State agencies responsible for retail enforcement – 4/16/10

Q: The following Help Your Peers question from the Kentucky Tobacco Prevention and Cessation Program relates to the new RFP from FDA for tobacco retail inspections (RFP #FDA-10-Tobacco on www.fbo.gov). The FDA is requesting a proposal from one agency per state, noting that, "The agency must be an agency or subdivision of a state, territory, local, or tribal government that has the power to create, enforce, or administer rules or policies that govern the conduct of individuals or other private entities such as small businesses."

Kentucky would like to know how retail enforcement works in other states:

1. What agency is responsible for Synar enforcement in your state?
2. What agency performs routine random state compliance checks?
3. How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
4. If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?

A:

Editor’s note: Click here for a convenient summary table of states’ responses to this question. The full responses are listed below.

1. Arkansas:
• What agency is responsible for Synar enforcement in your state?
  The Synar inspections are conducted by the Arkansas Department of Human Services - Division of Behavioral Health Services – Alcohol and Drugs Abuse Prevention (ADAP).  These compliance checks are conducted for statistical purposes only – not for enforcement purposes.
   
• What agency performs routine random state compliance checks?
  Arkansas Tobacco Control (ATC) is a state law enforcement agency that is totally dedicated to tobacco enforcement.  To my knowledge, Arkansas is the only state in the nation with a dedicated state law enforcement agency for the enforcement of all tobacco laws.  ATC conducts over 5,000 compliance checks each year at approximately 3,650 permitted retail outlets.  Retails stores may receive monetary fines and have their permits suspended or revoked based on a graduated penalty scale.  Employees of retailers may receive up to $100 fine plus court costs.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  ATC is the responding agency for Arkansas.  Since ATC is the exclusive agency for the enforcement of all tobacco laws, it was a natural fit for ATC to also do the FDA enforcement.  ATC has the support of the Governor of the state of Arkansas as well as the support of the Arkansas Department of Health.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  In Arkansas, we are still working out the details of the proposal.  In Arkansas ADAP conducts compliance checks for the annual Synar survey and ATC conducts compliance checks for enforcement purposes.  At this time, we have not addressed how this will be handled in the future.
   
2. California:
• What agency is responsible for Synar enforcement in your state?
  California Department of Public Health, Food and Drug Branch.
   
• What agency performs routine random state compliance checks?
  Same agency listed above.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  The same agency listed above will be responding to the RFP – they are the appropriate agency to respond due to their role in conducting the Synar checks.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Yes, this agency is planning to conduct both of these tasks if they are funded by the FDA.
   
3. Indiana: The Alcohol and Tobacco Commission is the answer to all 4 of these questions for Indiana.
    
4. Iowa:
• What agency is responsible for Synar enforcement in your state?
  The Iowa Department of Public Health (IDPH) Division of Tobacco Use Prevention and Control is statutorily responsible for enforcing both Synar and the state law prohibiting tobacco sales to minors.
   
• What agency performs routine random state compliance checks?
  The Division contracts with the Alcoholic Beverages Division which, in turn, subcontracts with local law enforcement agencies to conduct the checks.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  IDPH will be responding to the FDA RFP.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  The details have yet to be determined, but we know at this point that IDPH will be responsible for enforcement of all three tobacco retail sales laws.  FDA enforcement will be done in-house at IDPH.  It remains to be seen if state and Synar enforcement will continue to be done through a contract with the Alcoholic Beverages Division or moved in-house beginning July 1 , 2010.
   
5. Michigan:
• What agency is responsible for Synar enforcement in your state?
  The Michigan Department of Community Health's Bureau of Substance Abuse and Addiction Services (BSAAS), Prevention Section
   
• What agency performs routine random state compliance checks?
  Same as above.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  Same as above.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Along with conducting FDA tobacco compliance checks, BSAAS will take the lead on enforcement of Section 907 and 911 of the TCA; however, the Tobacco Section at the Michigan Department of Community Health anticipates being the lead MDCH program for FDA FOAs issued in the future.
   
6. Minnesota:
• What agency is responsible for Synar enforcement in your state?
  MN Department of Human Services
   
• What agency performs routine random state compliance checks?
  Local municipal government, i.e., counties &/or cities towns are responsible for licensing tobacco retail outlets and for conducting compliance checks. No state agency performs routine random state compliance checks.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  TBD
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  TBD
   
7. Missouri:
• What agency is responsible for Synar enforcement in your state?
  The Missouri Department of Mental Health, Division of Alcohol and Drug Abuse has this responsibility
   
• What agency performs routine random state compliance checks?
  The Missouri Department of Public Safety, Tobacco Compliance Buy Program performs the compliance checks.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  The Missouri Department of Mental Health, Division of Alcohol and Drug Abuse is responding. As they already have the responsibility for Synar, it seemed logical that they would be responsible for these new tasks.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Although we have not worked with them on the RFP response, it is anticipated that their proposal will work within the current system so that FDA enforcement will work hand-in-hand with youth access enforcement.
   
