**ANNUAL SYNAR REPORT**

**42 U.S.C. 300x-26**

**OMB № 0930-0222**

**\[State\]**

**FFY 2007**

U.S. DEPARTMENT OF HEALTH AND HUMAN
SERVICES![](media/image1.png){width="0.9430555555555555in"
height="1.0166666666666666in"}

Substance Abuse and Mental Health Services Administration

Center for Substance Abuse Prevention

www.samhsa.gov

**Table of Contents**

Introduction ii

Funding Agreements/Certifications 1

Section I: FFY 2006 (Compliance Progress) 2

Section II: FFY 2007 (Intended Use) 8

Appendix A: Forms 10

Appendix B: Synar Survey Sampling Methodology 18

Appendix C: Synar Survey Inspection Protocol 21

Appendix D: List Sampling Frame Coverage Study 23

##### 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 SAPT Block Grant
(45 C.F.R. 96.130 (e)).

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 with an expiration date of 08/31/2007. Public reporting burden
for the collection of information is estimated to average 15 hours for
Section I and 3 hours for Section II, including the time for reviewing
instructions, completing and reviewing the collection of information,
searching existing data sources, and gathering and maintaining the data
needed. Send comments regarding this burden estimate or any other aspect
of this collection of information, including suggestions for reducing
the burden, to SAMHSA Reports Clearance Officer; Paperwork Reduction
Project (0930-0222); 1 Choke Cherry Road, Room 7-1044, Rockville,
Maryland 20857

**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 2006 Compliance Progress) and future plans to ensure
compliance with the Synar requirements to reduce youth tobacco access
rates (FFY 2007 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 Substance Abuse and Mental
Health Services Administration's (SAMHSA) 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 SAMHSA/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 on-site technical assistance consultation.

**How the Synar report can help States**

The information gathered for the Synar report can help States describe
and analyze sub-State 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.

####### Getting assistance in completing the Synar report

If you have questions about programmatic issues, you may call CSAP's
Division of State and Community Assistance at 240-276-2570 and ask for
your respective State Project Officer, or contact your State Project
Officer directly by telephone or e-mail using the directory provided. If
you have questions about fiscal or grants management issues, you may
call the Grants Management Officer, Office of Program Services, Division
of Grants Management, at 240-276-1404.

**Where and when to submit the Annual Synar Report**

The Annual Synar Report (ASR) must be received by SAMHSA no later than
December 31, 2006. The ASR must be submitted in the **approved OMB
report format**. 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 1 of
the ASR certifying that the State has complied with all reporting
requirements**.**

Submit one signed original of the report, one additional copy, and an
electronic version on either CD-ROM or 3.5" diskette to the Grants
Management Officer at the address below:

Grants Management Officer

Office of Program Services, Division of Grants Management

Substance Abuse and Mental Health Services Administration

**Regular Mail**: **Overnight Mail**:

1 Choke Cherry Road, Room 7-1091 1 Choke Cherry Road, Room 7-1091

Rockville, Maryland 20857 Rockville, Maryland 20850

**FFY 2007: 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                                                                   
  AMMENDMENT**                                                            

  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                                                          
  2007 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 2007 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**                                                           
  ---------------- ------------------------------------- -- ------------- -----------

**SECTION I: FFY 2006 (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.
Please attach a photocopy of the change(s) in the State law(s) if any
was made since the last reporting year.** *(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
>
> Other change(s) *(please describe):*
>
> **c. Have there been any changes in the law concerning *vending
> machines*?**
>
> **Yes** **No**
>
> *If **Yes**, indicate change (check all that apply):*
>
> Total ban enacted
>
> Banned from location(s) accessible to youth
>
> Locking device or supervision required
>
> Other change(s) *(please describe):*

d.  **Have there been any changes in State law that impact the
    following?**

> Licensing of tobacco vendors **Yes** **No**
>
> Penalties for sales to minors **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.** *(Check all that apply)*

