Instructions for Completing the FFY 2006 Annual Synar Report

**Introduction**

This brief set of instructions for completing the FFY 2006 Annual Synar
Report was developed by the Substance Abuse and Mental Health Services
Administration's (SAMHSA), Center for Substance Abuse Prevention (CSAP),
in an effort to provide assistance to States and U.S. Territories
(hereafter referred to as States) in completing the FFY 2006 Synar
reporting requirements.

Please note that the Synar Survey Estimation System (SSES) has been
upgraded. The new version (SSES2.1) of the software is being made
available with the FY 2006 Annual Synar Report application. As you know,
the SSES is an optional software tool developed by CSAP to assist States
in analyzing and reporting their annual Synar survey results. In FY2005,
38 States used the SSES and SAMHSA found that the use of SSES
significantly streamlined and improved Synar reporting and review
activities. If SSES2.1 is used, it will produce all of the required
forms and some additional required information. This is further
described in Question 7 of the following instructions. SAMHSA's goal is
for all States to use the SSES by FY 2007. To accomplish this goal,
SAMHSA is offering SSES technical assistance to the States. Please
contact your SAMHSA/CSAP State Project Officer if you need SSES
technical assistance.

We recognize the effort that States invest in completing their Annual
Synar Reports and hope the enclosed guidance information will facilitate
this process. We encourage all States to contact their SAMHSA/CSAP
Project Officer if other questions arise as they complete their SAPT
Block Grant applications.

**Completing the Annual Synar Report (ASR)**

SAMHSA/CSAP recommends that States use the ASR checklist provided to the
States to ensure all elements of the Annual Synar Report have been
completed prior to submitting the report to SAMHSA/CSAP.

When completing the report, please carefully follow all *italicized*
directions in the ASR. Please note that the specific questions and
sub-questions each State must answer are dependent on the State-specific
methodology used to conduct the Synar survey. The report contains skip
patterns designed to adapt the report to meet your particular State
reporting requirements. Please carefully follow all skip patterns
embedded in the questions and answer all appropriate questions
consistent with your State's circumstances.

The electronic Word document version of the FFY2006 ASR utilizes Check
Box Form Field Options. In order to properly use this feature, double
click on the box you wish to check, select the "Checked" option under
Default Value, Click on "OK".

After completing the ASR electronically, States should accept all
changes, if the Track Changes feature was used, and save this as final
before submitting the document to CSAP. Any electronic version of the
ASR submitted by the State should include the State name or two-letter
USPS State/Territory Abbreviation first in the file name. If changes are
made to a part of the ASR, please resubmit the entire revised document
with the appropriate date revised in the file name and in the header of
the document.

# ASR Signature on Funding Agreements/Certifications

The FFY 2006: Funding Agreements/Certifications form must be signed by
the Chief Executive Officer (i.e., State representative authorized by
the Governor to sign the Substance Abuse Prevention and Treatment Block
Grant (SAPT) application) or an authorized designee. The signed Funding
Agreements/Certifications form must be submitted with the State's FY
2006 Annual Synar Report. If a designee signs the form, documentation
authorizing a designee must be attached to the application. ASRs are not
considered complete if they are not signed and dated by the Chief
Executive Officer or a designee. Electronic copies of ASRs submitted
should still have the Funding Agreements/Certifications section
completed with the Name, Title, and Date Signed boxes completed.

**[ASR Section I: (Compliance Progress)]{.underline}**

The Compliance Progress year is the year immediately prior to the
current FFY SAPT Block Grant Application. For example, if the report is
for FFY 2006, the State should report on activities taking place during
the FFY 2005 year.

**ASR Question 1**

> *State Tobacco Legislation:* In addition to monitoring each State's
> progress, SAMHSA/CSAP is tracking youth access to tobacco and other
> tobacco-related legislation throughout the United States and U.S.
> Territories. Additional legislation regarding tobacco control may
> support State efforts to reduce youth access to tobacco products.
> SAMHSA/CSAP will be able to use the information gathered about State
> laws to provide technical assistance to States.

-   Please respond yes or no to Questions 1a-d. If the response is yes,
    follow the direction in italics asking for more information.

-   If any changes in the specified State law(s) have occurred in FFY
    2004, please attach a photocopy of the State law(s).

**ASR Question 2**

> *Publicizing the Annual Synar Report:* As stipulated in the
> implementing regulation, States are required to make public the Annual
> Synar Report, prior to submission to SAMHSA/CSAP, which provides an
> opportunity for public comment about the implementation of States'
> youth tobacco access laws.

-   Please check all applicable boxes describing how the ASR was made
    public.

**ASR Question 3**

> *Identify Lead Agencies:* As State programs are periodically
> reorganized, SAMHSA/CSAP requires that the State specifies the State
> agencies involved in [implementing Synar]{.underline} requirements.

-   Please identify the agencies specified in Question 3a-c and mark
    whether the agency has changed since the previous reporting year.

**ASR Question 4**

> *Tobacco Prevention and Control Agency:* Often it is difficult for
> SAMHSA/CSAP to ascertain which State agencies are [responsible for
> tobacco control]{.underline} in the State.

-   Please identify the agency(s) responsible for tobacco
    prevention/control activities and mark whether this agency has
    changed since the previous reporting year.

> *Coordination and Collaboration with Lead Synar Agency:* SAMHSA/CSAP
> is often asked about the nature of coordination that occurs between
> the Synar program and the State tobacco control agency. Responses to
> this question will help SAMHSA/CSAP better understand the nature of
> collaboration that is occurring within States.

