55 (b) (1) additionally authorizes use of CTCP funds as
follows:
a. Proposition 56 funds may be used for implementation, evaluation, and dissemination of evidence-based
hea!th promotion and health communication activities in order to monitor, evaluate, and reduce tobacco
and nicotine use, tobacco-related disease rates, and tobacco-related health disparities, and develop a
stronger evidence base of effective prevention programming with not less than 15 percent of health
promotion, health communication activities, and evaluation and tobacco use surveillance funds being
awarded to accelerate and monitor the rate of decline in tobacco-related disparities with the goal of
eliminating tobacco-related disparities.
4. Law enforcement activities which MAY NOT be funded include, but are not limited to:
a. Inspections or stings conducted for the purpose of determining compliance with local, State, or Federal
law and issuing a penalty or fine (this should not be construed to mean that Prop 99-funded programs
cannot conduct surveys or evaluation activities to determine compliance with tobacco-related laws)
b. Legal fees
c. Fees associated with due process, court hearings, or administrative hearings
5. CTCP funds MAY be used to:
a. Motivate appropriate agencies to conduct enforcement activities
b. Train enforcement agency staff
c. Educate violators of tobacco-related laws
d. Provide educational warning letters, educational materials, and signs describing tobacco-related laws
e. Train business owners and employees
f. Generate or demonstrate public support for enforcement of tobacco-related laws
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308 Program Requirements
COMMUNICATIONS SYSTEM REQulREMENTS
California Tobacco Control Program (CTCP) funded agencies are responsible for coordinating information, referral, and
outreach efforts. The following guidance is to be utilized by CTCP projects to meet these minimum communication
requirements. Programs are to:
1. Utilize the website, a statewide password-protected electronic communication system used by
CTCP-funded agencies to share information and resources related to day-to-day tobacco use reduction and
prevention efforts.
2. Agencies are required to subscribe to CTCP's website and at least one staff member is required to log
onto Partners on a weekly basis.
3. Agencies are required to post or respond to questions on the InfoHub forum at least one time per
month.
4. Agencies are required to annually submit a ' Spotlight On article highlighting a major success,
preferably related to a policy, system or environmental change outcome.
5. Agencies are to use the CTCP calendar available through the Online Tobacco Information System (OTIS) to
post major trainings, conferences or events that may be of interest to California's tobacco control community or
that may facilitate efforts to coordinate events statewide.
6. Agencies are to use the electronic project directory available through OTIS for purposes of coordination,
collaboration, and to avoid duplication of effort when planning, implementing, and evaluating tobacco control
projects.
7. Agencies are required to submit the educational materials they develop and the results from evaluating those
materials to the Tobacco Education Clearinqhouse of California (TECC) using the Materials Submission page
on the TECC website. Educational materials will be reviewed by TECC and its Materials Advisory Team for
consideration for possible statewide dissemination.
8. Agencies providing direct cessation services are to provide information to the California Smokers' Helpline
(Helpline) about the type, availability of the services, and enrollment information on an annual basis. This
information will be shared with Helpline callers who prefer to participate in local cessation services.
9. Agencies are to widely publicize and promote the California Smokers' Helpline to the public, health care
providers, worksites, schools, and others.
10. Agencies are to include the Helpline telephone number or texting information, as appropriate, on educational
and media materials. Contact the Helpline prior to any mass media promotion utilizing the Helpline telephone
number so that the Helpline can plan ahead for an increase in calls resulting from promotional efforts.
11. Agencies are encouraged to incorporate hyperlinks to the TobaccoFreeCA website on their project's website,
and include TobaccoFreeCA in local advertisements, flyers, banners, and other print materials.
12. Local Lead Agencies (LLA) should develop an electronic resource directory of tobacco education and control
resources within the local health jurisdiction and provide this information to the public on the agency's webpage.
Agencies should send annual updates regarding these local resources to the Helpline and to TobaccoFreeCA
for inclusion of the LLA's local resources on these sites.
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TRAINING AND TECHNICAL ASSIST ANCE REQUIREMENTS
California Tobacco Control Program (CTCP) funded projects and their subcontractors should utilize the following
training and technical assistance (TAT) requirements as appropriate to their scope of work:
"I. CTCP funded projects may provide TAT on a variety of topics including, but not limited to: adoption and
implementation of policies to reduce exposure to secondhand and thirdhand smoke, limiting youth access to
tobacco, reducing youth exposure to tobacco advertising and promotions, spokesperson and leadership
development, grant writing, program planning, evaluation, developing the capacity to manage tobacco control
programs, data collection, legal education, community and grassroots organizing.
2. A key goal of TAT should be to build the capacity of the agency, organization, individual, or institution to plan,
implement, and evaluate tobacco use prevention and reduction activities.
3. TAT activities and services provided by local and regional projects, as well as priority population coordinating
centers, may not duplicate those provided by CTCP-funded statewide TAT providers.
4. Local Lead Agencies (LLAs) are responsible for providing TAT to agencies, organizations, businesses,
worksites, cities, law enforcement agencies, retail groups, and others involved or interested in tobacco use
prevention and reduction activities. LLAs may also be called upon to assist CTCP-funded grantees with both
programmatic and administrative concerns.
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USE OF PAID, EARNED, AND SOCIAL MEDIA
The following requirements apply to using California Tobacco Control Program (CTCP) funds for media interventions.
1. Media Interventions to Support Project Objectives
a. Media plays a key role in project interventions, such as policy adoption,implementation, education, and
community engagement. Media strategies include earned media (e.g., public relations activities to
generate news coverage), social media, and paid advertising, including paid media sponsorships.
Agencies should align media interventions to support the objectives their scopes of work (SOW).
b. All agencies are expected to coordinate their media interventions with other funded projects and coalition
partners in their geographic area or community of interest to ensure nonduplication of efforts, inundation
of similar messaging, and synergy in the media market(s) they work within.
2. Communications Planninq Tool for Media
a. A Communications Plan is a tool that is used in conjunction with a SOW, which contains paid advertising,
earned media, and/or social media activities. The Communications Plan ensures that media efforts are
planned strategically, in coordination with other funded projects in the media market(s) and the state
media campaign to avoid saturation of advertising or mixed messages.
b. The definitions for types of media that can be included in SOWs include:
i. Paid Advertising (including paid media and sponsorship) is any kind of advertising that a funded
project pays to run or air on a medium, including T\//video, radio, out-of-home (e.g., billboards,
bus shelters/transit, cinema, etc.), print or digital advertisements. Advertising may be purchased
directly from media outlets (e.g., cable company) or through media planners or buyers who
typically plan and negotiate from multiple media vendors to achieve key metrics to reach the
target population(s) (e.g., targeted rating points, impressions, or chick-through-rates).
ii. Earned Media refers to publicity through promotional efforts other than advertising. Earned media
is also referred to as media relations, word-of-mouth, public relations, or publicity. This media
type includes unpaid brand mentions or recognition (e.g. news article or news segment, published
interview, or online review by a third-party).
iii. Social Media refers to websites and applications that enable users to create and share content or
to participate in social networking online. Common social media platforms include, but are not
limited to Facebook, Twitter, Instagram, YouTube, Periscope, Snapchat, Pinterest, and Linkedln.
Social media can have both paid advertising (e.g. boosting or promoted) and unpaid advertising
(e.g. word-of-mouth, shared, or viral) components.
c. Communications Plan requirements vary by CTCP funding opportunity (e.g., Loca( Lead Agency
Guidelines or Request For Application). Please refer to the funding opportunity for your project
requirements and deadlines.
d. The Communications Plan template and instructions are available on the Media & Communications
of the Partners website. Technical assistance to review and complete the Communications Plan
is available from CTCP's Media Unit by filling out the Media Materials and Technical Assistance Request
Form.
3. Usinq Paid Advertisinq Sponsorships to Support Project Objectives
a. Acceptable paid advertising sponsorships is to be used to promote a pro-health/anti-tobacco message,
and event policies should be consistent with tobacco control program goals and objectives (e.g., the
project should not sponsor an event where smoking is allowed). Paid advertising sponsorships may
include (but are not limited to):
i. Paid advertisement sponsorship through T\/, radio, print, digital, or social media placement for an
outdoor event (e.g. health fair, street fair, County Fair or festival), in which the project will be
participating and includes at a minimum the project logo, tagline and/or coalition logo, and
tobacco-free messaging;
ii. Paid advertisement sponsorship/promotion for a tobacco-free local film festival or art exhibit with
an anti-tobacco submission category;
iii. Signage or digital displays with tobacco-free messaging at an event, advertising in an event
program or materials, booth space to distribute tobacco educational materials and/or engage the
public;
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iv. Public announcements at and during the event and/or cross-promotions with other sponsors.
b. All paid advertising sponsorships will be reviewed by CTCP through the progress report submission and
may be denied if deemed to be an inappropriate use of state taxpayer monies.
4. Media Trackinq and Evaluation
a. To help evaluate the effectiveness of media, all earned media related to the funded project's SOW and
tobacco issues at-large within the project's territory must be tracked on a Media Activity Record form.
The completed form is to be submitted as a tracking measure with the progress report. A Media Activity
Record template is available from the Tobacco Control Evaluation Center (TCEC) website. For
assistance with this tool, contact TCEC.
b. All paid advertising must be tracked on a Media Tracking Form, and submitted as an tracking measure
for the Media Activity Record evaluation activity (an activity required for all objectives with paid media
activities) to track and measure placement, reach, and coverage of the advertising p!aced, and is to be
submitted as part of the progress report when activity has occurred in the reporting period. The
Trackinq Form template is available in the Media & Communications Section on the Partners website.
