introduction to alcohol checks and responsible service

IntroductiontoAlcoholComplianceChecksand

ResponsibleBeverageService

OnlineCourseContent

Introduction to Alcohol Compliance Checks and Responsible Beverage Service

Prevention First • Course Content 2

IntroductiontoAlcoholComplianceChecksandResponsibleBeverageService©2014,updated2017PreventionFirstForreprintpermissioncontacttheCommunicationsDepartmentinPreventionFirst’sChicagoofficeat800.572.5385



TrainingOverviewDescriptionThison‐linetrainingprovidesparticipantswithanoverviewofalcoholcompliancechecksandResponsibleBeverageService(RBS).ParticipantswilllearnabouttheSAPPStandards.Thistrainingisintendedforpreventionspecialistsandcoalitionmemberstogainabetterunderstandingofthisstrategy,andisnotintendedtotrainlawenforcementofficialstoimplementcompliancechecks.LearningObjectivesUponcompletionofthiscourse,participantswillbeableto:

describetheintent,effectiveness,benefitsandkeycomponentsofcompliancechecks.

identifyimportantstepsinvolvedinplanningcompliancecheckoperationsasidentifiedbytheSAPPStandardsforComplianceChecks(includingResponsibleBeverageService),and

identifyimportantcomponentsofstrategyimplementation/enforcement.OutlineofCourseContentsModuleOne:OverviewModuleTwo:PlanningModuleThree:ImplementationModuleFour:ResponsibleBeverageServiceAudienceIDHSSAPPandPFSProvidersimplementingthisstrategy.CompletionTimeEstimatedcompletiontimeis1.5to2hours.TestingParticipantswillcompleteapost‐testonmateriallearnedinthiscourse.Participantsmustpassthepost‐testwith80percentaccuracyinordertoobtaincreditforthecourse.



Overview



YouthRetailAccesstoAlcoholYoungpeoplewhodrinkalcoholobtainitfromavarietyofsources,suchasfriends,parents,partiesandretailoutlets.Accordingtothe2014IllinoisYouthSurvey,13%of12thgraderswhoreportedusingalcoholwithinthepastyearreportedobtainingitfromatleastoneretailsource(includingstore,gasstation,orbar/restaurant).WhenitcomestofindingaretailoutletwheretheclerksoremployeesarelaxincheckingID...kidsknowwhotheyare.Itdoesn’ttakelongforwell‐developedlinesofcommunicationtobuzzaboutaretailerwhodoesn’tcarefullycheckID’s.Alcoholcompliancechecksareapreventionstrategytoreduceretailalcoholsalestominors.2014IllinoisYouthSurvey

Source:IllinoisYouthSurvey2014StateReport(3)



ComplianceChecksIntroductionCompliancechecks,anenvironmentalpreventionstrategy,deterandpreventretailalcoholoutletsfromsellingalcoholtounderageyouth.Theyareconductedbylawenforcementandinvolvetheuseofundercoverunderagebuyerstotestretailers'compliancewithstatelawsand/orlocalordinancesthatregulatethesaleofalcohol.Compliancechecksdemonstratetoretailersthatthecommunityisseriousaboutreducingillegalsalesandpreventingunderagedrinking.Whileoftenreferredtoas"stings,"thepurposeisnottopunishmerchants,butrathertocompelvoluntarycompliancewiththelaw.Compliancecheckshelptodeter,identify,warn,andeducateestablishmentsthatselltounderageyouth.Theyarethoughttobemosteffectivewhentheyarefrequent,wellpublicized,andwelldesigned;solicitcommunitysupport;andimposepenaltiesonthelicensedestablishmentratherthanjusttheemployeewhosellsto/servestheminor.NOTE:Thisstrategymustbeimplementedbylawenforcement.Optimalmethodsinclude“conductingchecksofallestablishments,conducting3to4checksperyear,conductingfollow‐upcheckswithin3months,andpenalizingthelicensees(notonlytheserver/clerk)forfailingacompliancecheck).”Ideally,100%ofretailerswhofailacheckshouldbeissuedacitation.Source:Erickson,D.J.,Lenk,K.M.,Sanem,J.R.,Nelson,T.F.,Jones‐Webb,R.,&Toomey,T.L.(2014).CurrentuseofunderagealcoholcompliancechecksbyenforcementagenciesintheUnitedStates.Alcoholism:Clinical&ExperimentalResearch,38(6),1712‐1719.doi:10.1111/acer.12397