-   Please check all applicable boxes in Question 4a that best identify
    coordination and collaboration efforts between the agencies
    specified in Question 3a and the agency specified in Question 4.

**ASR Question 5**

> *Enforcement of Youth Tobacco Access Laws:* Synar legislation requires
> States to enforce their youth access to tobacco laws. For questions
> 5a-c, please clarify how the State conducts enforcement.

-   Please check the applicable box in Question 5a that best describes
    the agencies that enforce the State's youth tobacco laws.

-   Please complete the table (Question 5b) specifying the number of
    penalties (citations, fines, permits/licenses suspended,
    permits/licenses revoked) imposed for violations of youth access to
    tobacco laws. If the data are unavailable or not applicable, please
    check the appropriate box. If the data are available, report in the
    appropriate box whether these penalties were assessed against owners
    or clerks**. Please note that to comply with the Synar Legislation
    and its implementing regulation, the State must report on the number
    of citations issued.**

-   Please check all applicable boxes (Question 5c) that best identify
    the additional activities conducted in your State to support
    enforcement and compliance with State tobacco access laws and in two
    to three paragraphs describe each of the checked activities in the
    space provided.

**ASR Question 6**

> *Sampling Methodology:* The State is required to have an approved
> up-to-date description of the Synar sampling methodology on file with
> CSAP.

-   Please indicate by checking the appropriate box whether the sampling
    methodology changed since the previous reporting year.

-   Please submit a copy of your CSAP approved 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.

**ASR Question 7**

> *Results of the Synar survey:* States have the option to use the SSES
> or another method to analyze survey results.

-   Indicate, by checking the appropriate box, whether the State used
    the SSES to analyze the Synar survey data (Question 7a)

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-   If the State [used the SSES]{.underline} to analyze the Synar survey
    data:

-   Attach SSES summary tables 1, 2, 3, and 4 to the report and;

-   Go to Question 8.

-   If the State [did not use the SSES]{.underline} to analyze the Synar
    survey:

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-   Answer Questions 7b-h.

-   For Question 7b, provide appropriate statistics in the blank spaces;

-   For Question 7c, attach *Form 1 (required)* filled out by following
    instructions provided in the ASR;

-   For Question 7d, if Form 2 (for stratified sampling designs only)
    was used, check the first box and attach *Form 2 (Optional)* filled
    out by following instructions provided in the ASR. If a method other
    than Form 2 was used, or if Form 2 cannot be used due to the
    complexity of the sampling design (e.g., single stage or two stage
    cluster sampling designs), please provide all formulas and
    calculations [OR]{.underline} attach and clearly explain the program
    code and output with descriptions of all variable names used in the
    program;

-   For Question 7e, check the appropriate box, Provide an explanation
    if "yes" box is checked;

-   For Question 7f, if a cluster design was used for the Synar survey,
    complete *Form 3* by following instructions provided in the ASR;

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-   For the table in Question 7g, report the outlet sample sizes for the
    Synar survey;

-   For Question 7h, following instructions provided in the ASR, fill
    out and attach *Form 4 (required)* 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.

**ASR Question 8**

> *List Frame*

-   Indicate, by checking the appropriate box, whether the State's Synar
    survey used a list frame (i.e., selected the sample from a list of
    outlets).

-   If the State used a list frame:

-   Complete Questions 8a-d.

-   If a new coverage study (i.e., study to evaluate the completeness of
    the list frame) was conducted in this reporting period, complete and
    submit *Appendix D*.

-   If the State did not use a list frame:

-   Go to Question 9

**ASR Question 9**

> *Inspection Protocol:* The State is required to have an approved
> up-to-date description of the Synar inspection protocol on file with
> CSAP.

-   Please indicate by checking the appropriate box whether the
    inspection protocol changed since the previous reporting year.

-   Please submit a copy of your Synar Survey inspection protocol
    (*Appendix C*), which has been approved by CSAP. If the inspection
    protocol changed from the previous reporting year, these changes
    must be reflected in the methodology submitted.

-   Provide the inspection period for the Synar survey (Question 9a).

-   Provide the number of youth inspectors used in the current
    inspection year (Question 9b).

-   Complete *Form 5* by following the instructions provided in the ASR
    to report the number of inspections (attempted buys) as well as the
    number of violations (successful buys) that occurred by age and
    gender of the youth inspectors. *SSES automatically produces the
    information in Form 5. If SSES was used to analyze the Synar survey
    data, Form 5 is not required.*

**[ASR Section II (Intended Use)]{.underline}**

The Intended Use year is the year (FFY 2006) for which SAPT funds are
being requested.

**ASR Question 1**

> *Anticipated Changes*

-   Indicate, by checking the appropriate boxes, whether the State
    anticipates any changes in the Synar sampling methodology and
    inspection protocol.

-   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 changes and file an updated
    Synar Survey Sampling Methodology (Appendix B) or an updated Synar
    Survey Inspection Protocol (Appendix C).

**ASR Question 2**

> *State Plan*

-   Please, in two to three paragraphs, describe the State's planned
    activities to maintain the RVR at or below the target rate for the
    upcoming year. Describe plans for law enforcement efforts and
    supporting activities to enforce youth tobacco access laws, and any
    anticipated changes in youth tobacco access legislation or
    regulation in the State.

**ASR Question 3**

> *Challenges*

-   Please check all applicable boxes that describe challenges the State
    faces in complying with the Synar requirements.

-   Include, in the space provided, a brief description of all selected
    challenges.