For assistance with this tool, contact the CTCP Media Unit.
c. Social media site(s) (e.g., Facebook, Instagram; program or coalition-based) supported by a paid media
budget should be tracked and analyzed via the tools available within the socia! media site(s) as to the
reach, views, engagement, likes/follows, etc., and should be submitted as part of the progress report
when activity has occurred in the reporting period. Creating an "other" evaluation activity that assesses
your social media site's analytics will assist in measuring the effectiveness and potential uses for future
media efforts, and is highly recommended. For assistance with developing a social media
analytics/insights summary report, contact TCEC.
d. Other communications activities or tactics (e.g. websites, electronic newsletters, mass listserv e-mails,
etc.) should be measured by tracking access, delivery, opens, clicks, reach, engagement, etc. Summary
reports should assess differences between multiple communications and/or explore themes in
readability and interest amongst the audience with access to the communications activities over time, to
help projects adjust their work to meet the needs of the project and the audience. For assistance with
developing summary report for other communications activities, contact TCEC.
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LOBBYING AND POLITICAL ACTMTIES POLICY
The California Tobacco Control Program (CTCP) engages in and funds policy activities which are legitimate tools of
health education, health promotion, and public health. It is CTCP policy that CTCP funds (including funds from
Proposition 99 and Proposition 56) may not be used to support lobbying and political activities.
Lobbying and political activities are defined as any attempt to promote or influence support or opposition on a specific
piece of legislation, local ordinance, ballot measure, or to promote any candidate for an elective public office through
any oral, written, or other form of communication. This includes direct communication with legislators, their staff, or
government employees that participate in the formulation of legislation or encouraging the general public to contact
these individuals to influence policy of any type. Other examples of lobbying include making a donation to a political
action committee, developing and placing advertising that references ballot measures and/or legislation and either
taking a position regarding them or urging the public to take a position, writing and publishing an op-ed calling for
elected officials to support or oppose a piece of legislation, submitting copies of legislative amendment or ballot
measure as an action alert, or posting a call to action supporting or opposing a piece of legislation on an organization's
social media page.
Educating legislators, their staff, government employees, or the general public about a tobacco control program or
about tobacco-related issues is NOT considered lobbying. However, expressing an opinion on a specific piece of
legislation is considered lobbying and is not permitted.
These regulations apply to all employees of an project funded by Proposition 99 and Proposition 56 as well as tobacco
control coalition members representing a tobacco control coalition. An individual may participate in personal lobbying
activities during lunch or outside of work hours on personal time and property. Voluntary organizations such as the
American Cancer Society or the American Lung Association can approach an elected official to seek the initiation or
formulation of legislation under their organizational authority.
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COLLABORATING WITH SCHOOL DISTRICTS AND SCHOOLS
The California Tobacco Control Program (CTCP) and the California Department of Education's (CDE) Tobacco-Use
Prevention Education (TUPE) program both receive funding from tobacco tax initiatives to provide tobacco-focused
health interventions and behavior change programs. Enabling legislation for Propositions 99 and 56 stipulates:
1. CTCP programs to provide interventions at the state level, in the community, and in other non-school settings.
2. TUPE programs to provide youth-focused, school-based interventions.
Many school districts and schools receive TUPE funding to provide tobacco prevention education in the classroom, but
all County Offices of Education (COE) receive TUPE County Technical Assistance and Leadership Funding
(CTALF). CTALF funds are provided to California counties to plan, develop, and implement capacity building, technical
assistance and training, evaluation, program improvement services, and coordination activities for TLIPE activities on
behalf of local school districts and schools.
CTCP local programs, COEs, and TUPE programs are to coordinate efforts in the delivery of programs targeting youth
13-18 years of age in the school setting, as well as youth and young adults in community, non-school settings, to
create a comprehensive approach to tobacco prevention efforts. The following requirements apply to the use of CTCP
funds in K-12 schools:
1. CTCP funds cannot be used to develop or to provide in-classroom education in public K-12 schools. "Charter
schools" are public schools.
2. In K-12 private schools, CTCP funds cannot be used to directly benefit the school or assume the school's
responsibility to provide tobacco control education.
3. CTCP funded projects may subcontract with existing TUPE funded school districts or schools to support
policy-related SOW objectives or provide for extra-curricular activities related to tobacco control for which CDE
funding is not available (see specific examples of acceptable efforts in detail below).
As appropriate to the funded project's scope of work (SOW), utilize the following guidance to enhance partnerships and
build complementary workplans with CDE funded projects:
1. Develop a communication system and partnership with the local COE, and to the degree possible, with school
districts.
2. Designate a staff member to serve as a liaison to the COE TLIPE Program Coordinator. It is recommended that
CTCP funded projects work closely with the COE to ensure effective coordination of local school and
non-school tobacco prevention and reduction efforts.
3. Collaborate with COE's on the following types of tobacco control activities, during non-school hours (during
lunchtime or after school), as they pertain to and support the SOW:
a. Coordination/Collaboration Activities
i. Invite the COE and/or TUPE Program Coordinator to participate in the local tobacco control
community-based community coalition/advisory committee
ii. Participate in the COE/T UPE program's grant advisory committee
iii. Engage the COE and/or TUPE Program in the Local Lead Agency (LLA) Communities of
Excellence (CX) Needs Assessment and participate in Local Educational Agency (LEA) Needs
Assessment
iv. Review and recommend improvements to proposed county school districts plans for tobacco
prevention and reduction for Wellness Plans. Prepare a letter for the local COE recommending
changes based upon the review
v. Promote adoption of science-based tobacco use prevention curricula by submitting comments to
CDE during the Health Education Curriculum Framework revision period.
b. Training/Technical Assistance Activities
i. Provide technical assistance to COEs and school districts via phone calls, email, or through
workgroup participation on relevant tobacco prevention and reduction topics
ii. Coordinate surveillance activities on youth tobacco use, youth access to tobacco, and tobacco
advertising and promotional cues in the community targeting youth
iii. Offer training, consultation, support, and continuing education with local school policymakers to
help create a tobacco-free school environments
iv. Promote the use of the California Smokers' Helpline (Helpline) services in schools for
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parents, faculty members, and administrators
v. Conduct out-of-classroom and after-school education as it supports and pertain to the SOW and
tobacco prevention, during non-school hours
vi. Jointly conduct a county youth conference on tobacco control topics to support SOW objectives
vii. Provide training on speaking to policymakers and recruit youth to participate in a speakers' bureau
viii. In partnership with the COE and/or TUPE Program Coordinator, provide a collaborative training
for teachers, parents, and youth serving community based organizations on tobacco control
topics, during non-classroom hours
ix. Encourage youth development and empowerment by sending students to attend state and local
advocacy networking opportunities (e.g., YouthQuest).
c. Paid Media Activities
i. Purchase advertising space in high school yearbooks or newspapers, as appropriate to the SOW
and target audience
ii. Provide paid advertisement of the local COE{T UPE program's film festival, art exhibit, or speech
contests in line with CTCP's "experientia! media" policies for an anti-tobacco submission category
iii. Purchase advertising space on school scoreboards or in school sporting event calendars.
d. Earned Media Activities
i. Coordinate a special edition of the school newspaper covering tobacco issues and provide
recognition (a.k.a., "Pulitzer prize") for the best story and/or photojournalism editorial
ii. Provide tobacco prevention and reduction content for school newsletters or weekly email
blasts, to promote education and awareness of relevant SOW activities.
e. Community Education Activities
i. Provide educational presentations to school administrators on the need to implement
tobacco-free policies in schools
ii. Provide presentations to parent groups (e.g. Parent/Teachers Associations), School Site
Councils, County Boards of Education, and/or Local Control and Accountability Plan (LCAP)
meetings to provide education to decision makers on relevant SOW tobacco prevention and
reduction activities and to move objectives forward
iii. Provide educational presentations to parents on the dangers of secondhand (SHS) and thirdhand
smoke (THS) exposure in the home
iv. Participate in tabling outreach during school-sponsored health fairs and events to provide
tobacco prevention education and cessation resources (e.g. information on accessing the
Helpline) to students (13-1 8) and faculty
v. Link school community service or service-learning requirements and activities with community
youth tobacco control interventions by coordinating community service events:
1. Recruit students for participation in tobacco-related survey and compliance check activities.
2. Collect and tabulating tobacco product-related litter.
vi. Collaborate on youth tobacco advocacy activities (e.g., letter-writing campaigns, newspaper
letters to the editor/opposite the editorial page (op-eds), educational presentations to
policymakers, media activities, etc.
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PARTNERS COMPUTER NETWORK SYSTEM
Partners is an exclusive website for California Tobacco Control Program (CTCP) programs, found at
TCSPartners.orq. The goal of Partners is to provide efficient and timely communication for CTCP to communicate with
its contractors and for projects to share resources and expertise in program development, policy adoption, and
implementation.
In addition, Partners provides a Forum for planning and strategizing across the state, maximizing resources, avoiding
duplication of effort, and enhancing agency capability. The system allows CTCP-funded projects throughout California
to share information, educational materials, program and training resources, and planning strategies. All
CTCP-funded projects are required to participate in the network and log onto the website at least once per
week Technical assistance is provided to assist users with Partners via e-mail at partners.webmaster(a)cdph.ca.qov,
There are many features on the Partners website that projects will benefit from accessing regularly, including the
following:
1. Updates: CTCP Update is a weekly newsletter with news and announcements, published on the first workday
of each week. Past issues of the CTCP Llpdate are also archived on the site. In addition to the Update, the
Spotliqht On section is where the latest and greatest policy achievements around California are shared with
the field and the California Tobacco Matters bloq is where Branch Chief April Roeseler regularly posts entries
on CTCP's vision and provides comments on funded-projects activities and achievements in the field.
2. Resources: Policy manuals, guidelines, tools for contractors, media and communications materials, statewide
project information and more are made available in the Resources sections for projects to access as needed.
The Policy Evaluation Trackinq System (PETS) is a linked and searchable system under this menu and
provides a longitudinal policy surveillance database of tobacco control policies in local jurisdictions throughout
California.
