Comments

New Jersey - 1

State of New Jersey
Comments on Draft FFY 17 Annual Synar Report
Department of Health
Office of Tobacco Control, Nutrition and Fitness
The State of New Jersey, Department of Health, Office of Tobacco Control, Nutrition
and Fitness (OTCNF), the agency responsible for Synar enforcement inspections, has
reviewed the 2017 Synar report, acknowledges the question revisions and does not
anticipate any complications in completing the report.
•

The only comment pertains to Appendix C question 4. Describe the type of
products that are requested during Synar inspections. It is noted that Electronic
Cigarettes/ Electronic Nicotine Delivery Systems (ENDS) has been added to the list
of tobacco products. OTCNF has interpreted that it will be our responsibility to
develop protocol/parameters regarding the number or percentage of ENDS products
that will be requested during the Synar inspections. The State of New Jersey already
has a statute that prohibits the sale of ENDS and other tobacco products to anyone
under 19 years old.

Department of Human Services
Division of Mental Health and Addiction Services
The Department of Human Services, Division of Mental Health and Addiction Services,
the state agency overseeing the Synar requirements has the following comments.
•

The following mailing address on page ii should be updated to the new SAMHSA
mailing address on Fishers Lane.
Regular Mail:
Overnight Mail:
1 Choke Cherry Road, Rm.7-1091
1 Choke Cherry Road, Rm.7-1091
Rockville, Maryland 20857
Rockville, Maryland 20850

•

On page 7, hanging “f.” should be deleted.

•

Synar Survey Methods and Results question #6 a. Describe how and when was this
change communicated to SAMHSA, applies if yes was the answer to the previous
question. We suggest that the question begin with: “If Yes” (i.e. If Yes, describe how
and when was this change communicated to SAMHSA.).

•

Synar Survey Methods and Results question #8. We suggest that the word
“Sampling” be added to questions 8a and 8b.
8.

Did the state’s Synar survey use a list frame?
Yes

No

If Yes, answer the following questions about its coverage.
a. The calendar year of the latest Sampling frame coverage study:

New Jersey - 2

b. Percent coverage from the latest Sampling frame coverage study:
•

Synar Survey Methods and Results question #9 a. Describe how and when was this
change communicated to SAMHSA, applies if yes was the answer to the previous
question. We suggest that the question begin with: “If Yes” (i.e. If Yes, describe
how and when was this change communicated to SAMHSA.).

ANNUAL SYNAR REPORT
42 U.S.C. 300x-26
OMB № 0930-0222

FFY 2017
State:

0

Table of Contents

Introduction ...................................................................................................................................... i
FFY 2017: Funding Agreements/Certifications...............................................................................1
Section I: FFY 2016 (Compliance Progress) ...................................................................................2
Section II: FFY 2017 (Intended Use).............................................................................................10
Appendix A: Forms 1–5.................................................................................................................11
Appendixes B & C: Forms.............................................................................................................18
Appendix B: Synar Survey Sampling Methodology .....................................................................19
Appendix C: Synar Survey Inspection Protocol Summary............................................................22
Appendix D: List Sampling Frame Coverage Study .....................................................................25

OMB No. 0930-0222
Expiration Date: 05/31/2016
Public Burden Statement: An agency may not conduct or sponsor, and a person is not required to respond
to, a collection of information unless it displays a currently valid OMB control number. The OMB
control number for this project is 0930-0222. Public reporting burden for this collection of information is
estimated to average 18 hours per respondent, per year, including the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data needed, and completing and reviewing
the collection of information. Send comments regarding this burden estimate or any other aspect of this
collection of information, including suggestions for reducing this burden, to SAMHSA Reports Clearance
Officer, 1 Choke Cherry Road, Room 2-1057, Rockville, Maryland, 20857.

INTRODUCTION
The Annual Synar Report (ASR) format provides the means for states to comply with the
reporting provisions of the Public Health Service Act (42 U.S.C. 300x-26) and the Tobacco
Regulation for the Substance Abuse Prevention and Treatment Block Grant (SABG) (45 C.F.R.
96.130 (e)).
How the Synar report helps the Center for Substance Abuse Prevention
In accordance with the tobacco regulations, states are required to provide detailed information on
progress made in enforcing youth tobacco access laws (FFY 2016 Compliance Progress) and
future plans to ensure compliance with the Synar requirements to reduce youth tobacco access
rates (FFY 2017 Intended Use Plan). These data are required by 42 U.S.C. 300x-26 and will be
used by the Secretary to evaluate state compliance with the statute. Part of the mission of the
Center for Substance Abuse Prevention (CSAP) is to assist states 1 by supporting Synar activities
and providing technical assistance helpful in determining the type of enforcement measures and
control strategies that are most effective. This information is helpful to CSAP in improving
technical assistance resources and expertise on enforcement efforts and tobacco control program
support activities, including state Synar program support services, through an enhanced technical
assistance program involving conferences and workshops, development of training materials and
guidance documents, and onsite technical assistance consultation.
How the Synar report can help states
The information gathered for the Synar report can help states describe and analyze substate needs
for program enhancements. These data can also be used to report to the state legislature and
other state and local organizations on progress made to date in enforcing youth tobacco access
laws when aggregated statistical data from state Synar reports can demonstrate to the Secretary
the national progress in reducing youth tobacco access problems. This information will also
provide Congress with a better understanding of state progress in implementing Synar, including
state difficulties and successes in enforcing retailer compliance with youth tobacco access laws.