TypesTherearethreecategoriesofcompliancechecks:

Educational:Aninitial"audit"or"survey"maybeconductedwithwritten

warnings(insteadofcitations)issuedtofailingestablishments.Thedatacollectedprovidesabaselineofcomplianceforfuturereferenceandprovidesanopportunitytoeducateretailersoftheirresponsibility.Educationalcheckscanbeconductedwithyouthfulappearingadultsinsteadofminorsifnocitationsareissued.

Administrative:Administrativesanctions(i.e.fines;licensesuspensionetc.)areissuedtotheretailerthroughtheState’sorcommunity'sregulatorypoliciesforlicenses.

Criminal:Criminalsanctionsallowindividuals(server/seller)tobecitedunderlocalordinancesorstatelawforbeverageserviceviolations.

Sources:WakeForestUniversitySchoolofMedicine(15);WisconsinAlcoholPolicyProject(16)



SummaryofEvidenceEvenmoderateincreasesinenforcementofunderagedrinkinglawscansignificantlyreducesalestominors:

InChampaign,Illinois,annualcomplianceincreasedfrom78%intheinitialyear(1996)to89%in2001.Thecomplianceratehasbeensustainedtoover90%annuallyfrom2003to2013.

InFlatheadCountyMontana,ajointeffortbetweensixlawenforcementagenciesandlocalcoalitionsfromJuly2005toJune2006increasedcompliancetoover70%,achievinga30%reductioninillegalalcoholsalestoyouth.Checkswereperformedmonthlyonover200businesses.

InConcord,NewHampshire,aquarterlycompliancechecksoperationfromMarch2002–February2004(coupledwithincreasedpenaltiesandamediacampaign)resultedina64%reductioninretailalcoholsalestounderageyouths.

Sources:Friedlein;Bruyer(2);Edwards(4)BenefitsReducingthesourceofsupplythroughcompliancechecksisoneofthemosteffectivestrategiesavailabletoreduceunderagedrinking,alcoholrelatedproblemsandcrime.

Compliancechecksprovideameanstomeasureandmonitorthelevelofunderage

alcoholsalesinthecommunity.

Compliancecheckshaveproventobeaneffectiveapproachtoachievingvoluntarycompliance.

Mediaexposurefromcompliancechecksraisescommunityawareness,reinforces

communitynormsthatunderagedrinkingisunacceptable,anddetersyouthfromattemptingtopurchasealcoholfromretailers.

Compliancechecksarecost‐effective;aninvestmentoftimeandresourcestoday

willpayoffinreducedeconomicandsocialcostslater.

Source:PacificInstituteforResearchandEvaluation(11)



ProcessWhencompliancechecksareconducted,theestablishmentwilleitherpassorfailthecheck.Lawenforcementmaycitetheindividualserver/sellerand/orthelicenseholder/establishmentforviolations.Theserverorsellermaybechargedwithalocalordinanceviolation,ifoneexists,orviolationofIllinoisstatelaw.Theestablishmentorlicenseholdermaybechargedwithalocalordinanceviolationifoneexistsorforviolatinglocalliquorlicenseregulations.LocalauthoritiesmayalsosendtheviolationtotheIllinoisLiquorControlCommissionforviolatingstateliquorlicenseregulations.Compliancechecksarethoughttobemoreeffectivewhenpenaltiesareimposedonthelicensedestablishmentratherthanjusttheemployeewhosellsto/servestoaminor.



KeyAlliesKeyalliesarethosepartnerswhoarecriticaltothesuccessofacompliancecheckoperation.Withouttheirsupport,theoperationmaynotbeeffectiveorsustainable.Keyalliesinclude:

Lawenforcementofficialsmustbeonboardifchecksaretobeconductedfrequentlyandsystematicallyaccordingtobestpractices.

