Orlando, Florida January 8 & 9, 2002. Best Practices for Responsible Retailing Presented to the...

Orlando, Florida Orlando, Florida

January 8 & 9, 2002January 8 & 9, 2002

Best Practices for Best Practices for Responsible RetailingResponsible Retailing

Presented to the Responsible Retailing Forum

January 9, 2003Orlando, Florida

Presentation OverviewPresentation Overview

• Report Committee and Principal Readers

• Purpose of the Document• Model of Responsible Retailing• Intended Audience• Components of a Responsible –

Retailing Program– Retailer Component– Public Sector Component

• Knowledge Gaps

Report CommitteeReport Committee

• Brad S. Krevor, Ph.D.Brad S. Krevor, Ph.D.– Schneider Institute for Health Policy,

Heller School for Management and Social Policy, Brandeis University.

• John Capitman, Ph.D.John Capitman, Ph.D.– Schneider Institute for Health Policy,

Heller School for Management and Social Policy, Brandeis University.

• Joseph DiFranza, M.D.Joseph DiFranza, M.D.– Department of Family Medicine and

Community Health, University of Massachusetts Medical School

• Mark Willingham, DirectorMark Willingham, Director– Center for Tobacco and Alcohol

Access Prevention. C-TAAP

• Lee WilsonLee Wilson– Senior Public Health Advisor and

Government Project Officer, State and Community Systems Application Branch, Division of State and Community Systems Development, Center for Substance Abuse Prevention.

• Steve McElravySteve McElravy– Public Health Advisor, State and

Community Systems Application Branch, Division of State and Community Systems Development, Center for Substance Abuse Prevention.

Principal ReadersPrincipal Readers

• John AlbrechtJohn Albrecht– Senior Deputy Attorney General, Nevada

• John ArchardJohn Archard– Juvenile Tobacco Officer, Maine AG

• Jan ByrneJan Byrne– Education Coordinator, Alabama ABC

• Jean Forester, Ph.D.Jean Forester, Ph.D.– School of Public Health, Univ of

Minnesota

• Greg HewettGreg Hewett– Supervisor, Tobacco Prevention Program,

State of Maine

• Tom HoltTom Holt– Chief Operating Officer, Store 24

• Alan LiebermanAlan Lieberman– Assistant AG, California

• Rick PhillipsRick Phillips– Chief, Enforcement and Education

Division, Washington State Liquor Board

• Robert ReynoldsRobert Reynolds– Director, Center for Policy Analysis and

Training, PIRE.

• Steve St. ClairSteve St. Clair– Assistant AG, Iowa

• Randy St. JohnRandy St. John– Senior VP, Pennsylvania Food Merchants

Association

• Rolland W. TrayteRolland W. Trayte– Director, Loss Prevention, Phillips 66

Company

• Dan WalshDan Walsh– Unit Chief, STAKE Unit, California

Department of Health Services.

Background: Synar Statutory and Regulatory Requirements

Synar Amendment passed - 1992

Synar Regulation promulgated - 1996

•Required:

•State law making sale/ distribution of tobacco to minors illegal

•States to Enforce laws

Background: Synar Statutory and Regulatory Requirements

•Conduct annual, random, unannounced inspections- probability sample of outlets.

•Reduce retailer’s violation rate to no more than 20%.

•Submit an annual report detailing State activities to enforce laws.

•Penalty for noncompliance is 40% reduction in SAPT Block Grant

States’ Progress

•40.1 % violations in 1996 (weighted national average).

•Dropped to 16.3 % for inspections in 2001.

•Much collaboration was needed to accomplish this:

•SSAs for Substance Abuse Prevention and Treatment.

•Enforcement.

•In some States, Retailers.

Background: Best Practices for Background: Best Practices for Responsible Retailing ReportResponsible Retailing Report

• CSAP, the Federal agency which oversees Synar implementation and provides TA to the SSAs,

• Commissioned the Report on Best Practices for Responsible Retailing to assist States to reach their Synar targets and preserve funding for ATOD.