> Placed on file for public review
>
> Posted on a State agency Web site (Specify Web site location:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_)
>
> Notice published in a newspaper or newsletter
>
> Public hearing
>
> Announced in a news release, a press conference, or discussed in a
> media interview
>
> Distributed for review as part of the SAPT Block Grant application
> process
>
> Distributed through the public library system
>
> Published in an annual register
>
> Other change(s) *(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(s) *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(s) *responsible for conducting random,
> unannounced Synar inspections*:**
>
> Has this changed since last year's Annual Synar Report? **Yes** **No**
>
> **c. The State agency(s) *responsible for enforcing youth tobacco
> access law(s)*:**
>
> Has this changed since last year's Annual Synar Report? **Yes** **No**

**4. Identify the State agency(s) responsible for tobacco prevention
control activities.**

> Has the responsible agency changed since last year's Annual Synar
> Report?
>
> **Yes** **No**
>
> **a.** **Describe the coordination and collaboration that occur
> between the agency responsible for tobacco control and the agency
> responsible for oversight of the Synar requirements. The two
> agencies** *(check all that apply):*
>
> 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):*

**5. Please answer the following questions regarding the State's
activities to enforce the youth access to tobacco law(s) in FFY 2006.**
*(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 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(s).
>
> Enforcement is conducted by both local [and]{.underline} State
> agencies.
>
> **b. The following items concern penalties imposed for violations of
> youth access to tobacco laws by [LOCAL AND/OR STATE LAW ENFORCEMENT
> AGENCIES.]{.underline}** Please fill in the number requested or
> indicate if these data are unavailable or the item is not applicable.

+-----------------+--------+---------+--------+-------+-------+------+
|                 |        |         |        |       | ***If |      |
|                 |        |         |        |       | Av    |      |
|                 |        |         |        |       | ailab |      |
|                 |        |         |        |       | le*** |      |
+-----------------+--------+---------+--------+-------+-------+------+
| ##              |        | **NOT   | **NOT  | **TO  | **Own | **   |
| ####### PENALTY |        | APPLI   | AVAIL  | TAL** | ers** | Cler |
|                 |        | CABLE** | ABLE** |       |       | ks** |
+-----------------+--------+---------+--------+-------+-------+------+
| Number of       |        | []      | []{    | []{.  |       |      |
| [citations      |        | {.mark} | .mark} | mark} |       |      |
| issu            |        |         |        |       |       |      |
| ed]{.underline} |        |         |        |       |       |      |
+-----------------+--------+---------+--------+-------+-------+------+
| Number of       |        |         |        |       |       |      |
| [fines          |        |         |        |       |       |      |
| assess          |        |         |        |       |       |      |
| ed]{.underline} |        |         |        |       |       |      |
+-----------------+--------+---------+--------+-------+-------+------+
| Number of       |        |         |        |       |       |      |
| [p              |        |         |        |       |       |      |
| ermits/licenses |        |         |        |       |       |      |
| suspend         |        |         |        |       |       |      |
| ed]{.underline} |        |         |        |       |       |      |
+-----------------+--------+---------+--------+-------+-------+------+
| Number of       |        |         |        |       |       |      |
| [p              |        |         |        |       |       |      |
| ermits/licenses |        |         |        |       |       |      |
| revok           |        |         |        |       |       |      |
| ed]{.underline} |        |         |        |       |       |      |
+-----------------+--------+---------+--------+-------+-------+------+
| *Other* (please |        |         |        |       |       |      |
| describe)*:*    |        |         |        |       |       |      |
+-----------------+--------+---------+--------+-------+-------+------+

> **c. What additional activities are conducted in your State to support
> enforcement and compliance with State tobacco access law(s)?** *(Check
> all that apply)*
>
> Merchant education and/or training
>
> Incentives for merchants who are in compliance (e.g., Reward and
> Reminder)
>
> 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):*
>
> *Briefly describe all checked activities:*

**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 2006.** (See 42 U.S.C. 300x-26 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 **If** the sampling methodology changed from the previous reporting year, these changes must be reflected in the methodology submitted.* 

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 and go to
> Question 8.*
>
> *If **No**, continue to Question 7b.*
>
> **b. Report the weighted and unweighted Retailer Violation Rate (RVR)
> estimates, and the standard error.**
>
> **Unweighted RVR**
>
> **Weighted RVR**
>
> **Standard error (s.e.) of the (weighted) RVR**
>
> **Fill in the blanks to calculate the [right limit]{.underline} of the
> right-sided 95% confidence interval.**