1

The term “state” is used to refer to all the states and territories required to comply with Synar as part of the
Substance Abuse Prevention and Treatment Block Grant Program requirements (42 U.S.C. 300x-64 and 45 C.F.R.
96.121).

i

Getting assistance in completing the Synar report
If you have questions about programmatic issues, you may call CSAP’s Division of State
Programs at (240) 276-2550 and ask for your respective State Project Officer, or contact your
State Project Officer directly by telephone or email. If you have questions about fiscal or grants
management issues, you may call the Grants Management Officer, Office of Financial
Resources, Division of Grants Management, at (240) 276-1422.
Where and when to submit the Synar report
The ASR must be received by SAMHSA no later than December 31, 2016 and must be
submitted in the format specified by these instructions. Use of the approved format will avoid
delays in the review and approval process. The chief executive officer (or an authorized
designee) of the applicant organization must sign page one of the ASR certifying that the state
has complied with all reporting requirements.
The state must upload one copy of the ASR using the online WebBGAS (Block Grant
Application System). In addition, the following items must be uploaded to WebBGAS:
•

FFY 2017 Synar Survey Results: States that use the Synar Survey Estimation
System (SSES) must upload one copy of SSES Tables 1–5 (in Excel) to
WebBGAS. States that do not use SSES must upload one copy of ASR Forms 1,
4, and 5, and Forms 2 and 3, if applicable, (in Excel), as well as a database with
the raw inspection data to WebBGAS.

•

Synar Inspection Form: States must upload one blank copy of the inspection form
used to record the result of each Synar inspection.

•

Synar Inspection Protocol: States must upload a copy of the protocol used to train
inspection teams on conducting and reporting the results of the Synar inspections.
This document should be different than the Appendix C attached to the Annual
Synar Report

•

A scanned copy of the signed Funding Agreements/Certifications

Each state SSA Director has been emailed a login ID and password to log onto the Synar section
of the WebBGAS site.
Additionally, the state must submit one signed original of the report (including the signed
Funding Agreements/Certifications), as well as one additional copy of the signed Funding
Agreements/Certifications, to the Grants Management Officer at the address below:
Grants Management Officer
Division of Grants Management
Office of Financial Resources
Substance Abuse and Mental Health Services Administration
Regular Mail:

Overnight Mail:

1 Choke Cherry Road, Rm.7-1091
Rockville, Maryland 20857

1 Choke Cherry Road, Rm.7-1091
Rockville, Maryland 20850
ii

iii

FFY 2017: FUNDING AGREEMENTS/CERTIFICATIONS
The following form must be signed by the Chief Executive Officer or an authorized designee and
submitted with this application. Documentation authorizing a designee must be attached to the
application.
PUBLIC HEALTH SERVICES ACT AND SYNAR AMENDMENT
42 U.S.C. 300x-26 requires each state to submit an annual report of its progress in meeting the
requirements of the Synar Amendment and its implementing regulation (45 C.F.R. 96.130) to the Secretary
of the Department of Health and Human Services. By signing below, the chief executive officer (or an
authorized designee) of the applicant organization certifies that the state has complied with these reporting
requirements and the certifications as set forth below.
SYNAR SURVEY SAMPLING METHODOLOGY
The state certifies that the Synar survey sampling methodology on file with the Center for Substance
Abuse Prevention and submitted with the Annual Synar Report for FFY 2017 is up-to-date and approved
by the Center for Substance Abuse Prevention.
SYNAR SURVEY INSPECTION PROTOCOL
The state certifies that the Synar Survey Inspection Protocol on file with the Center for Substance Abuse
Prevention and submitted with the Annual Synar Report for FFY 2017 is up-to-date and approved by the
Center for Substance Abuse Prevention.
State:
Name of Chief Executive Officer or Designee:
Signature of CEO or Designee:

Title:

Date Signed:
If signed by a designee, a copy of the designation must be attached.

1

FFY: 2017 State:

SECTION I: FFY 2016 (Compliance Progress)
YOUTH ACCESS LAWS, ACTIVITIES, AND ENFORCEMENT
42 U.S.C. 300x-26 requires the states to report information regarding the sale/distribution of
tobacco products to individuals under age 18.
1. Please indicate any changes or additions to the state tobacco statute(s) relating to youth
access since the last reporting year. If any changes were made to the state law(s) since
the last reporting year, please attach a photocopy of the law to the hard copy of the
ASR and also upload a copy of the state law to WebBGAS. (see 42 U.S.C. 300x-26).
a. Has there been a change in the minimum sale age for tobacco products?
Yes

No

If Yes, current minimum age:

19

20

21

b. Have there been any changes in state law that impact the state’s protocol for
conducting Synar inspections?
Yes

No

If Yes, indicate change. (Check all that apply.)
Changed to require that law enforcement conduct inspections of tobacco outlets
Changed to make it illegal for youth to possess, purchase or receive tobacco
Changed to require ID to purchase tobacco
Changed definition of tobacco products
Other change(s) (Please describe.)
c. Have there been any changes in state law that impact the following?
Licensing of tobacco vendors
Penalties for sales to minors
Vending machines
Added additional product
Categories to youth access law

Yes
Yes
Yes

No
No
No

Yes

No

2. Describe how the Annual Synar Report (see 45 C.F.R. 96.130(e)) and the state Plan (see
42 U.S.C. 300x-51) were made public within the state prior to submission of the ASR.
(Check all that apply.)
Placed on file for public review
Posted on a state agency Web site (Please provide exact Web address and the date
when the FFY 2016 ASR was posted to this Web address.)
Web address:
Date published:
Notice published in a newspaper or newsletter
Public hearing
2

Announced in a news release, a press conference, or discussed in a media interview
Distributed for review as part of the SABG application process
Distributed through the public library system
Published in an annual register
Other (Please describe.)
3. Identify the following agency or agencies (see 42 U.S.C. 300x-26 and 45 C.F.R. 96.130).
a. The state agency (ies) designated by the Governor for oversight of the Synar
requirements:

Has this changed since last year’s Annual Synar Report?
Yes

No

b. The state agency(ies) responsible for conducting random, unannounced Synar
inspections:

Has this changed since last year’s Annual Synar Report?
Yes

No

c. The state agency(ies) responsible for enforcing youth tobacco access law(s):

Has this changed since last year’s Annual Synar Report?
Yes

No

4. Identify the following agencies and describe their relationship with the agency
responsible for the oversight of the Synar requirements.
a. Identify the state agency responsible for tobacco prevention activities (the
agency that receives the Centers for Disease Control and Prevention’s National
Tobacco Control Program funding).