This report identifies the constituent parts of a comprehensive

Responsible Retailing ProgramResponsible Retailing Program designed to prevent the sale of

tobacco and other age restricted products to minors

Purpose of the ReportPurpose of the Report

• The Best Practices presented in the report are not pie-in-the-sky but rather practices or technologies that have shown promiseshown promise in preventing youth access to age restricted products through research or practice.

Model of Responsible RetailingModel of Responsible Retailing3 Distinct Elements of a Comprehensive Program

• Comprehensive Hiring and Training of Sales Personnel

• Policies for Store Managers and Owners• Active Public Sector Role

Intended AudienceIntended Audience

• Attorneys General

• Inspection and Enforcement Agencies

• Retailers and Retail Associations

• Single State Authority (SSA) for Substance Abuse.

• Other Stakeholders.

Components of a Responsible Retailing Program

• Retailer Components

• Public Sector Components

CSAP Model:CSAP Model:

Retailer ComponentsRetailer Components

Supervision and Accountability

Store Level

Hiring – Training – Point of Sale Practices

“Retailer Components”

CSAP Model

Store Level

Hiring Hiring

1. Hiring1. Hiring• Employees should be informed of importance

of compliance.• Employees should be screened for past

violations.• Background Check completed for violations &

contact with previous employers made.

Retailer Components

Sales Personnel Policies

1.1. HiringHiring

• Minimum 18 years old for clerks, possibly even 21 years old.

• Inform clerks that performance affects: – $alary, promotion, and retention.– Will be ongoing monitoring.– Violations will lead to disciplinary

action including discharge.

Retailer Components

CSAP Model

Store Level

Hiring – TrainingTraining

2. Training2. Training

• Before assuming any job duties:– employees should receive comprehensive

training in laws and company policies from an experienced and knowledgeable individual.

Retailer Components

2. Training 2. Training • At a minimum, the training should include:

– State, local, and federal laws on youth access. – Health and societal costs of tobacco use. – Company policies on youth access to tobacco

Retailer Components

2. Training2. Training • At a minimum, the training should include:

– Definition of tobacco products and where applicable, smoking paraphernalia that law or policy also restricts.

– Law and policy on requiring identification, acceptable forms of identification, and the age that triggers its request.

Retailer Components

• At a minimum, the training should include:– Specific age-verification protocols to ensure the

DOB is read and clearly understood, – And compared to a calendar or EAV device. – Employees should be taught that many sales do

occur when minors produce an ID showing them to be under age.

Retailer Components

• At a minimum, the training should include:– Verification of an ID’s

authenticity:• The features of an ID that must

be checked

• Tips on altered or misused ID

– What to do if the ID appears altered or misused.

– Expired IDs

Retailer Components

– Prescribed methods for • Asking for an ID

• When and how to ask for a second verifying ID

• Declining the sale for no ID or for underage.

• Declining the sale for an altered or improper ID

Retailer Components

– Recognizing and declining a 3rd party sale. – Declining sale of restricted paraphernalia– Resisting customer pressure and handling

abusive conduct.

Retailer Components

2. Training2. Training • Training should also include:

– Clear directives on seeking managerial assistance– Resistance to purchase attempts by peers and

friends. – Authority to refuse a sale– Written test of knowledge.– Written acknowledgement that employee has

received training and has read and understands policy and what is expected.

Retailer Components

3. Retraining3. Retraining • Retraining at least every 6 months to maintain

knowledge, skills, and motivation.• Provide review of employees and outlets

standing on compliance issues.

• Discussion of performance related goals relating to compliance.

Retailer Components

CSAP Model

Store Level

Hiring – Training - Point of SalePoint of Sale

PracticesPractices

Point of Sale Practices

1. Signage

2. Inspect ID s

3. Specialty Calendars

4. Checkout Scanners

5. Electronic Age Verification Devices

6. Clerk Assisted Sales

7. Video Cameras

8. Unusual Occurrence Logs

Retailer Components

1. SignageSignage

– In addition to local requirements,– Signs should be posted at store entrance

and at POS. Signs should also be posted at product displays

– Signs should announce age required for purchase and policy to request ID from anyone appearing below a certain age.