8. New Hampshire:
• What agency is responsible for Synar enforcement in your state?
  SAMHSA/Bureau of Alcohol and Drug Services with a MOU with the Bureau of Liquor Enforcement
   
• What agency performs routine random state compliance checks?
  Bureau of Liquor Enforcement
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  Bureau of Alcohol and Drug Services had asked the Bureau of Liquor Enforcement to use a portion of funds to hire a grant writer
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Yes, with TA from NH TPCP
   
9. Nebraska:
• What agency is responsible for Synar enforcement in your state?
  The Nebraska Department of Health and Human Services, Division of Behavioral Health is responsible for ensuring that Synar enforcement is conducted
   
• What agency performs routine random state compliance checks?
  The Nebraska State Patrol, via a contract from the Nebraska Department of Health and Human Services Division of Behavioral Health, conducts the compliance checks.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  A number of agencies came together and discussed the RFP including the Tobacco Free NE Program, the Division of Behavioral Health (both programs within the NE Department of Health and Human Services,  the Nebraska Dept of Revenue, the Nebraska State Patrol and the Attorneys General Office.  The determination that was made was that due to the short time line, the strong likelihood of no state agency being able to hire any new employees to coordinate this effort, that we would wait until the next RFA came out so it was determined we would not submit a proposal at this time.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Even though NE is not currently applying, the discussion about coordination between Synar and FDA checks was discussed and the vision here would certainly be to have the Nebraska State Patrol do both Synar enforcement and compliance checks and the FDA enforcement as well.
   
10. Oklahoma:
• What agency is responsible for Synar enforcement in your state?
  The Alcoholic Beverage Laws Enforcement (ABLE) Commission
   
• What agency performs routine random state compliance checks?
  ABLE Commission and local law enforcement agencies
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  The ABLE Commission is the responding Agency. Substantial technical assistance is being provided by the State Department of Health and by the State Department of Mental Health and Substance Abuse Services.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Yes.
   
11. North Dakota:
• What agency is responsible for Synar enforcement in your state?
  Department of Human Services
   
• What agency performs routine random state compliance checks?
  Local public health (only if they have a youth ordinance)
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  TBD
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  N/A
   
12. South Dakota:
• What agency is responsible for Synar enforcement in your state?
  The Department of Human Services, Division of Alcohol and Drug Abuse (DHS-DADA).
   
• What agency performs routine random state compliance checks?
  DHS-DADA
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  DHS-DADA, since they were already responsible for Synar enforcement, it was determined that they were the logical choice.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Yes, but the actual enforcement and compliance checks are contracted.
   
13. Washington State:
• What agency is responsible for Synar enforcement in your state?
  Department of Social and Health Services is the Single State Authority and completes the Synar report to deliver to CSAP.  Department of Health creates the random sample of retailers and gives them to health departments to complete between January and June every year.  Their results are compiled by DOH and provided to DSHS for their Synar report.
   
• What agency performs routine random state compliance checks?
  Both local health departments and the state Liquor Control Board do compliance checks.  Any illegal sales are forwarded to LCB who can give retailers fines or suspensions and can fine clerks who sell as per statute RCW 70.155.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  Liquor Control Board will submit the application.  DOH is assisting with writing the application.
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  Washington State is looking at the potential to leverage FDA and Synar checks and may alter the responsibility of completing Synar checks to have them done by the same agency as FDA checks.
   
14. West Virginia:
• What agency is responsible for Synar enforcement in WV?
  Currently a dual role between State ABCA and Office of Behavioral Health Services (although OBHS is ultimately responsible for Synar).  See next question.
   
• What agency performs routine random state compliance checks?
  ABCA performs “year round checks” and is charged with maintaining a retailer education program; OBHS performs actual annual Synar compliance checks.
   
• How is your state dealing with the RFP - who is the responding agency, and how did you make the determination?
  Our Division of Tobacco Prevention (DTP) has put forth some thoughts and suggestions.  Some planning meetings facilitated by OBHS for the FDA enforcement application have apparently occurred (but our DTP was not officially involved in this meeting).
   
• If the agency responding to the RFP is the same one responsible for Synar enforcement and compliance checks, will the same agency continue to do both of these tasks plus FDA enforcement?
  As above.

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