Thelocalliquorcontrolcommissioner–usuallythemayororpresidentoftheboardoftrustees–ischargedwiththeadministrationoflocalliquorlicensesandofalcohol‐relatedordinancesandresolutions.Theycanauthorizecompliancechecksandtheygrant,suspendand/orrevokelocallicenses.Thelocalliquorcontrolcommissionermustbeonboardinordertosetorchangelocalpolicyandtoapplyadministrativesanctionsforlicenseviolations.

Judicialpartners,suchasstateanddistrictattorneys,judgesandprosecutorsmustbeonboardtocarryouttheconsequencesofviolationsofthelaw.

Merchantsareoftenoverlookedasallies,butdon’tcountthemout.Theycanhelpeducateandinfluenceotherbusinessesforthegoodofthecommunity.

Keypreventionpartners,suchasMADD,SADD,publichealth,schoolsanduniversities,youthgroups,andchurchgroups,offerimportantpoliticalsupportwhenadvocatingforeffectivepreventionstrategiesandeducatingthepublic.

Strongsupportamongcommunitymemberscaninfluencelocalofficialsandpolicetoenforceunderagedrinkinglaws,lessenthechancethatbusinesseswillcontesttheprogram,strengthencommunitynormsagainstunderagedrinkingandpromotevoluntarycompliancebyretailers.

Wheninitiatingacompliancecheckoperation,it’scriticaltobuildsupportamongkeyallies.Takesometimetoassessreadinessofkeyalliesandfindoutwheretheystandontheissue,thenworktobuildtheirsupport.



MediaAdvocacyMediaadvocacyisthestrategicuseofmediatoadvanceasocialorpublicpolicygoalandisacriticaltoolinbuildingcommunitysupportforcompliancechecks.Advocacyplaysaroleineducatingthepublic,swayingpublicopinionand/orinfluencingpolicy‐makers.Communitycoalitionscanusemediaadvocacyto:

educatethecommunityabouttheconsequencesofunderagedrinking,localuseratesamongteensandthepercentageoflocalyouthwhoobtainalcoholfromretailsources,

promotethelawsandconsequencesforsellingalcoholtominors,and informthepublicabouthowandwhycompliancechecksareeffective.

Thereareavarietyofwaystogettheissueinthepubliceye,including:

pressreleases letterstotheeditor op‐eds interviews pressconferences paidadvertisements socialmedia

Sources:Bruyer(2);PacificInstituteforResearchandEvaluation(12)



Planning



SAPPStandardsforComplianceChecks(includingResponsibleBeverageService)ComplianceChecksandRBShavebeenimplementedinawaythatdemonstratesthefollowinghavebeenaddressed:1. Thesupportofindividuals/agenciesresponsibleforleadingenforcementeffortshas

beensecured

2. Thesupportofadjudicators/prosecutorshasbeensecured

3. Enforcementeffortsaretargetedtolocationsandtimeofday/yearbasedondata

4. Enforcementagencieshaveagreedtosupplyenforcementdatawiththecoalition/providerasevidencedthroughamemorandumofunderstandingand/orsubcontract

5. Lawenforcementofficerinchargehasbeentrained/certified(orreceivedawaiver)toconductcompliancechecksbytheIllinoisLawEnforcementTrainingandStandardsBoard

6. Protocolincludesapermission/acknowledgementformsignedbyyouthwhichincludesprogramexpectationsandrequirementsincludinganon‐disclosurestatementindicatingtheywillnotdiscusstheprogramwithothers

7. Protocolincludesasignedparentalreleaseforvolunteersunder18

8. Sanctionsforviolationshavebeenadministered

9. Retailersarenotifiedatleastoncethatcompliancecheckswillbeconductedandtheconsequencesofbeingoutofcomplianceornon‐compliancewiththelaw

10. Informationaboutthecompliancechecksandenforcementeffortresultshavebeenpublicizedwithinthecommunity–atleastonceperfiscalyear

11. BeverageAlcoholSellersandServersEducationandTraining(BASSET)certified

ResponsibleBeverageServiceprogramisavailable RetailerswerenotifiedoftheBASSETcertifiedtrainingprogramoptions

available Providerhasassessedhowretailersprefertohavetheirstafftrainedinthe

BASSETcertifiedprogram–onlineorfacetoface



PlanAsyoupreparetoimplementAlcoholComplianceChecks,itisrecommendedthatyoudevelopaComplianceChecksPlantomeeteachoftheSAPPStandards.Eachstandardwillbediscussedingreaterdetailduringthismodule.