3. Focus Areas: New or experienced projects can find pages devoted to resources, trainings, and information on
common policies and campaigns in the Focus Area section. The Focus Area includes information on the
Healthy Stores for a Healthy Community (HSHC) campaign, health equity topics, secondhand smoke, tobacco
cessation, environmental tobacco waste, smoke-free housing, electronic smoking devices (ESD), and
marijuana secondhand smoke.
4. Training: An archive of digital and in-person trainings conducted by CTCP, including webinars, presentations at
conferences, and other trainings can be found in the Training section of Partners.
5. Member Directory: Member Directory is a resource for agencies to find and connect with colleagues
throughout California who can share input, experiences,and feedback.
Subscription (Membership) Requirements
Partners is a password-protected website. Only staff from projects funded by the CDPH CTCP and related
subcontractors are eligible to create applications for new Partners memberships. There is no cost to the project for
enrollment in the Partners network, and any number of users per project may be enrolled.
Only Project Directors can request new user accounts. To request a new user account in Partners:
L Go to the Partners Account Request Form.
2. Enter the Project Director's Security PIN, a four (4) digit number. If the user does not currently have a Project
Director Security PIN, they can create a four (4) number pin code in the requested field.
3. Click "Agree and Submit" to be taken to the "Partners Account Request Form" page to request a new account
for the new staff member.
4. Enter the requested information in the Registrant Entry Form.
5. Accept the Terms and Conditions.
6. Click "Submit".
Users are assigned a unique username and password and notified by e-mail once they are approved for an account.
Usernames and passwords are specific to the individual and must not be transferred, reassigned, or shared.
Closing a Partners Account:
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When staff leave their CTCP-funded projects, it is the responsibility of the project to inform CTCP so that the account
may be closed. Project Directors are to request removal of old user accounts by sending an email with the user
name(s) to be removed to Partners.webmaster@cdph.ca.qov.
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PC 308(a) OPERATIONS GUIDELINES
The following minimum standards shall apply to all decoys working with members of designated agencies engaged in
undercover activities pertaining to California Penal Code (PC) 308(a) enforcement. For further information on
conducting PC 308(a) operations, consult the Healthy Stores for a Healthy Community Campaign Web page on
Partners.
1. All decoys shall be less than 21 years of age at the time of any undercover decoy operation. The decoy shall
display an appearance consistent with their age (less than 21 years of age) and environment.
2. A photograph or video recording will be taken immediately prior to or at the time of the operation for the purpose
of recalling the decoys appearance at this time. The photograph and/or video recording will be retained by the
agency supervising the decoy operation.
3. A decoy shall carry his or her own identification showing their correct date of birth or not carry any identification.
A decoy who carries identification shall present it upon request to any seller of tobacco products.
4. Enforcement agencies require decoys to respond truthfully to the seller if verbally asked their age.
5. A decoy shall be supervised by a regularly employed adult peace officer or other authorized statutory adult
authority at all times during the operation.
6. The designated agency may use recording equipment, including video, audio, photographic, and other
audio/visual recording equipment, to record and document an operation.
7. Upon completion of the decoy operation, the designated agency may notify the owner or owner's agent of the
operations results.
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NON-ACCEPT ANCE OF TOBACCO COMPANY FUNDS
In order to receive funds from the California Tobacco Control Program (CTCP), contractors must comply with the
following:
1. Universities/Colleges:
The Principal Investigator, or any investigator associated with the contract, cannot receive funding from or
have an affiliation or contractual relationship with a tobacco company, any of its subsidiaries or parent
company within the last five years prior to the start date of the contract period. In addition, the Principal
Investigator or any investigator associated with the contract will not accept funding from or have an affiliation
or contractual relationship with a tobacco company, any of its subsidiaries or parent company during the term
of the contract with CTCP (see attached partial list of tobacco company subsidiaries).
1. All Other CTCP Contractors
The contractor will not accept funding from, or have an affiliation or contractual relationship with, a tobacco
company, any of its subsidiaries, or parent company during the term of the contract with CTCP (see attached
partial list of tobacco company subsidiaries). Since subcontractors are held to the same standards as the
prime contractor, they are also subject to these requirements.
Contractors are required to sign and submit the "Certification of Non-Acceptance of Tobacco Funds" form as part of the
Request for Application process. The certifications are on file at CTCP (see attached sample of the certification form).
Violation of this CTCP policy during the term of the contract may result in termination of the contract.
CERTIFICATION OFNON-ACCEPTANCE OF TOBACCO FUNDS
Company/Organization Name
Please check one of the following:
The Primary Agency named above hereby certifies that it will not accept funding from nor have an affiliation or
contractual relationship with a tobacco company, any of its subsidiaries, or parent company during the term of the
contract with the California Department of Public Health, California Tobacco Control Program. Acceptance of such
funds during the term of the contract is grounds for termination.
University/Colleqes Only
The Principal Investigator, or any investigator associated with the contract, of the university or college named above
hereby certifies that he/she or any of the investigators associated with (either paid, voluntary, or in-kind) this contract
have not received funding from nor had an affiliation or contractual relationship with a tobacco company, any of its
subsidiaries, or parent company within the last five (5) years prior to the start date of the grant period. In addition, the
Principal Investigator, or any investigator associated with the contract, of the university or college named above hereby
certifies that he/she will not accept funding from nor have an affiliation or contractual relationship with a tobacco
company, any of its subsidiaries, or parent company during the term of the contract with the California Department of
Public Health, California Tobacco Control Program. Acceptance of such funds during the term of the contract is
grounds for termination.
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CERTIFICATION
I, the official named below, hereby swear that I am duly authorized legally to bind the contractor or grant recipient to
the above described certification. I am fully aware that this certification, executed on the date below, is made under
penalty of perjury under the laws of the State of California.
Director of Agency or Principal Investigator:
Signature Date Print Name and Title
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ONLINE TOBACCO INFORMATION SYSTEM (OTIS)
The Online Tobacco Information System (OTIS) is a web-based business management portal that incorporates
California Department of Public Health, California Tobacco Control Program (CTCP) business management systems
with information-communication systems. It provides a single uniform inteface for recipients of tobacco control funding
to access contract and grant-related documents and networking-collaboration tools from any computer, 24 hours a day,
7 days a week. As a database, OTIS is searchable, provides access to real-time data, and the ability to aggregate data
for reports.
Overall, OTIS provides an efficient means for CTCP and applicants to manage its contracting processes. These
include the:
1. Submission and approval of Comprehensive Tobacco Control Plans and competitive grant applications;
2. Submission and approval of progress reports;
3. Submission and approval oT fiscal documents;
4. Submission and approval of other contract related documents such as subcontracts; and
5. Serves as an official communication database between CTCP and funded projects.
Communication systems within OTIS include a personal and shared calendar that provides access to national, state,
regional, and local event information; a task management system for personal and project use; a contact directory with
a master list of agency contacts; a searchable project directory that provides access to the scopes of work of all
projects within OTIS; and a Local Program Evaluator Registry that provides contact information and the qualifications
of registered local program evaluators.
Major benefits to using this Web-based business management portal include:
1. Data entry and terminology are standardized and consistent across procurements.
2. The budget justification and other areas requiring calculations are totaled for the applicant by OTIS.
3. Common terminology facilitates the linkage of activities described in the Scope of Work (SOW) to budgeted
expenses (providing Behavior Modification Materials, placing media, educational materials development,
printing, etc.).
4. Agency contact information only has to be submitted once regardless of the number of applications the agency
has funded by CTCP.
5. Other CTCP funded projects' SOWs can be searched in order to identify agencies working with similar target
audiences, interventions, and evaluation activities. This can facilitate networking, marketing trainings,
identification of programming gaps, or collaborating on advertising and educational materials development.
6. Generates usable reports that track who, what, where, and how much funding is going toward particular
programs, and what projects are working on specific interventions or with specific target populations.
7. Integrates any communication and business applications into a single website for improved access to timely
information. System app(ications include statewide calendar, project directory, loca! program evaluator
directory, application/proposal/plan submission, application/proposal/plan approval, progress report submission,
progress report approval, and cost report/invoice submission and approval.
8. Promotes management of local project materials development by Tobacco Education Clearinghouse of
California (TECC).
9. The review and approval of documents submitted by contractors is streamlined (e.g., no more losing paper, and
the ability to track where documents are in the approval process).
10. Logs all communications for increased continuity and accountability.
OTIS Account Requirements
OTIS is a password-protected website for CTCP-funded projects. Users will be issued an individual user identification
and password. These may not be transferred, reassigned, or shared with anyone else. New OTIS accounts can only
be requested by the Project Director through OTIS.
To request a new user account:
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1. Log into OTIS at https://OTIS.catcp.orq
2. From "Welcome" in the upper right top of screen, mouse over your name, and select "My Agency" from the
drop-down.
3 , My Agency page appears. Click "Request a New User" link at top.
4 . Request New Account page appears. Complete new user form, filling in new user information.
5 . For "Access Type Desired" select "Applicant" or "Subcontractor" and in the "Give Account Access To" field,
select your procurement(s) holding down the Ctrl key to select.
6 , In "Reason for Request" Field, enter OTIS/Rover account, or Rover only account, and any additional imormation
specific to the new user.
7 . Click "Save Information" to submit.
Project Directors are also required to notify CTCP immediately about staff changes in order to deactivate an account.
Only Project Directors can request removal of user accounts by sending an email with the list of user names to be
removed to Partners.webmaster@cdph.ca.qov and specify if it is an OTIS/Rover removal or Partners Removal.
Maintaining and updating OTIS user accounts is essential and required in order to facilitate project functionality and
provide optimal customer service. Agency administration and supervisory staff can have access to OTIS without being
listed as the Project Director. This gives agency administration access to OTIS functions and project information, but
does not hold them accountable for important project messages, inquiries, and updates that often require a timely
response. Please use best practices when assigning contact information in OTIS.