b. Has the responsible agency changed since last year’s Annual Synar Report?
Yes
No
c. Describe the coordination and collaboration that occur between the agency
responsible for tobacco prevention and the agency responsible for oversight of
the Synar requirements. (Check all that apply.) The two agencies
Are the same
Have a formal written memorandum of agreement
Have an informal partnership
3

Conduct joint planning activities
Combine resources
Have other collaborative arrangement(s) (Please describe.)
No relationship
d. Does a state agency contract with the Food and Drug Administration’s Center
for Tobacco Products (FDA/CTP) to enforce the youth access and advertising
restrictions in the Family Smoking Prevention and Tobacco Control Act?
Yes
No (if no, go to Question 5)
e. If yes, identify the state agency responsible for enforcing the youth access and
advertising restrictions in the Family Smoking Prevention and Tobacco
Control Act (the agency that is under contract to the Food and Drug
Administration’s Center for Tobacco Products (FDA/CTP)).
______________________________________________________________
f. Has the responsible agency changed since last year’s Annual Synar Report?
Yes
No
g. Describe the coordination and collaboration that occur between the agency
contracted with the FDA to enforce federal youth tobacco access laws and the
agency responsible for oversight of the Synar requirements. (Check all that
apply.) The two agencies:
Are the same
Have a formal written memorandum of agreement
Have an informal partnership
Conduct joint planning activities
Combine resources
Have other collaborative arrangement(s) (Please describe.)
No relationship
h. Does the state use data from the FDA enforcement inspections for Synar
survey reporting?
Yes
No

4

5. Please answer the following questions regarding the state’s activities to enforce the
state’s youth access to tobacco law(s) in FFY 2015 (see 42 U.S.C. 300x-26 and 45 C.F.R.
96.130(e)).
a. Which one of the following describes the enforcement of state youth access to
tobacco laws carried out in your state? (Check one category only.)
Enforcement is conducted exclusively by local law enforcement agencies.
Enforcement is conducted exclusively by state agency (ies).
Enforcement is conducted by both local and state agencies.

5

b. The following items concern penalties imposed for all violations of state youth
access to tobacco laws by LOCAL AND/OR STATE LAW ENFORCEMENT
AGENCIES (this does not include enforcement of local laws or federal youth
tobacco access laws). Please fill in the number requested. If state law does not
allow for an item, please mark “NA” (not applicable). If a response for an item
is unknown, please mark “UNK.” The chart must be filled in completely.
PENALTY

OWNERS

CLERKS

TOTAL

Number of citations issued
Number of fines assessed
Number of permits/licenses suspended
Number of permits/licenses revoked
Other (Please describe.)

c. Are citations or warnings issued to retailers or clerks who sell tobacco to
minors for inspections that are part of the Synar survey?
Yes

No

If “Yes” to 5c, please describe the state’s procedure for minimizing risk of bias to
the survey results from retailers alerting each other to the presence of the survey
teams:

d. Which one of the following best describes the level of enforcement of state youth
access to tobacco laws carried out in your state? (Check one category only.)
Enforcement is conducted only at those outlets randomly selected for the Synar
survey.
Enforcement is conducted only at a subset of outlets not randomly selected for
the Synar survey.
Enforcement is conducted at a combination of outlets randomly selected for the
Synar survey and outlets not randomly selected for the Synar survey.
e. Did every tobacco outlet in the state receive at least one compliance check that
included enforcement of the state youth tobacco access law(s) in the last year?
Yes

No

f. What additional activities are conducted in your state to support enforcement
and compliance with state youth tobacco access law(s)? (Check all that apply
and briefly describe each activity in the text boxes below each activity.)
Merchant education and/or training

6

Incentives for merchants who are in compliance (e.g., nonenforcement
compliance checks in which compliant retailers are given positive reinforcement
and noncompliant retailers are warned about youth access laws)

Community education regarding youth access laws

Media use to publicize compliance inspection results

Community mobilization to increase support for retailer compliance with youth
access laws

Other activities (Please list.)

f.

7

SYNAR SURVEY METHODS AND RESULTS
The following questions pertain to the survey methodology and results of the Synar survey used
by the state to meet the requirements of the Synar Regulation in FFY 2015 (see 42 U.S.C. 300x26 and 45 C.F.R. 96.130).
6. Has the sampling methodology changed from the previous year?
Yes

No

The state is required to have an approved up-to-date description of the Synar sampling
methodology on file with CSAP. Please submit a copy of your Synar Survey Sampling
Methodology (Appendix B). If the sampling methodology changed from the previous
reporting year, these changes must be reflected in the methodology submitted.
a. Describe how and when was this change was communicated to SAMHSA

7. Please answer the following questions regarding the state’s annual random,
unannounced inspections of tobacco outlets (see 45 C.F.R. 96.130(d)(2)).
a. Did the state use the optional Synar Survey Estimation System (SSES) to
analyze the Synar survey data?
Yes

No

If Yes, attach SSES summary tables 1, 2, 3, and 4 to the hard copy of the ASR and
upload a copy of SSES tables 1–5 (in Excel) to WebBGAS. Then go to Question 8.
If No, continue to Question 7b.
b. Report the weighted and unweighted Retailer Violation Rate (RVR) estimates,
the standard error, accuracy rate (number of eligible outlets divided by the
total number of sampled outlets), and completion rate (number of eligible
outlets inspected divided by the total number of eligible outlets).
Unweighted RVR
Weighted RVR
Standard error (s.e.) of the (weighted) RVR
Fill in the blanks to calculate the right limit of the right-sided 95% confidence
interval.
+
RVR Estimate

plus

(1.645
(1.645

×
times

)
Standard Error )

=
equals

Right Limit

Accuracy rate
Completion rate

8

c. Fill out Form 1 in Appendix A (Forms 1–5). (Required regardless of the sample
design.)
d. How were the (weighted) RVR estimate and its standard error obtained?
(Check the one that applies.)
Form 2 (Optional) in Appendix A (Forms 1–5) (Attach completed Form 2.)
Other (Please specify. Provide formulas and calculations or attach and explain
the program code and output with description of all variable names.)