+-------------+-----+------+-----+---------------+-----+------------+
| #           | # + | #    | # × | #  )          | # = | #          |
|             |     |  (1. |     |               |     |            |
|             |     | 645  |     |               |     |            |
+-------------+-----+------+-----+---------------+-----+------------+
| # R         | # P | # (1 | #   | # St          | #   | # R        |
| VR Estimate | lus | .645 |  ti | andard Error) | equ | ight Limit |
|             |     |      | mes |               | als |            |
+-------------+-----+------+-----+---------------+-----+------------+

# 

# c. Fill out Form 1 in Appendix A (Forms). *(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) *(Attach completed Form 2)*
>
> Other *(Please specify. Provide formulae 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 **No**, go to Question 7g.*
>
> *If **Yes,** fill out and attach Form 3 in Appendix A (Forms), and
> answer the following question:*
>
> **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 non-completion)             |              |
+--------------------------------------------------------+--------------+
| > **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).**

**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. Provide the inspection period:**
>
> **b. Provide the number of youth inspectors used in the current
> inspection year:**
>
> **c. Fill out and attach Form 5 in Appendix A (Forms).** *(Not
> required if the State used the Synar Survey Estimation System (SSES)
> to analyze the Synar survey data)*

**SECTION II: FFY 2007 (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
the:**

> Synar sampling methodology **Yes** **No**
>
> Synar inspection protocol **Yes** **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
retailer violation rate for Synar inspections to be completed in FFY
2007. 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)*

> 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
>
> Laws/regulations limiting the use of minors in tobacco inspections
>
> Difficulties recruiting 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):*
>
> No challenges *(please explain):*
>
> *Briefly describe all items checked above:*

### 

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### APPENDIX A: FORMS 

### 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 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
2007). 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 sub-column (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.

### FORM 1 (Required for all States not using the Synar Survey Estimation System (SSES) to analyze the Synar Survey data)

<table>
<colgroup>
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 7%" />
<col style="width: 8%" />
<col style="width: 6%" />
<col style="width: 6%" />
<col style="width: 8%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="14"><h2
id="summary-of-synar-inspection-results-by-stratum">Summary of Synar
Inspection Results by Stratum</h2>
<p><strong>State <u>_______ </u></strong></p>
<p><strong>FFY <u>2007___</u></strong></p></td>
</tr>
<tr class="even">
<td colspan="2">(1)</td>
<td colspan="3">(2)</td>
<td colspan="3">(3)</td>
<td colspan="3">(4)</td>
<td colspan="3">(5)</td>
</tr>
<tr class="odd">
<td colspan="2">STRATUM</td>
<td colspan="3">NUMBER OF OUTLETS IN SAMPLING FRAME</td>
<td colspan="3">ESTIMATED NUMBER OF ELIGIBLE OUTLETS IN POPULATION</td>
<td colspan="3">NUMBER OF OUTLETS INSPECTED</td>
<td colspan="3">NO. OF OUTLETS FOUND IN VIOLATION DURING
INSPECTIONS</td>
</tr>
<tr class="even">
<td><p>(a)</p>
<p>Row #</p></td>
<td><p>(b)</p>
<p>Stratum</p>
<p>Name</p></td>
<td><p>(a)</p>
<p>Over-the-Counter</p>
<p>(OTC)</p></td>
<td><p>(b)</p>
<p>Vending</p>
<p>Machines</p>
<p>(VM)</p></td>
<td><p>(c)</p>
<p>Total</p>
<p>Outlets</p>
<p>(2a+2b)</p></td>
<td><p>(a)</p>
<p>Over-the-Counter</p>
<p>(OTC)</p></td>
<td><p>(b)</p>
<p>Vending</p>
<p>Machines</p>
<p>(VM)</p></td>
<td><p>(c)</p>
<p>Total</p>
<p>Outlets</p>
<p>(3a+3b)</p></td>
<td><p>(a)</p>
<p>Over-the-</p>
<p>Counter</p>
<p>(OTC)</p></td>
<td><p>(b)</p>
<p>Vending</p>
<p>Machines</p>
<p>(VM)</p></td>
<td><p>(c)</p>
<p>Total</p>
<p>Outlets</p>
<p>(4a+4b)</p></td>
<td><p>(a)</p>
<p>Over-the-Counter</p>
<p>(OTC)</p></td>
<td><p>(b)</p>
<p>Vending</p>
<p>Machines</p>
<p>(VM)</p></td>
<td><p>(c)</p>
<p>Total</p>
<p>Outlets</p>
<p>(5a+5b)</p></td>
</tr>
</tbody>
</table>