Retailer Components

2.2. Inspect ID s Inspect ID s

– ID anyone below 27*.– Inspect the ID.– Does it belong to the person, is it

authentic, is it valid, – Ask for a 2nd ID if in doubt.

Retailer Components

* Age 27 is a convenient hold-over from FDA regulations. Individual firms are free to establish their own age trigger except where state law establishes that age.

3. Specialty CalendarsSpecialty Calendars

• These calendars help the clerks “do the math” and are intended to reduce errors.

• Should be available at each cash register.

Retailer Components

4. Checkout ScannersCheckout Scanners

• Should be programmed to recognize tobacco products and prompt specific clerk actions. – Verify age– Enter DOB in the POS device,

scan the ID electronically, etc.

Retailer Components

5. Electronic Age Verification DevicesElectronic Age Verification Devices

• External devices that check the encoded information on ID s.

• Verify !

Retailer Components

6. Clerk Assisted SalesClerk Assisted Sales

• No self service*• No isolated vending machines

– Reduces theft– Reduces impulse buy attempts– Sets business tone.

Retailer Components

* Self-Service has been shown to be more likely to result in underage sales than clerk-assisted sales.

7. Video CamerasVideo Cameras

– Continuously videotape sales transactions.

– Gives the employee a reason to refuse sales (“I can lose my job”)

– Supports Management review.– Provides Protection for Clerk.

Retailer Components

8. Unusual Occurrence LogsUnusual Occurrence Logs

– To be reviewed by the manager and following shifts.

– Alerts them to attempted 3rd party sales, attempted thefts, etc.

Retailer Components

CSAP Model

Hiring – Training - Point of Sale Practices

Store Level

Supervisory PoliciesSupervisory Policies

“I told them not to sell without a valid ID”.

Telling is often not enough. Managers who fail to supervise bear much of the responsibility for non compliance.

Effective supervision protects both the store and the employees.

Retailer Components

Supervisory Practices

Supervisory PoliciesSupervisory Policies

“I told them not to sell without a valid ID”.

Effective Supervision Includes:1. Supervision and Accountability

A. Compliance Checks

2. Use of Videotapes

3. Employee Policies

Retailer Components

Supervisory Practices

1. Supervision and AccountabilitySupervision and Accountability

– New supervisors should receive intensive training on hiring, training, and retraining protocols.

– Understand the company philosophy on underage sales

– Should be directed to monitor staff compliance – Compliance should be a component of the

supervisor performance review (including compensation, promotion, retention and bonus

decisions)

Retailer Components

Supervisory Policies

1. Supervision and AccountabilitySupervision and Accountability

– Systems should be in place to ensure that employees are reminded of the importance of performing proper ID checks.

– One system is the use of internal compliance checks.

Retailer Components

1A. Internal Compliance Checks1A. Internal Compliance Checks• Implemented to ensure compliance with

store policies. – Conducted at varying times of the day no less than

every 6 months.– Use a person of legal age where required to test

store policy of requesting and reviewing an ID or a person under the legal age to test compliance with the check of ID and to determine if sales are being made in spite of the presentation of an ID.

Retailer Components

1A. Internal Compliance Checks1A. Internal Compliance Checks– Employees who fail should be notified

immediately, instructed in proper procedures, and cautioned.

– At the earliest practicable time should be given remedial training and targeted for subsequent inspections.

Retailer Components

1A. Internal Compliance Checks1A. Internal Compliance Checks

– Employees who pass and the immediate supervisor should be informed of the success and reminded that passing the tests is noted in the personnel file and taken into consideration on compensation, promotion, and retention.

Retailer Components

1A. Internal Compliance Checks1A. Internal Compliance Checks – Employees who pass and the immediate

supervisor should be informed of the success and reminded that passing the tests is noted in the personnel file and taken into consideration on compensation, promotion, and retention.

– Employee should also be presented with a tangible reward such as a cash bonus or comp time.

Retailer Components

2. Use of VideotapesUse of Videotapes

– For stores using video tapes, certain policies should be adapted.

• Tapes should be periodically reviewed by management

• Should cover a sufficient number of tobacco purchases by young looking customers to ensure compliance.