e. If stratification was used, did any strata in the sample contain only one outlet
or cluster this year?
Yes

No

No stratification

If Yes, explain how this situation was dealt with in variance estimation.

f. Was a cluster sample design used?
Yes

No

If Yes, fill out and attach Form 3 in Appendix A (Forms 1–5), and answer the
following question.
If No, go to Question 7g.
Were any certainty primary sampling units selected this year?
Yes

No

If Yes, explain how the certainty clusters were dealt with in variance estimation.

g. Report the following outlet sample sizes for the Synar survey.
Sample Size
Effective sample size (sample size needed to meet the SAMHSA precision
requirement assuming simple random sampling)

Target sample size (the product of the effective sample size and the design
effect)

Original sample size (inflated sample size of the target sample to counter the
sample attrition due to ineligibility and noncompletion)

Eligible sample size (number of outlets found to be eligible in the sample)
Final sample size (number of eligible outlets in the sample for which an
inspection was completed)

h. Fill out Form 4 in Appendix A (Forms 1–5).

9

8. Did the state’s Synar survey use a list frame?
Yes

No

If Yes, answer the following questions about its coverage.
a. The calendar year of the latest frame coverage study:
b. Percent coverage from the latest frame coverage study:
c. Was a new study conducted in this reporting period?
Yes

No

If Yes, please complete Appendix D (List Sampling Frame Coverage Study)
and submit it with the Annual Synar Report.
d. The calendar year of the next coverage study planned:
9. Has the Synar survey inspection protocol changed from the previous year?
Yes

No

The state is required to have an approved up-to-date description of the Synar inspection
protocol on file with CSAP. Please submit a copy of your Synar Survey Inspection Protocol
(Appendix C). If the inspection protocol changed from the previous year, these changes must
be reflected in the protocol submitted.
a. Describe how and when was this change was communicated to SAMHSA
b. Provide the inspection period: From

to

MM/DD/YY MM/DD/YY

c. Provide the number of youth inspectors used in the current inspection year:
NOTE: If the state uses SSES, please ensure that the number reported in 9b matches
that reported in SSES Table 4, or explain any difference.

d. Fill out and attach Form 5 in Appendix A (Forms 1–5). (Not required if the state
used SSES to analyze the Synar survey data.)

10

SECTION II: FFY 2017 (Intended Use):
Public law 42 U.S.C. 300x-26 of the Public Health Service Act and 45 C.F.R. 96.130 (e) (4, 5)
require that the states provide information on future plans to ensure compliance with the Synar
requirements to reduce youth tobacco access.
1. In the upcoming year, does the state anticipate any changes in:
Synar sampling methodology
Synar inspection protocol

Yes
Yes

No
No

If changes are made in either the Synar sampling methodology or the Synar inspection
protocol, the state is required to obtain approval from CSAP prior to implementation of the
change and file an updated Synar Survey Sampling Methodology (Appendix B) or an updated
Synar Survey Inspection Protocol (Appendix C), as appropriate.
2. Please describe the state’s plans to maintain and/or reduce the target rate for Synar
inspections to be completed in FFY 2017. Include a brief description of plans for law
enforcement efforts to enforce youth tobacco access laws, activities that support law
enforcement efforts to enforce youth tobacco access laws, and any anticipated changes
in youth tobacco access legislation or regulation in the state.

3. Describe any challenges the state faces in complying with the Synar regulation. (Check
all that apply and describe each challenge in the text box below it.)
Limited resources for law enforcement of youth access laws

Limited resources for activities to support enforcement and compliance with youth
tobacco access laws

Limitations in the state youth tobacco access laws

Limited public support for enforcement of youth tobacco access laws

Limitations on completeness/accuracy of list of tobacco outlets

Limited expertise in survey methodology

11

Laws/regulations limiting the use of minors in tobacco inspections

Difficulties recruiting youth inspectors

Issues regarding the balance of inspections conducted by youth inspectors age 15
and under

Issues regarding the balance of inspections conducted by one gender of youth
inspectors

Geographic, demographic, and logistical considerations in conducting inspections

Cultural factors (e.g., language barriers, young people purchasing for their elders)

Issues regarding sources of tobacco under tribal jurisdiction

Other challenges (Please list.)

12

APPENDIX A: FORMS 1–5
FORM 1 (Required for all states not using the Synar Survey Estimation System (SSES) to analyze
the Synar Survey data)
Complete Form 1 to report sampling frame and sample information and to calculate the unweighted
retailer violation rate (RVR) using results from the current year’s Synar survey inspections.
Instructions for Completing Form 1: In the top right-hand corner of the form, provide the state name
and reporting federal fiscal year (FFY 2017). Provide the remaining information by stratum if
stratification was used. Make copies of the form if additional rows are needed to list all the strata.
Column 1: If stratification was used:
1(a) Sequentially number each row.
1(b) Write in the name of each stratum. All strata in the state must be listed.
If no stratification was used:
1(a) Leave blank.
1(b) Write “state” in the first row (indicates that the whole state is a single stratum).
Note for unstratified samples: For Columns 2–5, wherever the instruction refers to “each
stratum,” report the specified information for the state as a whole.
Column 2: 2(a) Report the number of over-the-counter (OTC) outlets in the sampling frame in each
stratum.
2(b) Report the number of vending machine (VM) outlets in the sampling frame in each
stratum.
2(c) Report the combined total of OTC and VM outlets in the sampling frame in each stratum.
Column 3: 3(a) Report the estimated number of eligible OTC outlets in the OTC outlet population in
each stratum.
3(b) Report the estimated number of eligible VM outlets in the VM outlet population in each
stratum.
3(c) Report the combined total estimated number of eligible OTC and VM outlets in the total
outlet population in each stratum.
The estimates for Column 3 can be obtained from the Synar survey sample as the weighted
sum of eligible outlets by outlet type.
Column 4: 4(a) Report the number of eligible OTC outlets for which an inspection was completed, for
each stratum.
4(b) Report the numbers of eligible VM outlets for which an inspection was completed, for
each stratum.
4(c) Report the combined total of eligible OTC and VM outlets for which an inspection was
completed, for each stratum.
Column 5: 5(a) Report the number of OTC outlets found in violation of the law as a result of completed
inspections, for each stratum.
5(b) Report the number of VM outlets found in violation of the law as a result of completed
inspections, for each stratum.
5(c) Report the combined total of OTC and VM outlets found in violation of the law as a
result of completed inspections, for each stratum.
Totals:

For each subcolumn (a–c) in Columns 2–5, provide totals for the state as a whole in the last
row of the table. These numbers will be the sum of the numbers in each row for the respective
column.

