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Compliance Check Investigations & Reporting Issues January 28, 2011 © 2010- Missouri Division of Alcohol & Tobacco Control.

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Presentation on theme: "Compliance Check Investigations & Reporting Issues January 28, 2011 © 2010- Missouri Division of Alcohol & Tobacco Control."— Presentation transcript:

1 Compliance Check Investigations & Reporting Issues January 28, 2011 © Missouri Division of Alcohol & Tobacco Control

2 Compliance Check Overview Compliance Check investigations are a cost effective way to control youth access to alcohol from retail outlets. They involve the use of underage buyers by law enforcement agencies to determine whether businesses in their community are following laws governing the lawful sale of alcohol.

3 Compliance Check Overview For purposes of the EUDL Grant a “compliance check” is when your department utilizes an undercover minor and sends them into a licensed liquor establishment (package or by the drink) for the purpose of attempting to purchase alcoholic beverages from the clerk/server.

4 Compliance Check Overview Keep in mind a key component to compliance check operations is fairness. There is no need to try and trick the clerks/servers with older looking kids or distracting behavior. In the long run such tactics will only serve to undermine your departments credibility and the EUDL program as a whole.

5 Compliance Check Overview The ultimate goal of a successful program is to educate clerks/servers regarding the need to be vigilant and thorough in checking identification of youthful patrons in connection with the sale of age restricted products. Clerks should have a complete understanding of their responsibilities and their role in reducing underage availability.

6 Compliance Check Overview Proper, fair and regular monitoring serves to lower the overall availability of these products to underage youth and reinforces your community's commitment to the public health and safety of your youth.

7 First Steps – Determine the Level of Availability While underage drinking may be a problem in your community the retail community may or may not be the source of the problem. Research your departmental data to see if it indicates where kids are obtaining their alcohol- Talk with SRO’s, Youth, School Administrators & Community Coalition’s Consider an Alcohol Purchase Survey.

8 First Steps – Inform Elected Officials You should start by informing the elected officials in your community of the program Do not assume they know anything about compliance checks. Share your data and the national data

9 First Steps-Inform Elected Officials Explain in detail what you are doing, how you are doing it and the research that supports why you are doing it. Consider a ride along. They need to be on board with the program and understand the program in order to defend it when questioned by the media, retailers and the general public.

10 First Steps-Inform-Prosecutor’s Educate your prosecutor’s regarding the program ◦ Do not assume they know of the program or are familiar with the program. Consider a ride along ◦ Provide them with the research data that supports the program ◦ Provide them with a copy of the State Statute, the CSR and your grant

11 First Steps-Inform-Prosecutor’s Keep in mind they may want more information than is required by the statute, CSR or your grant requirements. Be respectful of their time many of them are part-time prosecutors with heavy caseloads the more pre-packaged your report is the more likely they will prosecute your cases.

12 First Steps-Inform-Retailers Notify your local retailers of the program and that checks will be occurring ◦ Letter informing that checks will be forthcoming (sample letter is on the CD) ◦ Provide them with the data – UDETC Website Fact Sheet. ◦ Provide Free RBS Training- ATC can provide Reward them ◦ Sample letter is on CD ◦ Plaques, pins, etc…100% pass rate

13 Inform Public Press releases to the media outlets in your community before/after the various details – Sample on the CD ◦ Fact Sheets ◦ Stats on your program ◦ Comparisons to other States/Jurisdictions

14 Review of Statutory & Regulatory Guidelines

15 MO Statutory Requirements for Compliance Checks The undercover buyer must be 18 or 19. RSMo (1) The minor shall have a youthful appearance. If male shall not have facial hair or a receding hairline RSMo (2) Minor must carry their valid identification showing their true date of birth and display it is asked. RSMo (3)

16 MO Statutory Requirements for Compliance Checks The minor shall answer truthfully any questions about their age and shall NOT remain silent when asked questions regarding their age, nor misrepresent anything in order to induce a sale of intoxicating liquor. RSMo (4)

17 MO Statutory Requirements for Compliance Checks The Supervisor of alcohol & tobacco shall not participate with any state, county municipal or other local law enforcement agency, nor discipline any licensed establishment when any state, county, municipal, or other law enforcement agency chooses not to follow the supervisor’s permissive standards. RSMo