Retailer Components

– For stores using video tapes, certain policies should be adapted.

• Done in a manner that prevents employees from predicting when reviews will be done.

• Tied into to POS or EAV to date stamp and display the DOB when possible.

Retailer Components

– For stores using video tapes, Managers should provide feedback to employees and discuss the employee’s performance. Commendations, retraining, etc.

Retailer Components

3. Employee PoliciesEmployee Policies

– Companies should establish incentives and disincentives to reinforce company policies.

• Incentives can increase adoption and practice of desired policies and can include bonuses or time benefits.

Retailer Components

• Disincentives should be established for clerks who sell during compliance checks or fail to follow company policy.

Retailer Components

• Disincentives should be established for clerks who sell during compliance checks or fail to follow company policy.

• These may include repeating training, attending a non-company responsible retailing program, suspension without pay, demotion, or dismissal.

Retailer Components

CSAP ModelCSAP ModelPublic Sector ComponentsPublic Sector Components

Role of Public AgenciesRole of Public Agencies

Community Based Model: Responsible Retailing Coalitions

Role of Community Coalitions

• Catalyze Community Support

• Provide Resources

• Provide Additional Feedback to Retailers

• Overcome Barriers to Responsible Retailing

Technologies for Responsible RetailingTechnologies for Responsible Retailing

• The practices identified earlier in this presentation can be viewed as Technologies for Responsible Retailing.

• Those include technologies for:– electronically reading IDs and calculating age.– for the training of interpersonal skills to minimize

conflict with customers.– and even managerial technologies for monitoring

point of sale practices.

Public Sector Component

Technologies for Responsible Technologies for Responsible RetailingRetailing

Technologies are only effective if they are widely adopted and employed as intended. The challenge is not only to identify and adopt these technologies, but to incorporate them into organizational behaviors.

Public Agencies have an important role in Public Agencies have an important role in bringing about these organizational bringing about these organizational changes and in the adoption of these changes and in the adoption of these technologies.technologies.

1. Insisting that retailers affect change to improve compliance.

2. Assisting retailers in implementing changes.

Enforcement is the driving force for responsible retailing that impels retailers to alter practices to produce higher levels of compliance (Insist).

Public sector must also find ways to assist retailers identify and adopt RR technology and to effect organizational change.

One way the Public Sector can assist retailers One way the Public Sector can assist retailers is through support of Responsible Retailing is through support of Responsible Retailing

CoalitionsCoalitions

Law enforcement will recognize this responsible – retailing model as an adaptation of Community Policing.

Community Based Model

Responsible Retailing CoalitionsResponsible Retailing Coalitions

• Community Policing. – Rigorous enforcement is indispensable for

achieving high compliance, however, relying only on punitive measures against noncompliant businesses produces limited and short term gains.

Responsible Retailing CoalitionsResponsible Retailing Coalitions• Community Policing.

– Rigorous enforcement is indispensable for achieving high compliance, however, relying only on punitive measures against noncompliant businesses produces limited and short term gains.

– Community policing brings public safety and enforcement agentsenforcement agents into direct dialog with the regulated industryregulated industry and broader communitybroader community to identify problems and barriers to high compliance from the perspectives of all stakeholders.

Responsible Retailing CoalitionsResponsible Retailing Coalitions

• RRC can embody the public sector’s role in insisting and assisting compliance– Made up of retailers, law enforcement, public

health, and community partners. – Community coalitions use a problem – solving

approach to RR technologies and ensure their successful integration into retail practice.

– Can focus on barriers that impede community wide implementation rather than on individual violations.

Community Based Model

Role of Community CoalitionsRole of Community Coalitions

1. Catalyze Community Support

2. Provide Resources

3. Provide Additional Feedback to Retailers

4. Overcome Barriers to Responsible Retailing

1. Catalyze Community Support• The public health consequences of youth

tobacco use and addiction is clearly the basis for bringing retailers, enforcers, public health, and communities together.

1. Catalyze Community Support• The public health consequences of youth

tobacco use and addiction is clearly the basis for bringing retailers, enforcers, public health, and communities together.