13

FORM 1 (Required for all states not using the Synar Survey Estimation System [SSES] to analyze the Synar Survey data.)

Summary of Synar Inspection Results by Stratum
State:
FFY: 2017
(1)

(2)

(3)

(4)

(5)

STRATUM

NUMBER OF OUTLETS IN
SAMPLING FRAME

ESTIMATED NUMBER OF
ELIGIBLE OUTLETS IN
POPULATION

NUMBER OF OUTLETS
INSPECTED

NO. OF OUTLETS FOUND IN
VIOLATION DURING
INSPECTIONS

(a)
Row #

(b)
Stratum
Name

(a)
Over-theCounter
(OTC)

(b)
Vending
Machines
(VM)

(c)
Total
Outlets
(2a+2b)

(a)
Over-theCounter
(OTC)

(b)
Vending
Machines
(VM)

(c)
Total
Outlets
(3a+3b)

(a)
Over-theCounter
(OTC)

(b)
Vending
Machines
(VM)

(c)
Total
Outlets
(4a+4b)

(a)
Over-theCounter
(OTC)

(b)
Vending
Machines
(VM)

(c)
Total
Outlets
(5a+5b)

RECORD COLUMN TOTALS ON LAST LINE (LAST PAGE ONLY IF MULTIPLE PAGES ARE NEEDED).

14

FORM 2 (Optional)
Appropriate for stratified simple or systematic random sampling designs.
Complete Form 2 to calculate the weighted RVR. This table (in Excel form) is designed to calculate the
weighted RVR for stratified simple or systematic random sampling designs, accounting for ineligible
outlets and noncomplete inspections encountered during the annual Synar survey.
Instructions for Completing Form 2: In the top right-hand corner of the form, provide the state name
and reporting federal fiscal year (FFY 2017).
Column 1:

Write in the name of each stratum into which the sample was divided. These should match
the strata reported in Column 1(b) of Form 1.

Column 2:

Report the number of outlets in the sampling frame in each stratum. These numbers should
match the numbers reported for the respective strata in Column 2(c) of Form 1.

Column 3:

Report the original sample size (the number of outlets originally selected, including
substitutes or replacements) for each stratum.

Column 4:

Report the number of sample outlets in each stratum that were found to be eligible during
the inspections. Note that this number must be less than or equal to the number reported in
Column 3 for the respective strata.

Column 5:

Report the number of eligible outlets in each stratum for which an inspection was
completed. Note that this number must be less than or equal to the number reported in
Column 4. These numbers should match the numbers reported in Column 4(c) of Form 1
for the respective strata.

Column 6:

Report the number of eligible outlets inspected in each stratum that were found in
violation. These numbers should match the numbers reported in Column 5(c) of Form 1 for
the stratum.

Column 7:

Form 2 (in Excel form) will automatically calculate the stratum RVR for each stratum in
this column. This is calculated by dividing the number of inspected eligible outlets found
in violation (Column 6) by the number of inspected eligible outlets (Column 5). The state
unweighted RVR will be shown in the Total row of Column 7.

Column 8:

Form 2 (in Excel form) will automatically calculate the estimated number of eligible
outlets in the population for each stratum. This calculation is made by multiplying the
number of outlets in the sampling frame (Column 2) times the number of eligible outlets
(Column 4) divided by the original sample size (Column 3). Note that these numbers will
be less than or equal to the numbers in Column 2.

Column 9:

Form 2 (in Excel form) will automatically calculate the relative stratum weight by dividing
the estimated number of eligible outlets in the population for each stratum in Column 8 by
the Total of the values in Column 8.

Column 10:

Form 2 (in Excel form) will automatically calculate each stratum’s contribution to the state
weighted RVR by multiplying the stratum RVR (Column 7) by the relative stratum weight
(Column 9). The weighted RVR for the state will be shown in the Total row of Column 10.

Column 11:

Form 2 (in Excel form) automatically calculates the standard error of each stratum’s RVR
(Column 7). The standard error for the state weighted RVR will be shown in the Total row
of Column 11.

TOTAL:

For Columns 2–6, Form 2 (in Excel form) provides totals for the state as a whole in the last
row of the table. For Columns 7–11, it calculates the respective statistic for the state as a
whole.

15

FORM 2 (Optional) Appropriate for stratified simple or systematic random sampling designs.
Calculation of Weighted Retailer Violation Rate
State:
FFY: 2017

(1)
Stratum
Name

(2)
N
Number of
Outlets
in Sampling
Frame

(3)
n
Original
Sample Size

(4)
n1
Number of
Sample
Outlets
Found
Eligible

(5)
n2
Number of
Outlets
Inspected

(6)
x
Number of
Outlets Found
in Violation

(7)
p=x/n2
Stratum
Retailer
Violation
Rate

(8)
N’=N(n1/n)
Estimated
Number of
Eligible
Outlets in
Population

(9)
w=N’/Total
Column 8
Relative
Stratum
Weight

(10)
pw
Stratum
Contribution
to State
Weighted
RVR

(11)
s.e.
Standard
Error of
Stratum RVR

Total
N n n1 n2 x p N’ w pw s.e. -

number of outlets in sampling frame
original sample size (number of outlets in the original sample)
number of sample outlets that were found to be eligible
number of eligible outlets that were inspected
number of inspected outlets that were found in violation
stratum retailer violation rate (p=x/n2)
estimated number of eligible outlets in population (N’=N*n1/n)
relative stratum weight (w=N’/Total Column 8)
stratum contribution to the weighted RVR
standard error of the stratum RVR

16

FORM 3 (Required when a cluster design is used for all states not using the Synar Survey
Estimation System [SSES] to analyze the Synar survey data.)
Complete Form 3 to report information about primary sampling units when a cluster design was used for
the Synar survey.
Instructions for Completing Form 3: In the top right-hand corner of the form, provide the state name
and reporting federal fiscal year (FFY 2017).
Provide information by stratum if stratification was used. Make copies of the form if additional rows are
needed to list all the strata.
Column 1:

Sequentially number each row.