  --- ---- ---- ---- ---- ----- ----- ----- ----- ----- ----- ---- ---- -----
                                                                        

                                                                        

                                                                        

                                                                        

                                                                        

                                                                        

                                                                        

                                                                        

                                                                        

                                                                        

                                                                        
  --- ---- ---- ---- ---- ----- ----- ----- ----- ----- ----- ---- ---- -----

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

# 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 non-complete 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 2007).

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]{.underline} 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 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.

# FORM 2 (Optional) Appropriate for stratified simple or systematic random sampling designs.

<table style="width:100%;">
<colgroup>
<col style="width: 8%" />
<col style="width: 8%" />
<col style="width: 8%" />
<col style="width: 9%" />
<col style="width: 9%" />
<col style="width: 10%" />
<col style="width: 10%" />
<col style="width: 10%" />
<col style="width: 8%" />
<col style="width: 7%" />
<col style="width: 1%" />
<col style="width: 8%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="12"><strong>Calculation of Weighted Retailer Violation
Rate</strong></td>
</tr>
<tr class="even">
<td colspan="10"><strong>State:</strong></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="10"><strong>FFY:</strong></td>
<td colspan="2"><strong>2007</strong></td>
</tr>
<tr class="even">
<td colspan="12"></td>
</tr>
<tr class="odd">
<td><p>(1)</p>
<p>Stratum</p>
<p>Name</p></td>
<td><p>(2)</p>
<p><strong>N</strong></p>
<p>Number of</p>
<p>Outlets</p>
<p>in Sampling Frame</p></td>
<td><p>(3)</p>
<p><strong>n</strong></p>
<p>Original</p>
<p>Sample Size</p></td>
<td><p>(4)</p>
<p><strong>n1</strong></p>
<p>Number of</p>
<p>Sample Outlets</p>
<p>Found Eligible</p></td>
<td><p>(5)</p>
<p><strong>n2</strong></p>
<p>Number of</p>
<p>Outlets</p>
<p>Inspected</p></td>
<td><p>(6)</p>
<p><strong>x</strong></p>
<p>Number of</p>
<p>Outlets Found</p>
<p>in Violation</p></td>
<td><p>(7)</p>
<p><strong>p=x/n2</strong></p>
<p>Stratum</p>
<p>Retailer</p>
<p>Violation</p>
<p>Rate</p></td>
<td><p>(8)</p>
<p><strong>N’=N(n1/n)</strong></p>
<p>Estimated Number of Eligible Outlets in Population</p></td>
<td><p>(9)</p>
<p><strong>w=N’/Total</strong></p>
<p><strong>Column 8</strong></p>
<p>Relative Stratum</p>
<p>Weight</p></td>
<td colspan="2"><p>(10)</p>
<p><strong>pw</strong></p>
<p>Stratum Contribution to State Weighted</p>
<p>RVR</p></td>
<td><p>(11)</p>
<p><strong>s.e.</strong></p>
<p>Standard</p>
<p>Error of Stratum RVR</p></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td><strong>TOTAL</strong></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td></td>
<td colspan="2"></td>
<td></td>
</tr>
</tbody>
</table>

N - number of outlets in sampling frame

n - original sample size (number of outlets in the original sample)

n1 - number of sample outlets that were found to be eligible

n2 - number of eligible outlets that were inspected

x - number of inspected outlets that were found in violation

p - stratum retailer violation rate (p=x/n2)

N' - estimated number of eligible outlets in population (N'=N\*n1/n)

w - relative stratum weight (w=N'/Total Column 8)

pw - stratum contribution to the weighted retailer violation rate

s.e. - standard error of the stratum RVR

# 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 2007).

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.