1. Project Director: Receives all program and administrative updates from OTIS. This person should be able to
distribute this information to project staff and subcontractors in a timely manner (i.e. 48 hours).
2. Primary Contact: Conduct day-to-day operations within the project. The person listed in this role should differ
from the Project Director.
OTIS Usage Requirements
1. CTCP funded projects, most of which have access to OTIS, are required to submit all application/proposal/plan
documents, progress and fiscal reports via OTIS.
2. Project Directors are responsible for ensuring all staff with OTIS accounts participate in OTIS related trainings,
and has access to user guides, and online training resources.
3. Project Directors are responsible for reporting OTIS errors or access issues to CTCP in a timely manner.
System Requirements
The system requirements for OTIS are the same as the system requirements for Partners; see CTCP Policy Manual
Chapter 300 Policy #13 PARTNERS COMPLITER NETWORK SYSTEM.
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NICOTINE MAINTENANCE AND HARM REDUCTION POLICY
Nicotine maintenance and harm reduction are strategies in which tobacco users will substitute, in place of conventional
combustible cigarettes, the long-term use of another, perceived less dangerous nicotine-delivery product that satisfies
and sustains the user's addiction. The California Tobacco Control Program (CTCP) believes that the nicotine
maintenance and harm reduction strategies undermine public health efforts aimed at reducing the burden of
tobacco-related disease and death.
Products commonly associated with nicotine maintenance and harm reduction strategies include:
1. modified cigarettes and cigarette-like products
2. smokeless tobacco, snus, and dissolvable tobacco products
3. electronic smoking devices (ESDs)
Medications which are approved by the u.s. Food and Drug Administration (FDA) for tobacco cessation, including the
nicotine patch, gum, lozenge, and other such products are not considered nicotine maintenance or harm reduction
strategies by CTCP. These products are considered evidence-based interventions for tobacco cessation, and are not
restricted by this policy.
The promotion of nicotine maintenance and harm reduction implies that continued addiction to nicotine is acceptable.
Legitimizing nicotine maintenance and harm reduction strategies undermines the ability of state and local governments
to implement and sustain evidence-based effective tobacco use prevention and cessation strategies. Furthermore,
there is insufficient evidence that nicotine maintenance or harm reduction strategies produce a sufficient health benefit
at the individual and population levels which would warrant inclusion in tobacco control approaches. As such, CTCP
prohibits its contractors from using its funds to promote or sanction the nicotine maintenance or harm reduction
strategy.
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COPYRIGHT POLICIES FOR THE ROVER TOBACCO CONTROL LIBRARY
OVERVIEW
This document clarifies the library policies and procedures related to copyright, user access, reproduction, and library
dissemination of library materials, specifically journal articles related to the Rover Tobacco Control Library, a
California Tobacco Control Program (CTCP) statewide technical assistance provider. The document is organized into
the following topic areas:
L Definitions
2. Rover Tobacco Control Library Collection
3. Distribution of Journal Articles
4. Sources for Unrestricted Access
5. Licensing Agreements Requirements
6. Appendices
1. Definitions
a. Copyright: u.s. Copyright Law (u.s. Code, Title 17) includes exclusive rights for copyright holders
e(cXreematpotrlso,npsufbolrisrlhberarsr)Ietsoarenpdrtohdeulrceusoerrtso aOuntheoorifzteheotmheorsstt.IomrpeopdroadntuceeXethmepirrlwonosrkCso.VeltraSIsfoa.lirnucsluegesma,Ing
copies, and classroom use. Copyright law also covers the dissemination of materials/information by
libraries and their users. See Appendix A for more information on u.s. Copyright. Note: All journal
articles added to the Rover Library collection include a copyright statement stamped on the first page.
The statement reads, "NOTICE: This material may be protected by Copyright Law (Title 17 u.s. Code)."
b. Licensing: The Rover Library acquires some library materials, specifically journal subscriptions, through
licensing agreements with publishers. In the case of these licensed materials, issues related to
reproduction and distribution are defined in the publisher "terms and agreements" contract. Libraries are
required to limit access to registered users to the extent technologically feasible and reasonably prevent
unauthorized copying and further distribution.
c. Reproduction: Reproduction refers photocopying or creating portable document formats (PDF) of library
materials
d. Distribution/Dissemination: Distribution/Dissemination refers to library staff sending hardcopy or
e-mailing PDFs of library materials to patrons. It can also refer to materials that are faxed to patrons.
These are materials that patrons can keep.
e. Patrons: CTCP staff and CTCP-funded projects and their evaluators are considered Patrons for Rover
library usage. Patrons can borrow/request copies of materials, ask for information services, and suggest
items for purchase.
2. The Rover Library Collection: The Rover Tobacco Control Library is a virtual library, with most resources
available to download from the password protected library website (https://rover.catcp.orq). Patrons with
OTIS/Rover or Rover-ONLY accounts must review the library's Borrowing and Dissemination Policies and
Procedures, as well as submit a Borrower's Agreement to download some of the full-text resources available
on the website. Full-text downloadable resources include materials produced by CTCP and funded projects,
government publications, and other copyright-free publications, including Open Access (OA) titles and the
PubMed Central free digital archive ( http://www.pubmedcentral.nih.govA In addition, the library provides links
to other websites/online sources where full-text can be accessed. Through a journal subscription license,
patrons also have access to all Tobacco Control content (username/password required).
3. Distribution of Journal Articles: Many studies/journal articles are copyrighted and have distribution
restrictions.
a. Requests for copies of full-text journal articles Requested titles are confirmed with the requestor, as
needed, usually via e-mail. Depending on availability, confirmation is handled in one of two ways:
i. If a journal article is available without restriction, patrons are directed to download the title from a
website/other online source; or access the Rover Library Catalog and download full-text e-holding
(Rover Catalog record - Availability "Holdings") or full-text through a provided URL (Rover Catalog
record - Availability"Other Sources" Holdings"). See also 4. Sources for Unrestricted Access
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below.
ii. If the full-text article is not freely available without restrictions for full-text download/distribution,
library staff will confirm the title request with the requestor via an e-mail that also includes the
following availability statement. These confirmation e-mails could be auto-generated and sent
from the Rover Library website to the requestor, or a personal e-mail sent by library staff to the
requestor. Availability Statement: u.s. Federal Copyright law and journal license agreements
regulate the use and limit use and distribution of copies of journal articles. These conditions
include, but are not limited to, restrictions on copying, republishing, altering, redistributing, and
reselling the information contained therein. Copies of journal articles are for your personal use
(private study, scholarship, or research) only. Please do not reproduce or redistribute this
material, or post in on websites or other online sites. You may be liable for copyright infringement
for photocopying or reproducing this material for purposes in excess of "fair use." Depending on
the context of the request there may be other text added to the e-mail or discussed in person.
b. Distribution of fuli-text journag articles to Patrons
i. Affer the Availability Statement is e-mailed to the requestor, the requestor is e-mailed a PDF of
the article with copyright statement printed on each page [e.g., "NOTICE: This material may be
protected by Copyright Law (Title 17 u.s. Code)."].
ii. This e-mail also includes a WARNING OF COPYRIGHT RESTRICTIONS statement (e.g.,
"WARNING CONCERNING COPYRIGHT RESTRICTIONS: The Copyright Law of the United
States (Title 17, United States Code) governs the making of photocopies or other reproductions
of copyrighted material. Under certain conditions specified in the law, libraries are authorized to
furnish a photocopy or other reproduction. One of these specified conditions is that the photocopy
or reproduction is not to be "used for any purpose other than private study, scholarship, or
research." If a user makes a request for, or later uses, a photocopy or reproduction for purposes
in excess of "fair use," that user may be liable for copyright infringement. Details on copyright laws
may be viewed at http://www.copyriqht.qov/title1 7."
4. Sources for Unrestricted Access: See the Rover Library paper, Sources for Unrestricted Access, for more
information on the availability of free full text resources, including copyright-free government publications and
sources, which provide unrestricted web access to peer reviewed scholarly journal articles. This document is
available from the Rover Library.
5. Licensing Agreement Requirements
a. Conditions of use and Licensing Restrictions for Electronic Resources
The library subscribes to journals for use by authorized users. The terms and conditions for using
these resources are set out in electronic resource license agreements with each publisher. It is the
responsibility of individua! users to ensure their use of electronic resources does not breach the terms
and conditions specified in the license agreements. Licenses vary from publisher to publisher;
however, the general principles are:
Generally Permitted
* viewing, downloading, copying, printing, and saving
a copy of search results
@ viewing, downloading, copying, printing, and saving
individual articles
* using e-resources for scholarly, educational or
scientific research, teaching, private study, and
clinical purposes
* sending a copy of an article to another authorized
user
Not Permitted
* systematic downloading or printing of entire journal
issues or volumes, or large portions of other
e-resources is not permitted
* using e-resources for commercial gain is not
permitted (i.e. reselling, redistributing, or
republishing licensed content)
* transmitting, disseminating, or otherwise making
online content available to unauthorized users (i.e.
sending to mailing lists or electronic bulletin
boards) is not permitted
* posting the publisher's version or PDF of an article
to an open-class website is not permitted (instead,
post the URL to the article which will allow only
authorized users access)
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6. Appendices Appendix A: u.s. Copyright
a. US. Copyright Law: The full-text of u.s. Copyright Law (Title 17) is available on the u.s. Copyright
Office website: http://www.copyriqht.qov/title17/
b. Fair Use: The following provides background information on fair use issues related to u.s. Copyright
Law (Title 17, Chapter 1, Section 107): http://www.copyriqht.qov/titlel7/92chap1.html#l07
Notwithstanding the provisions of sections and 106A the of a copyrighted work, including
such use by reproduction in copies or phono records or by any other means specified by that section, for
purposes such as criticism, comment, news reporting, teaching (including multiple copies for classroom
use), scholarship, or research, is not an infringement of copyright. In determining whether the use made
of a work in any particular case is a the factors to be considered shall include:
i. the purpose and character of the use, including whether such use is of a commercial nature or is
for nonprofit educational purposes;
ii. the nature of the copyrighted work;
iii. the amount and substantiality of the portion used in relation to the copyrighted work as a whole;
and
iv. the effect of the use upon the potential market for or value of the copyrighted work. The fact that a
work is unpublished shall not itself bar a finding of if such finding is made upon
consideration of all the above factors.