Column 2:

If stratification was used: Write in the name of stratum. All strata in the state must be
listed.
If no stratification was used: Write “state” in the first row to indicate that the whole state
constitutes a single stratum.

Column 3:

Report the number of primary sampling units (PSUs) (i.e., first-stage clusters) created for
each stratum.

Column 4:

Report the number of PSUs selected in the original sample for each stratum.

Column 5:

Report the number of PSUs in the final sample for each stratum.

TOTALS:

For Columns 3–5, provide totals for the state as a whole in the last row of the table.
Summary of Clusters Created and Sampled
State:
FFY: 2017

(1)
Row #

(3)
Number of PSUs
Created

(2)
Stratum Name

(4)
Number of PSUs
Selected

(5)
Number of PSUs
in the Final
Sample

Total

17

FORM 4 (Required for all states not using the Synar Survey Estimation System [SSES] to analyze
the Synar Survey data)
Complete Form 4 to provide detailed tallies of ineligible sample outlets by reasons for ineligibility and
detailed tallies of eligible sample outlets with noncomplete inspections by reasons for noncompletion.
Instructions for Completing Form 4: In the top right-hand corner of the form, provide the state name
and reporting federal fiscal year (FFY 2017).
Column 1(a):

Enter the number of sample outlets found ineligible for inspection by reason for
ineligibility. Provide the total number of ineligible outlets in the row marked “Total.”

Column 2(a):

Enter the number of eligible sample outlets with noncomplete inspections by reason for
noncompletion. Provide the total number of eligible outlets with noncomplete inspections
in the row marked “Total.”
Inspection Tallies by Reason of Ineligibility or Noncompletion
State:
FFY: 2017
(1)
INELIGIBLE

(2)
ELIGIBLE
(a)
Counts

Reason for Ineligibility

(a)
Counts

Reason for Noncompletion

Out of business

In operation but closed at time of visit

Does not sell tobacco products

Unsafe to access

Inaccessible by youth

Presence of police

Private club or private residence

Youth inspector knows salesperson

Temporary closure

Moved to new location

Unlocatable

Drive-thru only/youth inspector has no
driver’s license

Wholesale only/Carton sale only

Tobacco out of stock

Vending machine broken

Ran out of time

Duplicate

Other noncompletion reason(s) (Describe.)

Other ineligibility reason(s) (Describe.)

Total

Total

18

FORM 5 (Required for all states not using the Synar Survey Estimation System [SSES] to analyze
the Synar survey data)
Complete Form 5 to show the distribution of outlet inspection results by age and gender of the youth
inspectors.
Instructions for Completing Form 5: In the top right-hand corner of the form, provide the state name
and reporting federal fiscal year (FFY 2017).
Column 1:

Enter the number of attempted buys by youth inspector age and gender.

Column 2:

Enter the number of successful buys by youth inspector age and gender.

If the inspectors are age eligible but the gender of the inspector is unknown, include those inspections in
the “Other” row. Calculate subtotals for males and females in rows marked “Male Subtotal” and “Female
Subtotal.” Sum subtotals for Male, Female, and Other and record in the bottom row marked “Total.”
Verify that that the total of attempted buys and successful buys equals the total for Column 4(c) and
Column 5(c), respectively, on Form 1. If the totals do not match, please explain any discrepancies.
Synar Survey Inspector Characteristics
State:
FFY: 2017
(1)
Attempted Buys

(2)
Successful Buys

Male
15 years
16 years
17 years
18 years
Male Subtotal

Female
15 years
16 years
17 years
18 years
Female Subtotal
Other
Total

19

APPENDIXES B & C: FORMS
Instructions
Appendix B (Sampling Design) and Appendix C (Inspection Protocol) are to reflect the state’s
CSAP-approved sampling design and inspection protocol. These appendixes, therefore, should
generally describe the design and protocol and, with the exception of Question #10 of Appendix
B, are not to be modified with year-specific information. Please note that any changes to either
appendix must receive CSAP’s advance, written approval. To facilitate the state’s completion of
this section, simply cut and paste the previously approved sampling design (Appendix B) and
inspection protocol (Appendix C).

20

APPENDIX B: SYNAR SURVEY SAMPLING METHODOLOGY
State:
FFY: 2017
1. What type of sampling frame is used?
List frame (Go to Question 2.)
Area frame (Go to Question 3.)
List-assisted area frame (Go to Question 2.)
2. List all sources of the list frame. Indicate the type of source from the list below. Provide
a brief description of the frame source. Explain how the lists are updated (method),
including how new outlets are identified and added to the frame. In addition, explain
how often the lists are updated (cycle). (After completing this question, go to Question 4.)
Use the corresponding number to indicate Type of Source in the table below.
1 – Statewide commercial business list
4 – Statewide retail license/permit list
2 – Local commercial business list
5 – Statewide liquor license/permit list
3 – Statewide tobacco license/permit list
6 – Other

Name of Frame Source

Type of
Source

Description

Updating Method and Cycle

3. If an area frame is used, describe how area sampling units are defined and formed.

a. Is any area left out in the formation of the area frame?
Yes

No

If Yes, what percentage of the state’s population is not covered by the area frame?
%
4. Federal regulation requires that vending machines be inspected as part of the Synar
survey. Are vending machines included in the Synar survey?
Yes

No

If No, please indicate the reason(s) they are not included in the Synar survey. Please check
all that apply.
State law bans vending machines.
State law bans vending machines from locations accessible to youth.
21

State has a contract with the FDA and is actively enforcing the vending machine
requirements of the Family Smoking Prevention and Tobacco Control Act.
Other (Please describe.)
If Yes, please indicate how likely it is that vending machines will be sampled.