• A Responsible - Retailing Coalition regards the retailer as a corporate citizen and part of the community concerned about the health and welfare of its youth.

1. Catalyze Community Support• Given the high turnover among clerks and the

additional youth who move from occasional to regular purchasers of tobacco products every day, a coalition of community stakeholders is a means to sustain continuous responsible retailing efforts.

2. Provide Resources:• Some retailers may have internal resources to

establish and support effective RR efforts, • Others may need assistance.

CC Can:

• Provide summaries of State and local laws.

• Identify best practices.• Conduct an examination of

appropriate community standards.

• Create log of non-compliant clerks for background checks.

• Provide acknowledgement of laws and responsibilities to be signed by clerks.

• Provide specialty calendars• Assist with EAV Technology• Facilitate training for clerks,

managers, and owners including roll playing.

• Provide signage

2. Provide Resources

– CC can augment law enforcement resources by conducting additional compliance inspections to determine compliance which is then provided to retailers. (This is especially useful when resources are limited of there are legal constraints).

3. Provide Additional Feedback to Retailers:

– Coalitions may assist by recruiting youth who are used by both law enforcement and retailers.

– Frequent compliance inspections provide detailed information on how successful retailers have been in instructing, reinforcing, and supervising their employees.

4. Help Overcome Barriers to Responsible Retailing.

A. Work Force Issues

B. Limited Enforcement Resources

C. Resourcefulness of Adolescent Tobacco

Users.

A: Work Force Issues– Turnover rates are high– Non-committed clerks may be less motivated to follow

company policy, especially when in a confrontational situation.

– Even well trained employees may make mistakes when lines are long and stores crowded.

– Underage customers quickly learn which clerks will sell to them and which shifts they work.

• Community Coalitions can alert retailers to these problems and help develop solutions.

4. Overcoming Barriers to Responsible Retailing4. Overcoming Barriers to Responsible Retailing

B: Limited Enforcement Resources– Merchant education alone or the passage of

laws alone has only modest effect on compliance rates.

– Enforcement of laws dramatically increases compliance and graduated penalties leading to revocation stimulate retailers to take remedial steps to avoid future violations.

4. Overcoming Barriers to Responsible Resources4. Overcoming Barriers to Responsible Resources

B: Limited Enforcement Resources– Enforcement agencies seldom conduct

compliance inspections frequently enough to alter clerk behavior directly (due in part to high turnover).

– Enforcement agencies must rely on retailers to train and supervise employees in responsible retailing protocols.

• CC can work together to provide training and oversight. (especially when L.E. and retailers are included)

C: Resourcefulness ofC: Resourcefulness of Adolescent Tobacco Users. Adolescent Tobacco Users.

A barrier to supply-side youth access reduction is that one or two outlets in a community may supply all the tobacco that youth require.

Some aggressive enforcement may simply displace illegal sales.

C: Resourcefulness ofC: Resourcefulness of Adolescent Tobacco Users. Adolescent Tobacco Users.

Community coalitions, especially those that include youth, are better able to identify youth acquisition patterns within the community and help focus efforts toward non-compliant retailers.

Knowledge GapsKnowledge Gaps

Identification and adoption of practices to eliminate sale to minors are inhibited by a dearth of research on the effectiveness of

responsible retailing.

Identification and adoption of practices to eliminate sale to minors are inhibited by a dearth of research on the effectiveness of responsible retailing.

The following questions and issues were identified as knowledge gaps deserving of investigation and scientific research.

• Should RR programs contain health content on the consequences of tobacco use?

• What is the impact of broad community involvement on RR?

• What are the optimal methods for training employees?

• What is the impact of store signage?

• Should the laws and enforcement schemes related to youth access to tobacco and alcohol be made more congruent?

• What are the appropriate roles and effective use of retailer incentives?

• What are the costs associated with implementing RR programs?

Breakout session moderated by Dr. John CapitmanDr. John Capitman

will provide an opportunity to discuss and prioritize these and other questions.

The End

Questions ?

CSAP Model

Hiring – Training – Point of Sale Practices

Store Level Community Level

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