c. Library/Archives Rights for Reproduction: The following provides information on exclusive rights for
reproduction by libraries and archives issues related to u.s. Copyright Law (Title 17, Chapter 1, Section
108): http://www.copvriqht,qov/titlel7/92chap1.html#l08.
i. Except as otherwise provided in this title and notwithstanding the provisions of section 106, it is
not an infringement of copyright for a library or archives, or any of its employees acting within the
scope of their employment, to reproduce no more than one copy or phono record of a work,
except as provided in subsections (b) and (c), or to distribute such copy or phono record, under
the conditions specified by this section, if-
4. the reproduction or distribution is made without any purpose of direct or indirect
commercial advantage;
2. the collections of the library or archives are
a. open to the public, or
b. available not only to researchers affiliated with the library or archives or with the
institution of which it is a part, but also to other persons doing research in a
specialized field; and
3. the reproduction or distribution of the work includes a notice of copyright that appears on
the copy or phono record that is reproduced under the provisions of this section, or
includes a legend stating that the work may be protected by copyright if no such notice can
be found on the copy or phono record that is reproduced under the provisions of this
section.
ii. The rights of reproduction and distribution under this section apply to three copies or phono
records of an unpublished work duplicated solely for purposes of preservation and security or for
deposit for research use in another library or archives of the type described by clause (2) of
subsection (i), if:
1. the copy or phono record reproduced is currently in the collections of the library or
archives; and
2. any such copy or phono record that is reproduced in digital format is not otherwise
distributed in that format and is not made available to the public in that format outside the
premises of the library or archives.
iii. The right of reproduction under this section applies to three copies or phono records of a
published work duplicated solely for the purpose of replacement of a copy or phono record that is
damaged, deteriorating, lost, or stolen, or if the existing format in which the work is stored has
become obsolete, if:
1. the library or archives has, after a reasonable effort, determined that an unused
replacement cannot be obtained at a fair price; and
2. any such copy or phono record that is reproduced in digital format is not made available to
the public in that format outside the premises of the library or archives in lawful possession
of such copy. For purposes of this subsection, a format shall be considered obsolete if the
machine or device necessary to render perceptible a work stored in that format is no
longer manufactured or is no longer reasonably available in the commercial marketplace.
iv. The rights of reproduction and distribution under this section apply to a copy, made from the
collection of a library or archives where the user makes his or her request or from that of another
library or archives, of no more than one artic!e or other contribution to a copyrighted collection or
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periodical issue, or to a copy or phono record of a small part of any other copyrighted work, if:
1. the copy or phono record becomes the property of the user, and the library or archives has
had no notice that the copy or phono record would be used for any purpose other than
private study, scholarship, or research; and
2. the library or archives displays prominently, at the place where orders are accepted, and
includes on its order form, a warning of copyright in accordance with requirements that the
Register of Copyrights shall prescribe by regulation.
v. The rights of reproduction and distribution under this section apply to the entire work, or to a
substantial part of it, made from the collection of a library or archives where the user makes his or
her request or from that of another library or archives, if the library or archives has first
determined, on the basis of a reasonable investigation, that a copy or phono record of the
copyrighted work cannot be obtained at a fair price, if:
1. the copy or phono record becomes the property of the user, and the library or archives has
had no notice that the copy or phono record would be used for any purpose other than
private study, scholarship, or research; and
2. the library or archives displays prominently, at the place where orders are accepted, and
includes on its order form, a warning of copyright in accordance with requirements that the
Register of Copyrights shall prescribe by regulation.
vi. Nothing in this section:
1. shall be construed to impose liability for copyright infringement upon a library or archives
or its employees for the unsupervised use of reproducing equipment located on its
premises: Provided, That such equipment displays a notice that the making of a copy may
be subject to the copyright law;
2. excuses a person who uses such reproducing equipment or who requests a copy or phono
record under subsection (iv) from liability for copyright infringement for any such act, or for
any later use of such copy or phono record, if it exceeds fair use as provided by
section 107:
3. shall be construed to limit the reproduction and distribution by lending of a limited number
of copies and excerpts by a library or archives of an audiovisual news program, subject to
clauses (1), (2), and (3) of subsection (i); or
4. in any way affects the right of fair use as provided by section 107 or any contractual
obligations assumed at any time by the library or archives when it obtained a copy or
phono record of a work in its collections.
vii. The rights of reproduction and distribution under this section extend to the isolated and unrelated
reproduction or distribution of a single copy or phono record of the same material on separate
occasions, but do not extend to cases where the library or archives, or its employee:
1. is aware or has substantial reason to believe that it is engaging in the related or concerted
reproduction or distribution of multiple copies or phono records of the same material,
whether made on one occasion or over a period of time, and whether intended for
aggregate use by one or more individuals or for separate use by the individual members of
a group; or
2. engages in the systematic reproduction or distribution of single or multiple copies or phono
records of material described in subsection (vi): Provided, That nothing in this clause
prevents a library or archives from participating in interlibrary arrangements that do not
have, as their purpose or effect, that the library or archives receiving such copies or phono
records for distribution does so in such aggregate quantities as to substitute for a
subscription to or purchase of such work.
1. For purposes of this section, during the last 20 years of any term of copyright of a
published work, a library or archives, including a nonprofit educational institution that
functions as such, may reproduce, distribute, display, or perform in facsimile or digital
form a copy or phono record of such work, or portions thereof, for purposes of
preservation, scholarship, or research, if such library or archives has first determined, on
the basis of a reasonable investigation, that none of the conditions set forth in
subparagraphs (a), (b), and (c) of paragraph (2) apply.
2. No reproduction, distribution, display, or performance is authorized under this subsection
if:
a. the work is subject to normal commercial exploitation;
b. a copy or phono record of the work can be obtained at a reasonable price; or
c. the copyright owner or its agent provides notice pursuant to regulations
promulgated by the Register of Copyrights that either of the conditions set forth in
subparagraphs (a) and (b) applies.
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3. The exemption provided in this subsection does not apply to any subsequent uses by
users other than such library or archives.
a. The rights of reproduction and distribution under this section do not apply to a
musical work, a pictorial, graphic or sculptural work, or a motion picture or other
audiovisual work other than an audiovisual work dealing with news, except that no
such limitation shall apply with respect to rights granted by subsections (ii), (iii), and
(viii), or with respect to pictorial or graphic works published as illustrations,
diagrams, or similar adjuncts to works of which copies are reproduced or distributed
in accordance with subsections (iv) and (v).
d. The Digital Millennium Copyright Act of '1998 (DMCA) spells out some copyright exemptions for
non-profit libraries and archives: http://www.copyriqht.qov/Ieqislation/dmca.pdf Section 404 of DMCA
amends the exemption for nonprofit libraries and archives in Section 108 of DMCA to accommodate
digital technologies and evolving preservation practices. Prior to enactment of DMCA, Section 'l 08
permitted such libraries and archives to make a single facsimile (i.e., not digital) copy of a work for
purposes of preservation or interlibrary loan. As amended, Section 108 permits up to three copies, which
may be digital, provided that digital copies are not made available to the public outside the libraiy
premises. In addition, the amended section permits such a library or archive to copy a work into a new
format if the original format becomes obsolete-that is, the machine or device used to render the work
perceptible is no longer manufactured or is no longer reasonably available in the commercial
marketplace.
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401 Administrative Requirements
DATA COLLECTION AND REPORTING REQulREMENTS
1. Funded projects shall conduct surveillance activities, collect and maintain data, submit reports, and conduct
evaluations in accordance with California Department of Public Health (CDPH), California Tobacco Control
Program (CTCP) requirements.
2. Funded projects shall allocate a minimum percentage of their total CTCP budget 'towards an evaluation
component. This component should support staff designated to oversee evaluation, required data collection,
surveillance, evaluation, and reporting requirements. This is a mandatory requirement and must be evident in
the budget. For the minimum percentage required, refer to the procurement to which your agency responded.
3. Funded projects shall designate one staff person as the lead on evaluation activities. Agencies shall allocate the
minimum percentage of a staff person's time, as required in the procurement to which the agency responded, to
be dedicated toward overseeing evaluation activities, coordinating evaluation activities with CTCP, and any
evaluation consultant or subcontractor who may be hired. This is a mandatory requirement and must be evident
in the budget.
4. Funded projects may sub-contract an external evaluator to design evaluation activities and analyze the
collected data. Refer to the procurement to which your agency responded to see if this is a mandatory
requirement.
5. The document, Tell Your Story: Guidelines for Preparinq Useful Evaluation Reports is to be used as the
standard for preparing final evaluation reports. Progress Reports shall be submitted bi-annually to CTCP via the
Online Tobacco Information System (OTIS).
6. The content of the Progress Reports shall be in accordance with CTCP instructions and the required forms shall
be used. Funded projects should maintain back-up documentation, such as logs, sign-in sheets, press releases,
etc. to verify all information provided in the progress reports and will be required to submit documentation with
progress reports as identified in the progress report instructions.
7 , If timely and accurate progress reports and evaluation reports are not received by CTCP, funded projects may
be subject to administrative sanctions. Dependent on the type of contract, these may include payments being
withheld until delinquent or deficient reports are up-to-date or evaluation requirements are satisfied, the contract
award being reduced, the contract being terminated, or being exempted from participating in future contracts
with CTCP. Contractors shall be given a time-certain date by which to re-submit unsatisfactory reports.