Vending machines are sampled separately to ensure vending machines are included
in the sample
Vending machines are sampled together with over the counter outlets, so it is
possible that no vending machines were sampled, however they are included in the
sampling frame and have a non-zero probability of selection
Other reasons (Please describe.)
5. Which category below best describes the sample design? (Check only one.)
Census (STOP HERE: Appendix B is complete.)
Unstratified statewide sample:
Simple random sample (Go to Question 9.)
Systematic random sample (Go to Question 6.)
Single-stage cluster sample (Go to Question 8.)
Multistage cluster sample (Go to Question 8.)
Stratified sample:
Simple random sample (Go to Question 7.)
Systematic random sample (Go to Question 6.)
Single-stage cluster sample (Go to Question 7.)
Multistage cluster sample (Go to Question 7.)
Other (Please describe and go to Question 9.)
6. Describe the systematic sampling methods. (After completing Question 6, go to Question 7
if stratification is used. Otherwise go to Question 9.)

7. Provide the following information about stratification.
a. Provide a full description of the strata that are created.

b. Is clustering used within the stratified sample?
Yes (Go to Question 8.)
No (Go to Question 9.)

22

8. Provide the following information about clustering.
a. Provide a full description of how clusters are formed. (If multistage clusters are
used, give definitions of clusters at each stage.)

b. Specify the sampling method (simple random, systematic, or probability
proportional to size sampling) for each stage of sampling and describe how the
method(s) is (are) implemented.

9. Provide the following information about determining the Synar Sample.
a. Was the Synar Survey Estimation System (SSES) used to calculate the sample
size?
Yes (Respond to part b.)
No (Respond to part c and Question 10c.)
b. SSES Sample Size Calculator used?
State Level
(Respond to Question 10a.)
Stratum Level
(Respond to Question 10a and 10b.)
c. Provide the formulas for determining the effective, target, and original outlet
sample sizes.

10. Provide the following information about sample size calculations for the current FFY
Synar survey.
a. If the state uses the sample size formulas embedded in the SSES Sample Size
Calculator to calculate the state level sample size, please provide the following
information:
Inputs for Effective Sample Size:
RVR:
Frame Size:
Input for Target Sample Size:
Design Effect:
Inputs for Original Sample Size:
Safety Margin:
Accuracy (Eligibility) Rate:
Completion Rate:
23

b. If the state uses the sample size formulas embedded in the SSES Sample Size
Calculator to calculate the stratum level sample sizes, please provide the
stratum level information:

c. If the state does not use the sample size formulas embedded in the SSES
Sample Size Calculator, please provide all inputs required to calculate the
effective, target, and original sample sizes as indicated in Question 9.

24

APPENDIX C: SYNAR SURVEY INSPECTION PROTOCOL SUMMARY
State:
FFY: 2017
Note: Upload to WebBGAS a copy of the Synar inspection form under the heading “Synar
Inspection Form” and a copy of the protocol used to train inspection teams on conducting and
reporting the results of the Synar inspections under the heading “Synar Inspection Protocol.”
1. How does the state Synar survey protocol address the following?
a. Consummated buy attempts?
Required
Permitted under specified circumstances (Describe:

)

Not permitted
b. Youth inspectors to carry ID?
Required
Permitted under specified circumstances (Describe:

)

Not permitted
c. Adult inspectors to enter the outlet?
Required
Permitted under specified circumstances (Describe:

)

Not permitted
d. Youth inspectors to be compensated?
Required
Permitted under specified circumstances (Describe:

)

Not permitted
2. Identify the agency(ies) or entity(ies) that actually conduct the random, unannounced
Synar inspections of tobacco outlets. (Check all that apply.)
Law enforcement agency(ies)
State or local government agency(ies) other than law enforcement
Private contractor(s)
Other
List the agency name(s):

25

3. Are Synar inspections combined with law enforcement efforts (i.e., do law enforcement
representatives issue warnings or citations to retailers found in violation of the law at
the time of the inspection?)?
Always

Usually

Sometimes

Rarely

Never

4. Describe the type of tobacco products that are requested during Synar inspections.
a.

What type of tobacco products are requested during the inspection?
Cigarettes
Small Cigars
Cigarillos
Smokeless Tobacco
Electronic Cigarettes/Electronic Nicotine Delivery Systems (ENDS)
Other

b. Describe the protocol for identifying what types of products and what brands
of products are requested during an inspection.

5a. Describe the methods used to recruit, select, and train adult supervisors.

5b. Describe the methods used to recruit, select, and train youth inspectors.

6. Are there specific legal or procedural requirements instituted by the state to address
the issue of youth inspectors’ immunity when conducting inspections?
a. Legal
Yes

No

(If Yes, please describe.)

b. Procedural
Yes

No

(If Yes, please describe.)

7. Are there specific legal or procedural requirements instituted by the state to address
the issue of the safety of youth inspectors during all aspects of the Synar inspection
process?
a. Legal
26

Yes

No

(If Yes, please describe.)

b. Procedural
Yes

No

(If Yes, please describe.)

8. Are there any other legal or procedural requirements the state has regarding how
inspections are to be conducted (e.g., age of youth inspector, time of inspections,
training that must occur)?
a. Legal
Yes

No

(If Yes, please describe.)

b. Procedural
Yes

No

(If Yes, please describe.)

27

APPENDIX D: LIST SAMPLING FRAME COVERAGE STUDY
(LIST FRAME ONLY)
State:
FFY: 2017
1. Calendar year of the coverage study:
2.

a.
b.
c.
d.

Unweighted percent coverage found:
%
Weighted percent coverage found:
%
Number of outlets found through canvassing:
Number of outlets matched on the list frame:

3.

a. Describe how areas were defined. (e.g., census tracts, counties, etc.)

b. Were any areas of the state excluded from sampling?
Yes

No

If Yes, please explain.