SecuretheSupportofLawEnforcementSAPPStandard:1. Thesupportoftheindividuals/agenciesresponsibleforleadingenforcementeffortshas

beensecuredTheComplianceChecksPlanshouldincludethestrategiesthecoalitionwillusetodevelopormaintainapositiveworkingrelationshipwithlawenforcement.Iflawenforcementisresistanttoorapatheticaboutimplementingcompliancechecks,determinewhyandworktosecuretheirsupport.Aimyoureffortsattheadministratorsorofficerswhoareorwouldbeinchargeofsupervisingandimplementingthechecks.

Iflawenforcementdoesn’tseetheneedforpreventionorcompliancechecks,makethecaseforpreventionbybringingattentiontotheproblemsassociatedwithunderagedrinkingandusingdatafromyourcommunitythatindicatesyouthareobtainingalcoholfromretailsources.

Sometimeslawenforcementisn’tawarethatthecommunitysupportscompliancechecksandmaybeconcernedaboutretailerobjectionstoenforcement.Inthiscase,generateanddemonstratethesupportthatexistsfortheeffortbylinkinglawenforcementwithkeysupporters,conductingcommunitypollsorconductingmediaadvocacy.

Iflawenforcementisn’tsurethestrategywillwork,provideresearchsharedearlierinthistrainingthatdemonstratesitseffectivenessaswellasdataandresourcesfromothernearbypolicedepartmentswhoaresuccessfullyimplementingthestrategy.

Iflawenforcementdoesn’tbelievetheyhavetheresourcestoimplementcompliancechecks,offertosupportsomeoftheadministrativeaspectsoftheoperation.



CollaborationAstrongpartnershipbetweenlawenforcementandapreventioncoalitioncanincreasethelikelihoodofasuccessfulcompliancecheckprogramandsustainabilityovertime.Thecoalitionparticipatesinaneffectiveevidence‐basedinterventionandthelawenforcementagencyisabletoimplementcompliancecheckswithoutdraininglocalresources.Whilecompliancechecksmustbeconductedbylawenforcement,coalitionscanworkwithlawenforcementpartnersto:

ensurebestpractices/SAPPstandardsaremet coordinatetraining, locateandprovidefinancialresources, buildcommunitysupport,and conductmerchanteducation.

SAPPprovidersandcommunitycoalitionsshoulddevelopaMemorandumofUnderstandingwithlawenforcementpartnersthatdocumentstheagreementandclarifiesrolesandresponsibilities.MOU/Sub‐ContractAMemorandumofUnderstanding(MOU)isadocumentdescribinganagreementbetweentwoormoreparties.EachMOUshouldincludethefollowing:

Namesofbothpartiesandlength/dateofagreement Descriptionofthescopeofservices,includingtimelinesandcompensation Rolesandresponsibilitiesofbothparties Signatureanddateofeachparty



MOU(SAMPLE)ThisMemorandumofUnderstanding(MOU)isenteredintobetweenAnytownPoliceDepartmentandABCCoalition,forservicesfromJuly1,2013–June30,2014asfollows:AnytownPoliceDepartmentagencywillconduct4roundsofcompliancechecksbynolaterthanJune30,2014.Compliancechecksshouldoccuronaquarterlybasis,orevery3months,throughoutthecounty.Duringthetermofthisagreement,aslongasfundingisavailable,ABCcoalitionagreestopayAnytownPoliceDepartment$4,000.00for4roundsofcompliancechecks,includingfundsforyouthstipends.ABCLawEnforcementAgencyagreesto: NotifytheStrategicPreventionFrameworkProjectCoordinator,atleast2weeksprior

tocompliancecheckdetailsoccurring. ProvidetheresultsofthecompliancecheckstotheStrategicPreventionFramework