+-------+-------------+---------------+---------------+---+------------+
| **Su  |             |               |               |   |            |
| mmary |             |               |               |   |            |
| of    |             |               |               |   |            |
| Clu   |             |               |               |   |            |
| sters |             |               |               |   |            |
| Cr    |             |               |               |   |            |
| eated |             |               |               |   |            |
| and   |             |               |               |   |            |
| Samp  |             |               |               |   |            |
| led** |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
| **Sta |             |               |               |   |            |
| te:** |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
| **F   |             |               |               |   | **2007**   |
| FY:** |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
|       |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
| \(1\) | \(2\)       | \(3\)         | \(4\)         | \ |            |
|       |             |               |               | ( |            |
| Row   | Stratum     | Number of     | Number of     | 5 |            |
| \#    | Name        | PSUs Created  | PSUs Selected | \ |            |
|       |             |               |               | ) |            |
|       |             |               |               |   |            |
|       |             |               |               | N |            |
|       |             |               |               | u |            |
|       |             |               |               | m |            |
|       |             |               |               | b |            |
|       |             |               |               | e |            |
|       |             |               |               | r |            |
|       |             |               |               | o |            |
|       |             |               |               | f |            |
|       |             |               |               | P |            |
|       |             |               |               | S |            |
|       |             |               |               | U |            |
|       |             |               |               | s |            |
|       |             |               |               | i |            |
|       |             |               |               | n |            |
|       |             |               |               | t |            |
|       |             |               |               | h |            |
|       |             |               |               | e |            |
|       |             |               |               | F |            |
|       |             |               |               | i |            |
|       |             |               |               | n |            |
|       |             |               |               | a |            |
|       |             |               |               | l |            |
|       |             |               |               | S |            |
|       |             |               |               | a |            |
|       |             |               |               | m |            |
|       |             |               |               | p |            |
|       |             |               |               | l |            |
|       |             |               |               | e |            |
+-------+-------------+---------------+---------------+---+------------+
|       |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
|       |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
|       |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
|       |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+
| **TO  |             |               |               |   |            |
| TAL** |             |               |               |   |            |
+-------+-------------+---------------+---------------+---+------------+

###  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 2007).

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**                  |      |                         | 2 |      |
|                          |      |                         | 0 |      |
|                          |      |                         | 0 |      |
|                          |      |                         | 7 |      |
+--------------------------+------+-------------------------+---+------+
|                          |      |                         |   |      |
+--------------------------+------+-------------------------+---+------+
| **(1)**                  |      | **(2)**                 |   |      |
|                          |      |                         |   |      |
| **INELIGIBLE**           |      | **ELIGIBLE**            |   |      |
+--------------------------+------+-------------------------+---+------+
| **Reason for             | **(  | **Reason for            |   | **(  |
| ineligibility**          | a)** | noncompletion**         |   | a)** |
|                          |      |                         |   |      |
|                          | **   |                         |   | **   |
|                          | Coun |                         |   | Coun |
|                          | ts** |                         |   | ts** |
+--------------------------+------+-------------------------+---+------+
| Out of business          |      | > In operation but      |   |      |
|                          |      | > closed at time of     |   |      |
|                          |      | > visit                 |   |      |
+--------------------------+------+-------------------------+---+------+
| Does not sell tobacco    |      | > Unsafe to access      |   |      |
| products                 |      |                         |   |      |
+--------------------------+------+-------------------------+---+------+
| Inaccessible by youth    |      | > Presence of police    |   |      |
+--------------------------+------+-------------------------+---+------+
| Private club or private  |      | > Youth inspector knows |   |      |
| residence                |      | > salesperson           |   |      |
+--------------------------+------+-------------------------+---+------+
| Temporary closure        |      | > Moved to new location |   |      |
+--------------------------+------+-------------------------+---+------+
| Unlocatable              |      | > Drive thru only/youth |   |      |
|                          |      | > inspector has no      |   |      |
|                          |      | > driver's license      |   |      |
+--------------------------+------+-------------------------+---+------+
| Wholesale only/Carton    |      | > Tobacco out of stock  |   |      |
| sale only                |      |                         |   |      |
+--------------------------+------+-------------------------+---+------+
| Vending machine broken   |      | > Run out of time       |   |      |
+--------------------------+------+-------------------------+---+------+
| Duplicate                |      | Other noncompletion     |   |      |
|                          |      | reason(s) *(describe*)  |   |      |
+--------------------------+------+-------------------------+---+------+
| Other ineligibility      |      |                         |   |      |
| reason(s) *(describe)*   |      |                         |   |      |
+--------------------------+------+-------------------------+---+------+
| **T****otal**            |      | **Total**               |   |      |
+--------------------------+------+-------------------------+---+------+

#  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 2007).

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 SUBTOTALS. 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 equal
the total for Column 4(c) and Column 5(c), respectively, on Form 1. If
the totals do not match, please explain any discrepancies.