4. Please answer the following questions about the selection of canvassing areas.
a. Which category below best describes the sample design? (Check only one.)
Census (Go to Question 6.)
Unstratified statewide sample:
Simple random sample (Respond to Part b.)
Systematic random sample (Respond to Part b.)
Single-stage cluster sample (Respond to Parts b and d.)
Multistage cluster sample (Respond to Parts b and d.)
Stratified sample:
Simple random sample (Respond to Parts b and c.)
Systematic random sample (Respond to Parts b and c.)
Single-stage cluster sample (Respond to Parts b, c, and d.)
Multistage cluster sample (Respond to Parts b, c, and d.)
Other (Please describe and respond to Part b.)

b. Describe the sampling methods.
28

c. Provide a full description of the strata that were created.

d. Provide a full description of how clusters were formed.

5. Were borders of the selected areas clearly identified at the time of canvassing?
Yes

No

6. Were all sampled areas visited by canvassing teams?
Yes (Go to Question 7.)

No (Respond to Parts a and b.)

a. Was the subset of areas randomly chosen?
Yes

No

b. Describe how the subsample of visited areas was drawn. Include the number of
areas sampled and the number of areas canvassed.

7. Were field observers provided with a detailed map of the canvassing areas?
Yes

No

If No, describe the canvassing instructions given to the field observers.

8. Were field observers instructed to find all outlets in the assigned area?
Yes

No

If No, respond to Question 9.
If Yes, describe any instructions given to the field observers to ensure the entire area was
canvassed, then go to Question 10.

9. If a full canvassing was not conducted:
a. How many predetermined outlets were to be observed in each area?
b. What were the starting points for each area?
c. Were these starting points randomly chosen?
Yes

No

d. Describe the selection of the starting points.
29

e. Please describe the canvassing instructions given to the field observers,
including predetermined routes.

10. Describe the process field observers used to determine if an outlet sold tobacco.

11. Please provide the state’s definition of “matches” or “mismatches” to the Synar
sampling frame? (i.e., address, business name, business license number, etc).

12. Provide the calculation of the weighted percent coverage (if applicable).

30

STATE OF WASHINGTON

DEPARTMENT OF SOCIAL AND HEALTH SERVICES
Behavioral Health Administration
Division of Behavioral Health and Recovery
PO Box 45330, Olympia, WA 98504-5330

February 19, 2016

Ms. Summer King, SAMHSA CC Coordinator
SAMHSA Reports Clearance Office
Room 2-1057
1 Choke Cherry Road
Rockville, MD 20857
Dear Ms. King:
Thank you for the opportunity to provide comment regarding the updated Synar Report questions
and format. Washington State’s comments are below.
Comments on Revision:
Content Changes
Questions 6 and 9: It is unclear what is expected to be submitted in the sub-question.
Annual Reporting Burden Table
Hours per response: It is unclear if this number represents time spent completed the Annual
Report only, or if it accounts for time spent on the preparation and execution of the Coverage
Survey as well as completion of the Annual Report. Please see section (b) below for discussion
on the burden of hours to complete Washington State’s Synar Annual Report.
Comments requested:
a) Whether the proposed collections of information are necessary for the proper
performance of the functions of the agency, including whether the information shall
have practical utility.
Documentation of compliance rates to track changes over time is useful.
b) The accuracy of the agency's estimate of the burden of the proposed collection of
information.
Three agencies contributed to the Washington State Synar Annual Report: Department of
Health, Liquor and Cannabis Board, and Department of Social and Health Services,
Division of Behavioral Health and Recovery

Ms. Summer King, SAMHSA CC Coordinator
February 19, 2016
Page 2

As shown below, the burden of time between these two agencies (was unable to gather
estimated burden of time from the Liquor and Cannabis Board) was much higher than
reported in the Annual Reporting Burden found in the Comment Request. Below is an
estimate of burden by activity:





Coverage Study – 170 hours (including preparation and survey of 18 census tracts
(525 store fronts) surveyed by 2-3 person teams)
Annual Report – 65 hours
Data Preparation and Tracking - 140 hours
Total = approximately 375 hours

c) Ways to enhance the quality, utility, and clarity of the information to be collected.
The report form formatting was difficult to use.
d) Ways to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques or other forms of
information technology.
Burden of collection time could be decreased if a report form was made more user
friendly. Additionally, it would be helpful if documents could be deleted from
WebBGAS system prior to submission (for example if a wrong version is loaded it could
be taken down prior to submission).
Sincerely,

Sarah Mariani
Behavioral Health Administrator
By email
Cc:

Chris Imhoff, Director, DBHR
Michael Langer, Office Chief, DBHR

District of Columbia - Department of Behavioral Health
Substance Use Disorder Services
Synar Report Comments
Clarification Changes
•

•

Question 1 and its subsections are on point based on discussion held in focus
groups and will enable the District to address the sales of electronic tobacco
products (i.e., e-cigarettes).
The change under Section II: Question 3 will enable the District to explain the
specific challenges (if any) that are faced with implementation of Synar and
to request technical assistance to address these challenges in the future.

Content Changes
•

Question 4 “Vending Machine” Inclusion – Agree with the content change
which allows states to explain why vending machines were not included in
the sample. In the District there is only one remaining vending machine that
sells tobacco products (located in an adult club).

From:
To:
Cc:
Subject:
Date:
Attachments:

Frazier, Collin B (DHS)
King, Summer (SAMHSA/OPPI)
Wagner, Jennifer (SAMHSA/CSAP)
Proposed changes to the ASR
Thursday, December 31, 2015 9:44:25 AM
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image002.png
image003.png
image004.png
image005.png
image006.png
image007.png

Summer

I oversee the Synar program for Minnesota.  I have reviewed the proposed revisions to the ASR in
the Federal register & they all seem to make sense to me.  Feedback just FYI.

Collin

Collin Frazier, Supervisor, Tobacco Prevention and Control Section
Minnesota Department of Human Services, Alcohol and Drug Abuse Division
P.O. Box 64977 St. Paul, MN 55164-0977
651 431-2341 (office) 301-633-5946 (cell) [email protected]

Healthy People, Stable Families, Strong Communities  | mn.gov/dhs | 

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