ProjectCoordinatorwithin2weeksafterthecompliancechecksarecompleted,including:

Datesofperformedcompliancechecks Namesofestablishmentschecked Statusofchecks(passorfail) Numberofcitationsornoticetoappearissued

ABCLawEnforcementAgencyagreestoadheretoalloftheSAPPStandardsforComplianceChecks(seeattached).

ABCCoalitionagreesto: Informretailersoftheirresponsibilitytonotservealcoholtominors(within3weeks

priortoupcomingcompliancechecks) Promoteawarenessofthepolicy/consequenceofservingalcoholtominors Developanddistributepressreleasesannouncingresultsofcompliancechecks Recruitandcoordinatetrainingforunderageyouthvolunteers. ProvideopportunitiesforResponsibleBeverageServerTrainingtoretailersAuthorizedRepresentative,ABCCoalition Date AuthorizedRepresentative,AnytownPoliceDepartment Date



SecuretheSupportofAdjudicators/ProsecutorsSAPPStandard:2. Thesupportofadjudicators/prosecutorshasbeensecuredTheComplianceChecksPlanshouldaddresshowjudicialpartnerswillbeinformedoftheoperationandincludestrategiestogarnerandmaintaintheirsupport.

Educatejudicialpartnersaboutlocalunderagedrinkingproblemsandthegoalsandeffectivenessofthestrategytohelpbuildsupportandpreventdismissalsorlackofadministrativefollow‐throughandprosecution.

Statestatutesrequirethatlocalcompliancecheckprogramsbeapprovedbythegoverningbody.Thelocalliquorcontrolcommissioner,normallythecitymayororvillagepresident,isinstrumentalinlocalpolicydevelopmentandismandatedunderIllinoisPublicActtoestablishpolicyandstandardsforalcoholcomplianceoperations.

Legaladviceshouldbesoughtfromthestate'sattorneyand/orthelocallegalcounsel.Injurisdictionswherestatestatuteswillbeutilizedtheguidelinesshouldbereconciledwiththecountystate'sattorney.Wherealocalordinanceisused,thecityorvillagecorporationcounselshouldbeconsulted.

Operationsgreatlyimpacttheregulatoryandcriminaljusticesystem.Sharingtheplanwithregulators,courtsandprosecutorsallowsthemtoestablishsystemsandpreparetodealwiththeadditionalchargesgeneratedbytheenforcementcampaign.

Source:PacificInstituteforResearchandEvaluation(10)



TargetEnforcementEffortsSAPPStandard:3. Enforcementeffortsaretargetedtolocationsandtimeofday/yearbasedondata(e.g.

citizencomplaints,lawenforcementinformation,schooleventssuchaspromandspringbreak,etc.)

Lawenforcementagenciesshouldutilizeasystematicapproachtoselectinglocationsandtimesforinvestigations,withtheultimategoalbeingvisitationofallpubliclyaccessiblelicensedoutletsonanannualizedschedulethatensuresrandomvisitationsduringquarterlyperiodsofactivity.Optimalmethodsincludeconductingchecksofallestablishments,conducting3to4checksperyear,andconductingfollow‐upcheckswithin3months.Whilethemostcomprehensiveprogramwouldinvolveallretailalcoholoutlets,itisnotalwayspracticalwithlimitedresources.Establishaprotocoldefiningwhichbusinesseswillbecheckedsothatalllicenseeshaveanequallikelihoodofbeingcheckedandtocounterclaimsthataparticularbusinessortypeofretailer(e.g.off‐premiseconveniencestores)isbeingunfairlytargeted.Approachestoselectingsites,include:

1. AllOutlets.Listsofalcohollicenseesinyourjurisdictioncanusuallybeobtainedfromthelocallicensingauthority(clerkofthecityortowncouncil);IllinoisLiquorControlCommissionorstatealcoholtaxagency.