8 . Each funded project shall cooperate with and participate in evaluation activities conducted by agencies that are
under contract with CTCP for the purpose of evaluation or surveillance activities.
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402 Administrative Requirements
EQUIPMENT PURCHASES
Vehicles:
California Tobacco Control Program (CTCP) does not allow the lease or purchase of vehicles. This includes the lease
of, lease with the option to purchase, or rental plans with purchase options of vehicles. CTCP will reimburse the usage
of agency-owned vehicles or personally-owned staff vehicles, at mileage rates approved by CTCP, for travel to/from
approved Scope of Work activities. Refer to Section I, Chapter 400 of the Competitive Grantees Administrative and
Policy Manual for Travel Information.
Mobile Phones:
Purchase must be based on sufficient justification with prior CTCP approval, and must be budgeted in the equipment
line item in the budget justification. Mobile phones or cellular (cell) phone service fees are limited to five devices and
may not exceed $3,900 annually. Exceptions, with a detailed justification, are considered on a case-by-case basis.
Any unenciypted devices are not allowed to be purchased or utilized. Refer to Chapter 400, Policy #05
Information Security Requirements for additional information regarding equipment and data security requirements.
Desktop and Laptop Computers:
With sufficient justification and prior CTCP approval, funded projects may be authorized to purchase computer
equipment, including appropriate hardware and software that meets agency minimum requirements. Refer to Chapter
400, Policy #05 Information Security Requirements for additional information regarding equipment and data security
requirements.
Computer Hardware
1. The funded project shall have equipment for the purposes of producing CTCP-mandated progress reports,
completing statewide independent evaluation instruments and reports, and participating in Partners and Online
Tobacco Information System (OTIS). Agencies should have access to high-speed broadband internet access,
or local area network (LAN) access. Purchasing approvals will follow the appropriate CTCP budget process in
OTIS. Computer equipment requests are to be justified by demonstrated programmatic or administrative need.
After approval, the contractor shall follow the CTCP procedures for purchase and inventory of the equipment.
Refer to Section I, Chapter 800 of the Competitive Grantees Administrative and Policy Manual for procedures
and format. Equipment purchases not in the approved budget will be disallowed.
2. Funded projects shall conform to the CTCP Information Security Requirements in Chapter 400, Policy #05, for
computer security and storing of confidential data.
3. Equipment purchases not in the approved budget will be disallowed unless a prior written request is submitted
to the assigned CTCP Procurement Manager for review and approval, and a written approval is given.
Computer Software
1. Contract language prohibits the use of state funds for the acquisition, operation, or maintenance of computer
software in violation of licensing and copyright laws. By signing the contract award, the contractor has certified
that it has appropriate systems and controls in place to ensure that violations do not occur.
2. For Competitive Grantees, purchasing approval will follow the appropriate CTCP budget process in OTIS. After
approval, the contractor shall follow the CTCP procedures for purchasing and inventory of the equipment. Refer
to Section 1, Chapter 800 of the Competitive Grantees Administrative and Policy Manual for procedures and
format. Software purchases not in the approved budget will be disallowed unless a prior written request is
submitted to the assigned CTCP PM for review and approval, and a written approval is given.
3. Computer soffware must meet agency minimum requirements.
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403 Administrative Requirements
ST AFFING, ADMINISTRATIVE AND TRAVEL REQUIREMENTS
Staffinq Requirements:
1. Personnel classifications and/or professional disciplines shall be appropriate for the completion of the scope of
work (SOW) requirements.
2. The funded project is responsible for updating their contact information on OTIS in a timely manner to notify the
California Tobacco Control Program (CTCP) of any staff changes.
3. The funded project shall designate one staff person as the lead on evaluation activities. Agencies shall allocate
the minimum percentage of a staff person's time, as required in the procurement to which the agency
responded, to be dedicated toward overseeing evaluation activities, coordinating evaluation activities with
CTCP, and working with the required evaluation consultant or subcontractor. This is a mandatory requirement
and must be evident in the budget.
4. The funded project shall employ or contract with professional staff with the education, training, experience, and
qualifications necessary to:
a. Coordinate and collaborate with community agencies, organizations, and targeted population
b. Implement principles and practices of community health education
c. Coordinate community assessments
d. Conduct educational, media, policy activities, and evaluation
e. Collect and tabulate required data
f. Perform program planning and evaluation activities
g. Fiscally and administratively manage the tobacco control program
h. Comply with reporting and record keeping requirements of the State
5. The funded project must have on file and upon request provide to CTCP descriptions and duty statements for
positions listed in the budget and subcontract personnel. Timesheets are to include either the employee's actual
time worked in the project or time studies that calculate the amount of the employee's time required to complete
the SOW, and are consistent with the needs of the SOW.
6. The agency is required to have a minimum of one 100 percent full-time equivalent (FTE) staff on the project.
This does not have to be the Project Director or Project Coordinator; however, the time-base of the designated
Project Director or Project Coordinator (PC) must be sufficient to provide overall programmatic management
and administrative oversight to the project. This includes administrative activities associated with hiring or
contracting with qualified professional staff to perform the duties described above and supervising their
performance; ensuring that the all SOW intervention and evaluation activities are completed satisfactorily, on
time, and in accordance with CTCP policies; ensuring that progress reports are accurate, complete, and
submitted on time; ensuring that the budget is expended according to the approved budget and that appropriate
fiscal documentation is maintained for expenditures; ensuring that all cost reports or invoices are accurate,
complete, and submitted on time; and ensuring that appropriate staff, consultants, and subcontractors attend
all required trainings and any optional trainings and conferences that are relevant to the SOW.
7. An individual employee or subcontract employee may not exceed more than 100 percent FTE on an individual
contract/grant or across multiple contracts/grants without prior written approval from the Program Consultant
and Program Manager. 100 percent FTE is defined as 2080 hours annually, including paid leave.
8. If CTCP determines that the Project Director or Project Coordinator does not have the education, training,
experience and qualifications necessary or that the individual's time-base is insufficient to satisfactorily perform
the management and oversight functions associated with this project, then CTCP reserves the right to require
that a qualified individual be appointed as the Project Director or Project Coordinator at a time-base it deems
sufficient to fuifill these functions.
Administrative Requirements:
1. Agencies will prepare either cost reports (LLAs) or monthly invoices (Competitive Grantees) in arrears, which
detail the actual program expenditures in accordance with the format prescribed by CTCP.
2. Payments to agencies are contingent upon receipt and approval of their SOW and budget and upon receipt and
approval of other contractual deliverables such as progress reports and cost reports or invoices.
3. Agencies must maintain a functioning e-mail account.
4. If a LLA subcontracts out 60 percent or more of the tobacco control allocation to one agency to implement the
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comprehensive tobacco control plan, then the subcontractor wilt be required to develop a sub-budget, following
the same guidelines applicable to the LLA.
5. Agencies shall comply with administrative and contractual requirements as provided to them in the form of the
Administrative Manual updates and Program Letters throughout the procurement term.
Travel Requirements:
1. Required CTCP Travel and Training:
Project Directors or their designees are required to budget for and attend the Tobacco-Free California Projects'
Meeting (previously knowing as the Project Directors' Meeting), which is typically held every 18 months. Funded
projects are also required to attend Capitol Information & Education Days (I&E Days) on an alternate year schedule
(refer to the project's Guidelines or Request for Applications' for the appropriate schedule). In addition, there may be
other trainings, meetings, or conferences required by the Guidelines, Request for Applications, or funding renewal
instructions under which the agency was funded. The funds budgeted for CTCP-required trainings, meetings, or
conferences cannot be used for any other purpose. If a required training, meeting, or conference is not attended by a
project representative, the funds budgeted for it will remain in the line item unspent and will be disencumbered at the
close of the contract.
2. Out-of-State Travel:
Travel Agencies may budget for Out-of-State Travel (OST) if sufficient funds are available and the State and Agency
will benefit. Additionally, OST for LLAs must be consistent with county guidelines. The OST approval process consists
of the following two stages:
a. Stage 4 : During the negotiation process, identify possible out-of-state trips OST and available details such as:
i. purpose of the OST
ii. who will attend
iii. expenses associated with the OST for each applicable fiscal year
iv. applicable SOW activity number
v. role of the attendee, as applicable (e.g. presenter, panel member, speaker, trainee, etc.)
vi. benefit to the state and/or agency
b. Stage 2: After the budget has been approved, final approval is contingent on:
i. Agency being up-to-date on progress in the SOW and current with submission of progress/cost reports
ii. Submission of the OST request (via OTIS) with the following details:
iii. purpose of the OST
iv. who will attend
v. expenses associated with the OST for each applicable fiscal year
vi. applicable SOW activity number
vii. role of the attendee, as applicable (e.g. presenter, panel member, speaker, trainee, etc.)
viii. benefit to the state and/or agency
ix. applicable documentation (e.g., copy of agenda, conference brochure, invitation to speak, etc.)
c, The Stage 2 requirements in this section also apply to a "salary-only" OST request in which another agency is
paying for travel and per diem and CTCP is only paying for the attendee's salary.
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404 Administrative Requirements
INTEREST EARNED AND GENERATED REVENUE REQUIREMENTS
Interest Earned:
Local Lead Agencies (LLAs), and Non-Profit Agencies serving as an LLA, are required, per their allocation agreement,
to deposit their Proposition (Prop) 99 and Prop 56 prospective payment(s) into separate interest bearing, insured trust
accounts for the purposes of accounting and audit reporting requirements. The allocation agreement requires that the
interest accruing from these prospective payment(s) must be used for state-approved tobacco control program-related
activities and shall be used to defray costs incurred by the program, measurably expand the program, or improve the
quality of services above the level of services already funded under the allocation agreement.