#  

# APPENDIX B

  --------------------------------------------------- ------------ ----------
                                                      **STATE:**   

                                                      **FFY:**     
  --------------------------------------------------- ------------ ----------

# 

# SYNAR SURVEY SAMPLING METHODOLOGY

**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        **4 --** Statewide retail
  business list                        license/permit list

  **2 --** Local commercial business   **5 --** Statewide liquor
  list                                 license/permit list

  **3 --** Statewide tobacco           **6 --** Other
  license/permit list                  
  ------------------------------------ ----------------------------------

  ----------- ---------- -------------------------- ---------------------
  **Name of   **Type of  **Description**            **Updating Method and
  Frame       Source**                              Cycle**
  Source**                                          

                                                    

                                                    

                                                    

                                                    

                                                    
  ----------- ---------- -------------------------- ---------------------

**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 they are not included in the
> Synar survey.*

State law bans vending machines

State law bans vending machines from locations accessible to youth

State has SAMHSA approval to exempt vending machines from the survey

Other *(please describe):*

**5. Which category below best describes the sample design?** *(Check
only one)*

**Census** *(STOP HERE: Appendix B is complete)*

**Unstratified State-wide sample:**

Simple random sample *(go to Question 9)*

Systematic random sample *(go to Question 6)*

Single-stage cluster sample *(go to Question 8)*

Multi-stage 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)*

Multi-stage 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)*

**8. Provide the following information about clustering**

> **a. Provide a full description of how clusters are formed.** *(If
> multi-stage 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 formulae for determining the effective, target, and
original outlet sample sizes.**

# APPENDIX C

  --------------------------------------------------- ------------ ----------
                                                      **STATE:**   

                                                      **FFY:**     
  --------------------------------------------------- ------------ ----------

######## 

######## SYNAR SURVEY INSPECTION PROTOCOL

***Note: Attach a copy of the inspection form and protocol used to
record the inspection result.***

**1. How does the State Synar survey protocol address the following?**

**a. Consummated buy attempts?**

Required Not Permitted

Permitted under specified circumstances Not specified in protocol

**b. Youth inspectors to carry ID?**

Required Not Permitted

Permitted under specified circumstances Not specified in protocol

**c. Adult inspectors to enter the outlet?**

Required Not Permitted

Permitted under specified circumstances Not specified in protocol

**d. Youth inspectors to be compensated?**

Required Not Permitted

Permitted under specified circumstances Not specified in protocol

**2. Identify the agency(s) or entity(s) that actually conduct the
random, unannounced Synar inspections of tobacco outlets.** *(Check all
that apply)*

> Law enforcement agency(s)
>
> State or local government agency(s) other than law enforcement
>
> Private contractor(s)
>
> Other
>
> List the agency name(s):

**3. Are Synar inspections combined with law enforcement efforts (i.e.,
do law enforcement 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 methods used to recruit, select, and train youth
inspectors and adult supervisors.**

**5. 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):*

**6. 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** **Yes** **No** *(If **Yes,** please describe):*
>
> **b. Procedural** **Yes** **No** *(If **Yes,** please describe):*

**7. 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):*

**APPENDIX D**

  --------------------------------------------------- ------------ ----------
                                                      **STATE:**   

                                                      **FFY:**     
  --------------------------------------------------- ------------ ----------

**List Sampling Frame Coverage Study**

*(LIST FRAME ONLY)*

> **1. Calendar year of the coverage study:**
>
> **2. Percent coverage found:** **%**
>
> *(Provide calculation of the percent coverage)*

**3. Provide a description of the coverage study methods and results.**

[^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).