2. RandomSelection.Obtainacompletelistoflicensees;selectandchecksitesrandomly(e.g.,everytenthoutlet).

3. Region.Ifresourcesarelimited,selectoneregionofthejurisdictionandcheckalllicenseeswithinthatarea.

4. LicenseType.Selectbusinessesbylicensetype(e.g.,liquorstore,conveniencestore,gasstation,grocerystore,restaurant,bar,etc.)androtateamongtypes.

Conductingretailcomplianceinvestigationsonanon‐goingbasisthroughouttheyearisthemosteffectivemannerofmaintainingapresenceinthecommunity.Themorefrequentthecompliancechecks,thegreatertheperceiveddeterrentthreattobusinesses,increasingthelikelihoodoflong‐termcompliance.Analternativetoconductingcontinuingretail



complianceinvestigationsistoscheduletheminwavesperiodicallythroughouttheyear.Conductinginvestigationsoveratwo‐weekperiod,threetofourtimesperyear,willkeeptheissuefreshinthemindsofbeverageretailersandassistinachievingvoluntarycompliance.Wheneverpossible,conductfutureoperationsatsitesnotinitiallytargeteduntilalllicenseesinthejurisdictionhavebeenchecked(exceptforrepeatvisitstothosethatfailedthefirstcheck).Investigationsshouldbeconductedatthesametimeyoungpeoplewouldnormallybeattemptingtomakealcoholpurchases.Underagealcoholpurchasestendtobeearlierintheeveningthanthosebyof‐ageadultsandareoftenmadeinconjunctionwithsocialeventssuchasbasketballandfootballgames,concerts,anddances.FridayandSaturdaynightsarealsoprimepurchasetimes.Somelawenforcementagencieschosetolimitagecompliancecheckstohighriskoccasionssuchashomecoming,promandgraduation,however,timetargetedchecksareunlikelytodeterretailerstherestoftheyear.Protocolshouldbeestablishedforre‐checkingsitesthathavefailedaswellascheckingproblemsitesthathavebeenreportedasthesourceofalcoholinalcohol‐relatedcrimes(fromarrest/investigationreports)andsitesforwhichthedepartmenthasreceivedcomplaints.Re‐checksshouldoccurafterameetingwithmanagement/ownershiptoemphasizetheirresponsibilitiesaslicense‐holdersandprovideresourcesforstafftraining.Itisrecommendedthatestablishmentswhofailaninitialcheckundergotwoadditionalcheckswithinthecalendar,thefirstbeingwithin3monthsoftheinitialfailedcheck.Sources:IllinoisLawEnforcementTrainingandStandardsBoard(7);PacificInstituteforResearchandEvaluation(11);WisconsinAlcoholPolicyProject(16)



ShareEnforcementDataSAPPStandard:4. Enforcementagencieshaveagreedtosupplyenforcementdatawiththe

coalition/providerasevidencedthroughamemorandumofunderstandingand/orsubcontract

SAPP/PFSproviders/coalitionswhoaresponsoringand/orworkingwithlawenforcementtoconductalcoholcompliancechecksarerequiredtoobtaintheresultsfromallcompliancechecksconducted.Aprocess/systemfordocumentingandsharinginformationshouldbedevelopedpriortothestartofthecompliancechecks.TheagreementandmethodsforsharinginformationshouldbedocumentedintheMemorandumofUnderstanding.SAPP/PFSprovidersarerequiredtoreportthefollowingoutputs:ComplianceChecks1. Totalnumberofalcoholretailers2. Totalnumberofcompliancecheckoperations(mayoccuroveramulti‐dayperiod)3. Numberofretailerscheckedonlyonceinfiscalyear4. Numberofretailerscheckedmorethanonceinfiscalyear5. Numberofretailersthatfailedatleastonecompliancecheckinthefiscalyear6. Numberofretailerswhoreceivedcitationsforfailingchecks7. Percentofretailerschecked:totalchecked(output3+4)dividedbytotalnumberof