Some older contracts and grants may have earned interest by obtaining an advance payment on the first fiscal year
amount of their contract award. Specific provisions of the contract did not allow for the use of interest earned to defray
program costs, measurably expand the program, or improve the quality of services above the level of services already
funded under their contract. If you obtained an advance payment, any interest accruing from this advance payment is
to be returned to the state prior to the contract expiration or termination date. Refer to the advance payment provisions
of your contract (if applicable) for more information.
1. Local Lead Agencies (LLAs)
LLAs may use funds from interest earned to purchase items in the approved comprehensive tobacco control plan
Scope of Work (SOW) (i.e., incentives, media, educational materials, operating expenses, etc.) or temporary help (and
the fringe benefit expenses associated with the temporary help position) without obtaining additional prior written
approval (the plan approval by the California Tobacco Control Program (CTCP) constitutes prior written approval).
These funds cannot be used to supplement Personnel Salaries and Fringe Benefit expenses for regular staff or for
Indirect Cost expenses.
Prior written approval will be required to use these funds for equipment purchases or for purchases of any items not in
the approved SOW (i.e., consultants, media, etc.).
The LLA must comply with the following:
a. Obtain prior written approval from CTCP to use interest earned money from the trust accounts to purchase
items/services not in the approved SOW. Refer to Section 1, Administrative Section of this manual, for the
procedures and format to follow in obtaining approval.
b. Funds from the interest earned must first be spent in full from the Prop 56 trust account prior to spending funds
from the interest earned in the Prop 99 trust account.
c. Maintain adequate documentation of the receipt and use of such interest. Once approval is obtained to use
interest earned money, the LLA must report the use of these monies during the cost report period in which they
were spent. Refer to Section 1, Administrative Section of this manual, for the procedures and format to follow in
submitting cost reports.
d. Return to the State any unexpended interest remaining in the trust accounts, if funding authority for this
allocation agreement expires or the agreement is canceled. Refer to your signed allocation agreement for more
information. CTCP will provide detailed instructions for returning unexpended interest when the agreement is
closed out.
2. Contracts and Grants
CTCP does not currently provide advance payments to competitively awarded contracts and grants; therefore, no
interest earned can be accrued.
Generated Revenue:
CTCP is no longer supportive or any funded agreements using generated revenue to pay for program activities.
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405 Administrative Requirements
INFORMATION SECURITY REQulREMENTS
Information Security Policy:
Funded projects must adhere to their own agency's information security policies. In addition, the contractor must follow
the California Department of Public Health (CDPH) Health Administrative Manual (HAM), Information Security Policy,
Section 6-"1000 through 6-1060 where applicable (available upon request). This policy outlines CDPH requirements
established to address information security and extends to all CDPH personnel, contractors, employees, vendors,
clients, and customers.
Classification of Data:
Automated files and databases should be given appropriate protection from loss, inappropriate disclosure, and
unauthorized modification. Files, databases, and any other means of storing data can contain the following types of
information listed below. A complete description can be found in HAM, Section 6-al 050 (available upon request). Refer
to HAM, Section 6-1 060 for guidance on reporting any actual or suspected violations of security or privacy policy.
Employees must notify their manager or supervisor and their California Tobacco Control Program (CTCP) Procurement
Manager immediately.
1. Confidential: Under the Information Practices Act (Civil Code, Sections 1798-1 798.70), personal information
may not be disclosed in a manner that identifies that individual unless authorized by law. Confidential data
needs to be protected from unauthorized access or disclosure.
a. Confidential-Critical: Privileged data that has the most limited access and requires the highest degree
of integrity. This is data that will do the most damage to the organization should it be disclosed.
b. Confidential-Pnvate: Data essential to the ongoing operation of the organization and its subsidiaries. It
allows the organizat'ion to conduct its internal business and maintain support of its applications and
business processes.
c. Confidential-Restricted: Data that is intended for internal use within an organization. This data must be
protected from unauthorized access, modification, or deletion. Restricted data should only be provided to
individuals with a need to know and they must be authorized to access the information.
2. Sensitive Information: May be either public or confidential and requires special precautions to protect it from
unauthorized modifications or deletions.
Information Security Practices:
Listed below are examples of security practices contractors should be following. A complete list can be found in HAM,
Section 6-1010 (available upon request).
1. Good security practices are expected of each contractor, inc!uding using due care to preserve data integrity and
confidentiality.
2. Contractors are responsible for the security of their computer and their data. Steps should be taken to protect
computer equipment from theft and unauthorized use.
3. Computer and equipment resources shall only be used for business purposes.
4. Desktop systems should be kept in a secure area. Confidential data should not be stored on a personal
computer unless adequate precautions have been taken.
5. Network passwords and password protected screen savers should be used. Passwords should not be shared.
Use an unusual combination of eight (8) characters or more for a secure password. Passwords should not be
written down, posted where they may be accessed or included in a data file, log-on script, or macro. Passwords
should be changed immediately if revealed or compromised.
6. Computer software should be acquired from reputable sources that will ensure the integrity of the soffware.
7. Software license agreements, terms and condition, and copyright laws shall be strictly followed.
8. All computers should have anti-virus and security patches up to date.
9. Back-up and recovery procedures should be in place with each agency.
Mobile Computing Policy:
For the purposes of this Policy, mobile devices are defined as tablets, laptops, and notebook computers, or removable
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storage, such as compact disk (CD), USB storage device or flash drive, diskette, flash memory (thumb drives, memory
sticks and cards), smartphones, or other devices that have the ability to store information. As a reminder, all mobile
devices remain the property oF CTCP. CTCP will require proper State identification labels and will provide procedures
for tagging, reporting, and retrieving equipment.
1. Competitive Grantees must follow the CDPH mobile computing policy as listed in HAM, Section 6-1 01 0.3
(available upon request).
2. Local Lead Agencies (LLA) must adhere to their own local agency mobile computing policy. However, if the LLA
does not have a mobile computing policy, those agencies must adhere to the CDPH mobile computing policy as
listed in HAM, Section 6-1010.3 (available upon request).
Below are some of the agency's responsibilities for the security of their mobile devices and the information they
contain. A complete description of this policy can be found in HAM, Section 6-1010.3 (available upon request).
1. Confidential information containing names, social security numbers, Driver's license number or California
Identification card number, physical description, credit or debit card number, in combination with any required
security code, access code or password that would permit access to financial account, medical or financial
information should not be downloaded or stored on mobile devices unless absolutely necessary for program
operations. Employees must use an encryption product when storing confidential information.
2. In cases where use of mobile devices for downloading or storage of confidential information has been
determined to be absolutely necessary, contractors are required to delete information from their mobi!e device if
it is clearly no longer needed or potentially useful. Use of an "erase" feature (e.g., putting a document in a
virtual recycle bin) is not sufficient for confidential information because the information may still be recoverable.
Confidential data must be deleted via an overwriting (zeroization) program or other such approved procedure.
3. Mobile devices must be protected by a power-on password and contractors must use an approved encryption
product when storing confidential information.
4. Mobile devices must not be leff unattended at any time and precautions should be taken to ensure other
persons cannot view on-screen data in public places.
5. Contractors should make available laptops to their LAN Administrator monthly for regular maintenance (e.g.
update anti-virus, updated application and system patches).
6. When an employee is allocated a mobile device, the mobile device remains the property of the agency and
CTCP, and upon termination of employment, the individual must return the mobile device to their LAN
administrator or supervisor.
7. If a mobile device is lost or stolen, employees must notify their manager or supervisor and their CTCP PM
immediately. Refer to HAM, Section 6-1 060 for guidance on actual or suspected violations of security or privacy
policy.
Internet/Electronic Mail (E-mail):
Contractors who access the Internet and/or e-mail are to follow these guidelines to conduct official CTCP-related
business. A complete description of the CDPH policy can be found in HAM, Section 6-1010.4 (available upon request).
Any confidential information sent through the Internet and/or E-mail could be intercepted, modified, misdirected, or
destroyed by unauthorized persons if adequate access controls are not in place. Encryption, authentication, and/or any
other security schemes should be used to ensure that data is secure and made available only to the appropriate and
intended recipients.
The intentional use of CTCP resources for personal advantage, gain, or profit is inconsistent, incompatible, and in
conflict with the duties of officers, contractors, and employees. Examples of inappropriate use include, but are not
limited to, viewing, sending, creating, and/or downloading any information that:
1. Violates or infringes on the rights of any other person, including the right to privacy
2. Contains defamatory, false, abusive, obscene, pornographic, profane, sexually oriented, threatening, racially
offensive, or otherwise biased, discriminatory, or illegal material
3. Violates agency or departmental regulations prohibiting sexual harassment, and/or discrimination.
4. Conduct, engage, or solicit the performance of any activities in violation of any federal, state. or local laws,
regulations, rules, executive orders or agency or departmental regulations, policies, or directives
5. Conduct any political activity
6. Engage in any activity for personal gain or personal business transactions
7. Make any unauthorized purchases
8. Use data for private gain, or divulge confidential departmenta( information or records unless officia(ly authorized
to do so.
9. Restricts or inhibits other users from using the system or the efficiency of the computer systems.
Refer to HAM, Section 6-1 060 for guidance on actual or suspected violations of security or privacy policy.
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406 Administrative Requirements
AUDIT OVERVIEW
The following provides an overview of the audit requirements for California Department of Public Health (CDPH),
California Tobacco Control Program (CTCP) funded projects.