18 MO Code of State Regulations Requirements for Compliance Checks The Minor shall be eighteen (18) or nineteen (19) years of age -11 CSR (1)(A) The minor shall have a youthful appearance -11 CSR (1)(B) ◦ If male no facial hair or a receding hairline ◦ If female no excessive makeup or excessive jewelry ◦ Shall not where headgear that obstructs a clear view of the face or hairline

19 MO Code of State Regulations Requirements for Compliance Checks The minor shall -11 CSR (1)(C) ◦ Carry his or her own identification showing their correct date of birth ◦ Upon request, produce such identification to the seller The Agency/Department shall- 11 CSR (1)(C) ◦ Search the minor prior to the operation to ensure that the minor is not in possession of any other valid or fictitious identification

20 MO Code of State Regulations Requirements for Compliance Checks The minor shall 11CSR (1)(D) ◦ Answer truthfully any questions about his or her age ◦ Shall NOT remain silent when asked questions regarding his or her age ◦ Shall NOT misrepresent anything in order to induce a sale of intoxicating liquor

21 MO Code of State Regulations Requirements for Compliance Checks The agency/department shall make a photocopy of the minor’s valid identification showing the minor’s correct date of birth. 11 CSR (1)(E) Any attempt to purchase shall be videotaped or audiotaped with equipment sufficient to record all statements made by the minor and the seller. 11 CSR (1)(F)

22 MO Code of State Regulations Requirements for Compliance Checks The minor shall NOT be employed on a quota or incentive basis 11 CSR (1)(G) If a violation occurs the agency – department shall, within two (2) hours, make reasonable efforts to confront the seller, if practical 11 CSR (1)(H)

23 MO Code of State Regulations Requirements for Compliance Checks If a violation occurs agency/department must within forty-eight (48) hours, contact or take all reasonable steps to contact the owner or manager of the establishment 11 CSR (1)(H) The agency/department shall maintain records of each visit to an establishment where a minor is used for a period of one (1) year regardless of whether a violation occurs 11 CSR (1)(I)

24 MO Code of State Regulations Requirements for Compliance Checks The records shall at minimum include the following information: 11CSR (1)(I) ◦ A Photograph of the minor taken immediately prior to the operation; ◦ A photocopy of the minor’s valid identification showing the minor’s correct date of birth; ◦ An information and consent document completed by the minor in advance of the operation – See CD for form

25 MO Code of State Regulations Requirements for Compliance Checks The records shall at minimum include the following information 11 CSR (1)(I) ◦ The name of each establishment visited by the minor, and the date and time of each visit; ◦ The audiotape or videotape specified in subsection (1)(F) ◦ A written Minor Report Form – See CD for Form

26 MO Code of State Regulations Requirements for Compliance Checks The agency/department must provide pre-recorded currency to the minor, to be used in the operation, and, if a violation occurs, must make all reasonable efforts to retrieve the pre-recorded currency. 11 CSR (1)(J)

27 MO Code of State Regulations Requirements for Compliance Checks If a violation occurs, said agency shall further secure and inventory any intoxicating liquor purchased. 11 CSR (1)(J) You must maintain a sample for the administrative case.

28 MO Code of State Regulations Requirements for Compliance Checks The agency/department must in advance of the operation, train the minor who will be used in the operation, which training shall, at a minimum, include 11 CSR (1)(K) ◦ Instruction to enter the designated establishment and proceed immediately to attempt to purchase intoxicating liquor ◦ Instruction to provide the minor’s valid identification upon a request from the seller

29 MO Code of State Regulations Requirements for Compliance Checks The agency/department must in advance of the operation, train the minor who will be used in the operation, which training shall, at a minimum, include 11 CSR (1)(K) ◦ Instruction to answer truthfully all questions about age ◦ Instruction not to lie to the seller to induce a sale of intoxicating liquor

30 MO Code of State Regulations Requirements for Compliance Checks The agency/department must in advance of the operation, train the minor who will be used in the operation, which training shall, at a minimum, include 11 CSR (1)(K) ◦ Instruction on the use of pre-recorded currency ◦ Instruction on the other matters set out in this regulation

31 MO Code of State Regulations Requirements for Compliance Checks The supervisor of alcohol and tobacco control shall not participate with any state, county, municipal, or other local law enforcement agency, nor discipline any licensed establishment when any state, county, municipal or other law enforcement agency chooses not to follow the supervisor’s permissive standards 11 CSR 70-2,280(2)

32 Steps on date of Checks Photograph underage buyer without hat or sunglasses – (Minor cannot wear hat or sunglasses during the actual checks). Search minor to ensure that they only have their valid identification and the buy money you provide. Record the serial #’s of your buy money. Instruct the minor not to lie about their age and to provide their valid identification if asked.