retailers(output1)8. RetailerComplianceRate:100%–totalretailersthatfailed(output5)dividedbytotal

retailerschecked(output3+4)*100ResponsibleBeverageService(classroom‐basedtrainingonly)1. Numberofclassroom‐basedRBStrainingsheldduringthefiscalyear2. NumberofparticipantsateachRBStrainingheldduringfiscalyear3. Numberofalcoholretailersthatattendedtheclassroom‐basedRBStrainingduringthe

fiscalyear



OfficerTraining&Certification

SAPPStandard:5. Lawenforcementofficerinchargehasbeentrained/certified(orreceivedawaiver)to

conductcompliancechecksbytheIllinoisLawEnforcementTrainingandStandardsBoard

IllinoisPublicAct92‐0503requiresindividualsassignedtosupervisecompliancechecksbetrainedinacourseapprovedbytheIllinoisLawEnforcementTrainingandStandardsBoard(ILETSB).Thismeansthatatminimum,onelawenforcementofficialmustbetrainedtooverseetheprogram.Thesupervisingofficerisresponsibleforensuringtheguidelinesarefollowedandthatenforcementstaffknowwhattodo,butdoesnotnecessarilyhavetoconductoraccompanystaffoneverycheck.

StateandLocalRequirements(laws,ordinances,policies)Enforcementeffortsmustadheretostateandlocalrequirements.Legaladviceshouldbesoughtfromthestate'sattorneyand/orthelocallegalcounselwithrespecttotheconductandpatternoflocalcompliancechecks,evidencehandling,arrests,requirementsforavoidingentrapment(whatthedecoyisand/orisnotallowedtosayordo),agent/decoycriteriaandreportingpriortoinitiatingtheoperation.Thiswillhelpavoidpitfallsandhelpensurethateveryoneisonthesamepage.TheIllinoisLawEnforcementTrainingandStandardsBoard(ILETSB)hasdevelopedModelPolicyandGuidelinesforAlcoholandTobaccoComplianceChecksbyLawEnforcementOfficers.ThepublicationisdesignedtoassistlawenforcementagenciesinmeetingthemandatesofPublicAct92‐0503(TheAct).Itincludessampleoperationalorders,checklists,formsanddepartmentalpolicy.ThepolicyandguidelinesprovideanessentialstartingpointforinitiatingcompliancechecksinIllinois,andcanbeadoptedandmodifiedbylocalcommunitiesasnecessaryandallowedfor.TheModelPolicyandGuidelinescanbedownloadedfromtheILETSBwebsiteathttps://www.iletsbei.com/docs/publications/alcohol.pdf.Source:IllinoisLawEnforcementTrainingandStandardsBoard(7)



VolunteerPermission/AcknowledgementSAPPStandard:6. Protocolincludesapermission/acknowledgementformsignedbyyouthwhichincludes

programexpectationsandrequirementsincludinganon‐disclosurestatementindicatingtheywillnotdiscusstheprogramwithothers

Allvolunteersshouldsignapermission/acknowledgementformwhichincludesprogramexpectationsandrequirementsandanon‐disclosurestatementindicatingtheywillnotdiscusstheprogramwithothers.Itshoulddescribethetaskstobeperformedandthelimitsonthevolunteer’sauthorityandimmunity.Thisdocumentisintendedtoprotectboththeagencyandthevolunteer.



SignedParentalReleaseSAPPStandard:7. Protocolincludesasignedparentalreleaseforvolunteersunder18Whileideallyvolunteerbuyerswillbe18or19yearsold,ParentalConsentFormsmustbeutilizedforminorvolunteersundertheageof18.