1. All CTCP funded agencies should have policies and procedures to adequately:
a. Record, compile, and report CTCP-funded activities, expenditures, and the allocation of funds received.
b. Assign General Ledger Account codes for transactions to ensure CTCP-funded activities are recorded
accurately.
c. Retain documentation and internal financial records that support the expenditures reported in the CTCP
Scope of Work (SOW), progress reports, budget, budget justifications, and cost reports.
d. Ensure the work reported in the Agency's SOW, progress reports, budget, budget justification, and cost
reports are completed using only CTCP funds, and not with other fund sources. If non-CTCP funds are
used to complete the SOW activities, the Agency must to expand the SOW to describe the source and
use of non-CTCP funds and identify the Personnel, Subcontracts, Other Costs, etc. that are externally
funded. Additionally, the Additional Tobacco Control Funding Declaration form must contain clear notes
on the source of the funds and their use and the budget justification must list all non-CTCP funds as an
in-kind contribution. Progress reports are to describe accomplishments made with CTCP-funds.
e. Agency agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit
tracing of all funds to a level of expenditure adequate to establish that such funds have not been used in
violation of any applicable state or federal law, or the provisions of the contract, grant and/or
Inter-Agency Agreement (IAA). Agency further agrees that it will maintain separate Project accounts in
accordance with generally accepted accounting principles.
f. Agency agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit
tracing of CTCP funds to a level of expenditures adequate to establish that such funds have not been
used in violation of any applicable state or federal law, or the provisions of this contract, grant and/or
IAA. Agency further agrees that it will maintain separate Project accounts in accordance with generally
accepted accounting principles.
2. Independent Audit and Disclosure Requirements for Prop 56 funded agencies:
a. An independent financial audit of the state and local agencies receiving funds pursuant to the California
Healthcare, Research and Prevention Tobacco Tax Act of 2016 shall be conducted at least biennially.
b. The independent audit report shall detail the California State Auditor's review and include any
recommendations for improvements. The Report shall be made available to the public.
3. Audit Requirement for All Contracts, General Terms and Conditions except IAAs:
a. Exhibit C Standard Grant Conditions:
i. Audit: Agency agrees that the awarding department, the Department of General Services, the
Bureau of State Audits, or their designated representative shall have the right to review and to
copy any records and supporting documentation pertaining to the performance of this Agreement.
Agency agrees to maintain such records for possible audit for a minimum of three (3) years after
finaj payment, unless a longerperiod of records retention is stipulated. Agency agrees to allow
the auditor(s) access to such records during normal business hours and to allow interviews of any
employees who might reasonably have information related to such records. Further, Agency
agrees to include a similar right of the State to audit records and interview staff in any subcontract
related to performance of this Agreement. (Gov. Code §8546. 7, Pub. Contract Code §10115 et
seq., CCR Title 2, Section 1896).
4. Audit Requirements for IAA's General Terms and Conditions (SCM Section 3.03)
a. GIA-61 0, Section 2:
i. Audit: The agency performing work under this Agreement agrees that the awarding department,
the Department of General Services, the Bureau of State Audits, or their designated
representative shaff have the right to review and to copy any records and supporting
documentation pertaining to the performance of this Agreement if it exceeds $10, 000. The
agency performing work agrees to maintain such records forpossible audit for a minimum of three
(3) years afterfinalpayment, unless a longerperiod of record retention is stipulated.
5. Audit Requirements for University Terms & Conditions for Universities of California and California State
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Universities
a. Exhibit C, UTC116, Section 15:
i. Audit The University agrees that the awarding State agency, the Department of General
Services, the Bureau of State Audits, or their designated representative shall have the right to
audit and/or review, and copy any records and supporting documentation pertaining to the
performance of this Agreement if it exceeds $10,000. The University agrees to maintain such
records for possible audit for a minimum of three (3) years afterfinal payment, unless a longer
period of record retention is stipulated in Exhibit D. If any litigation, claim, or audit begins prior to
the expiration of the retention period, the records shall be retained until all litigation, claims or
audit findings involving the records have been resolved and final action taken.
6. Audit Requirements using Federal funds for IAA's, Grants, Subvention/Local Assistance Agreements, and
Consultant/Personal Services Standard Agreements:
a. Refer to each specific Exhibit F. Federal Terms and Conditions for the referenced contractual types.
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EXHIBIT B-2B (revised)
INSURANCE REOUIREMENTS FOR
STANDARD SERVICE CONTRACTS
BETWEEN $10,001 AND $50,000
hidemnitv
The Contractor shall indemnify, defend, and hold haess the County of Santa Clara (hereinafter
"County"), its officers, agents and employees from any claim, liability, loss, injury or damage
arising out of, or in coru'iection with, performance of this Agreement by Contractor and/or its agents,
employees or sub-contractors, excepting only loss, injury or damage caused by the sole negligence
or willful misconduct of personnel employed by the-County. It is the intent of the parties to this
Agreement to provide the broadest possible coverage for the County. The Contractor shall
reimburse the County for all costs, attorneys' fees, expenses and liabilities incurred with respect
to any litigation in which the Contractor contests its obligation to indemnify, defend and/or hold
harmless the County under this Agreement and does not prevail in that contest.
hisurance
Without limiting the Contractor's inden'inification of the County, the Contractor shall provide and
maintain at its own expense, duting the term of tis Agreement, or as may be further required
herein, the following insurance coverages and provisions:
A. Evidence of Coverage
Prior to commencement of this Agreement, the Contractor shall provide a Certificate of
Insurance certif5ring that coverage as required herein has been obtained. hidividual
endorsements executed by the insurance carrier shall accompany the certificate. In addition,
a ceitified copy of the policy or policies shall be provided by the Contractor upon request.
This verification of coverage shall be sent to the requesting County department, unless
otherwise directed. The Contractor shall not receive a Notice to Proceed with the work
under the Agreement until it has obtained all insurance required and such insurance has been
approved by the County. This approval of insurance shall neither relieve nor decrease the
liability of the Contractor.
B. 0ualifying Irmurers
All coverages, except surety, shall be issued by companies which hold a current policy
holder's alphabetic and financial size category rating of not less than A- V, according to the
current Best's Key Rating Guide or a company of equal financial stability that is approved
by the County's h'murance Manager.
Rev. 9/2016 1
EXHIBIT B-2B (revised)
C. Notice of Cancellation
All coverage as required herein shall not be canceled or changed so as to no longer meet
the specified County insurance requirements without 30 days' prior written notice of such
cancellation or change being delivered to the County of Santa Clara or their designated
agent.
D. Insurance Required
1.Commercial General Liability Insurance - for bodily injury (including death) and
property damage which provides limits as follows:
a. Each occurrence $500,000
b. General aggregate $500,000
c. Products/Completed Operations aggregate - $500,000
d. Persorial Injury $500,000
2.General liability coverage shall include:
a.Premises and Operations
b.Products/Completed
C.Personal hijuiy liability
d.Severability of interest
3.General liability coverage shall include the following endorsement, a copy of which
shall be provided to the County:
Additional Insured Endorsement, which shall read:
"County of Santa Clara, and members of the Board of Supervisors of
the County of Santa Clara, and the officers, agents, and employees of
the County of Santa Clara, individually and collectively, as additional
insureds."
Insurance afforded by the additional insured endorsement shall apply as pary
insurance, and other insurance maintained by the County of Santa Clara, its
officers, agents, and employees shall be excess only and not contributing with
insurance provided under this policy. Public Entities may also be added to the
ReV. 9/2016 2
EXHIBIT B-2B (revised)
additional insured endorsement as applicable and the contractor shall be notified by
the contracting departnnent of these requirements
Automobile Liability Insurance
For bodily injury (including death) and propeity damage which provides total limits
of not less than one hundred thousand dollars ($100,000) combined single limit per
occurrence applicable to all owned, non-owned and med vehicles.
4a. Afficraft/Watercraft Liability hisurance (Required if Contractor or any of its agents
or subcontractors will operate aircraft or watercraft in the scope of the Agreement)
For bodily injury (including death) and property damage which provides total limits
of not less than one hundred thousand dollars ($100,000) combined single limit per
occutrence applicable to all owned, non-owned and hired aircraft/watercraft.
Workers' Compensation and Employer's Liability Insurance
a.Statutory California Workers' Compensation coverage including broad form
all-states coverage.
b.Employer's Liability coverage for not less than one million dollars
($1,000,000) per occurrence
E. Special Provisions
The following provisions shall apply to this Agreement:
The foregoing requirements as to the types and limits of insurance coverage to be
maintained by the Contractor and any approval of said insurance by the County or
its insurance consultant(s) are not intended to and shall not in any manner limit or
qualify the liabilities and obligations otherwise assumed by the Contractor pursuant
to this Agreement, including but not liinited to the provisions concerning
indemnification.
The County acknowledges that some insurance requirements contained in this
Agreement may be fulfilled by self-insurance on the part of the Contractor.
However, this shall not in any way limit liabilities assumed by the Contractor under
this Agreement. Any self-insurance shall be approved in writing by the County
upon satisfactory evidence of financial capacity. Contractors obligation hereiu'ider
may be satisfied in whole or in part by adequately funded self-insurance programs
or self-insurance retentions.
Rev. 9/2016 3
EXHIBIT B-2B (revised)
Should any of the work under this Agreement be sublet, the Contractor shall require
each of its subcontractors of any tier to cairy the aforementioned coverages, or
Contractor may insure subcontractors under its own policies.
The County reserves the right to withhold payments to the Contractor in the event
of material noncompliance with the insurance requirements outlined above.
F. Fidelity Bonds (Required only if contractor will be receiving advanced fiuids or payments)
Before receiving compensation under this Agreement, Contractor will furnish
County with evidence that all officials, employees, and agents handling or having
access to funds received or disbursed under this Agreement, or authorized to sign or
countersign checks, are covered by a BLANKET FIDELITY BOND in an amount
of AT LEAST fifteen percent (15%) of the maximum financial obligation of the
County cited herein. If such bond is canceled or reduced, Contractor will notify
County immediately, and County may withhold further payment to Contractor until
proper coverage has been obtained. Failure to give such notice may be cause for
termination of this Agreement, at the option of County.
Rev. 9/2016 4