33 Final Steps After each compliance check detail you should consider sending a press release to the media publicizing your results (sample press release on CD). After each compliance check detail you should consider sending a congratulatory letter to retailers that passed (sample letter on CD). Once a year consider recognizing establishments that had a 100% pass rate.

34 Contents of Police Reports A separate police report is needed for each establishment that fails a compliance check. Report should contain the following information Name, license number and location of the establishment that failed Date and time of the check Pedigree information on the clerk/waitress/bartender that sold

35 Contents of Police Reports Type of product purchased (i.e. a 16 ounce can Bud Light Brand Beer, a draft Miller Lite). A statement as to what was seized and retained. (six pack, a vial, 12 ounce can) Cost of the product purchased. If the underage buyer was asked to produce any identification or asked how old they were.

36 Contents of Police Reports If you were able to retrieve the buy money. The CI’s departmental number, sex, and age (Must be 18 or 19 YOA). If a training opportunity for retailers was provided and if the location attended the training.

37 Contents of Police Reports If the manager and/or owner was notified of the failure. If the minor was age verified a statement as to the perceived age. A statement that the minor was trained on how to do compliance checks. A statement that the minor was searched prior to the check and only had their valid identification and the buy money on their person.

38 Contents of Police Reports A copy of the minor report (sample provided on CD). A notation that a photograph was taken prior to the start of the evening (If your buyer changes clothes during the course of the detail take a new photograph). A notation that the transaction was recorded.

39 Issues of Concern Raised by Licensees and/or Supervisor Failure to complete the transaction in a by the drink/on premise establishment. Failure to seize or retain a sample for evidence purposes. Failure to audio/video record transaction with equipment sufficient to hear the conversations

40 Issues of Concern Raised by Licensees and/or Supervisor Inappropriate conversations on the recordings. Failure to maintain adequate records. Using minors who age test 20 or above Using minors who do not meet the State Statute or Code of State Regulations

41 Issues of Concern Raised by Licensees and/or Supervisor Sitting at the same table with the underage buyer giving the appearance they are parent/child Distracting servers. Coming in just prior to closing/or dinner/lunch rush.

42 Issues of Concern Raised by Licensees and/or Supervisor Cutting and pasting of reports – Often times the information doesn’t match up the products purchased are different or the dates don’t match up.

43 Where to send compliance check police reports ◦ Nancy M. McGee ◦ MOATC Field Office.  3256 Laclede Station Road, Suite 102  St. Louis, MO   Send only the reports dealing with a compliance check failure to me all other liquor related violations should be sent to the central office in Jefferson City

44 General Questions If you have general questions regarding compliance checks, other enforcement details, server training or general liquor laws please feel free to or call me

45 District Contact Information District 1 – Kansas City – 615 East 13 th Street, Room 506, Kansas City, MO 64106, – Special Agents, Joe Hodgin & Chuck Bidding District 2 – Jefferson City – 1738 E. Elm, Lower Level, Jefferson City, MO 65101, – Special Agent Tom Hayes District 3 – St. Louis – 3256 Laclede Station Road, Suite 102 St. Louis, MO , – Special Agents Lamont Mitchell & Ed Weidenbenner

46 District Contact Information District 4 – Cape Girardeau – 3102 Blattner Drive, Suite 102, Cape Girardeau, MO – – Special Agent Ed Weidenbenner District 5 – Springfield – State Office Building, Room 536, 149 Park Central Square, Springfield, MO – Special Agent, Kelly Turner

47

48 Nancy M. McGee MOATC ◦ ATC Field Office.  3256 Laclede Station Road, Suite 102  St. Louis, MO  


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