IdentifySanctionsSAPPStandard:8. SanctionsforviolationshavebeenadministeredTheComplianceChecksPlanshouldidentifysanctionsthatwillbeappliedforviolationsofthelaw.Sanctionsshouldswift,certainandofappropriateseveritytotheviolation.Lawenforcementagencieshaveoptionsregardingthelawstheyuseintheiroperation‐theymaycitetheserver/sellerwithastateorlocallawviolationand/orthelicenseholderwithalocalordinanceviolationand/orlocallicenseviolationwhichmayalsobesenttotheIllinoisLiquorControlCommission.IllinoisPenaltiesInIllinois,criminalsanctionscanbeimposedonlicenseesandindividualsforsellingordistributingalcoholicbeveragestoindividualsunder21yearsofage.Potentialfinesrangefromaminimumof$500toamaximumof$2,500andcouldincludeajailsentenceofuptooneyear.Liquorlicensescanalsobefined,suspendedorrevoked.LocalSanctionsLocalordinancesandadministrativeprocessesshouldclearlystatethefines/penaltiesforviolations,toensuretransparencyandfairness.Localordinances/administrativeprocessesallowforgreaterflexibilitytoapplycreativesanctionsand/orprogressivefinesthanifstatelawisused.Priortoinitiatingtheoperation,communitiesshouldreviewtheirlocalordinancesandtalkwiththelocalliquorcontrolcommissionertoensurethattheresultingpenaltiesandsanctionswillhavethedesireddeterrenteffect.Thecommunitymaydecidetoadvocateforanordinance/policyadoptionorchangeiftheexistingsanctionsarenotofappropriateseverity.



TypesofSanctionsProgressivefinesaregraduatedforfirst,second,andsubsequentoffenses.Forexample,inChampaignIllinois,aninitialviolationinacalendaryearisa$500fine,asecondviolationisa$1000fine,andathirdandsubsequentviolationsincuralicensesuspension.Creativesanctionsmightimposepenaltiesotherthanfinesandfurtherencouragevoluntarycompliance.InChampaign,localpoliciesallowtheinitial$500finetobewaivedifthelicenseehashadnoviolationsoverthelasttwoyears,has75%ofthestafftrainedinResponsibleBeverageService(RBS),orhadvoluntarilyparticipatedinCopsinShopsenforcementatleastthreetimeswithinthelastyear.Progressivefines&creativesanctionshaveseveralbenefits:

Licensingauthoritiesmaybemorelikelytoapplypenaltiestofirst‐timeoffendersifsanctionsaregraduatedandthefirstpenaltyisnotoverlysevers

Businessownersmaybelesslikelytocontestcharges Thecommunitymayseespecificgraduatedconsequencesasbeingfairertothe

businessesLocalpoliciesshouldalsoaddresswhensanctionsaretobeappliedsothattheyareadministeredfairly.Forexample,ifthepenaltyincludesaperiodoflicensesuspensionthenapolicymaystatethatthesuspensionmustbeservedonthesamedayoftheweekandundersimilarconditionsoccurringatthetimeoftheviolation.Sources:AlcoholEpidemiologyProgram(1);WakeForestUniversitySchoolofMedicine(15);WisconsinAlcoholPolicyProject(16)



InformRetailersSAPPStandard:9. Retailersarenotifiedatleastoncethatcompliancecheckswillbeconductedandthe

consequencesofbeingoutofcomplianceornon‐compliancewiththelawAcriticalcomponentofcompliancechecksisinformingretailersofupcomingenforcement.Notificationshouldbeclearanddirect,suchaslettersorin‐personvisitstoeachretailer.

Informretailersthatcompliancecheckswilloccur,butnotwhentheywilloccur. Educatethemabouttheirresponsibilityandpotentialconsequencesofsalesto

minors. ProvideadditionalsupportbymakingBASSETtrainingavailable.

Keepinmindthatthegoalistopreventalcoholsalestominors,nottoamassviolations.Informinglicenseesthatenforcementisupcomingandongoingcan:

increaseawarenessofunderagedrinkingproblems, deterretailersfromsellingtominors, improvecaseoutcomessincejudgesandlicensingauthoritiesmaybemorelikelyto

sanctionviolatorsthathavereceivededucationandwarnings,and increasesupportfromthebusinesscommunitybyinstitutingafairprocess,advance

noticeandeducationalsupport.

Source:WakeForestUniversitySchoolofMedicine(15)



PublicizeResultsSAPPStandard:10. Informationaboutthecompliancechecksandenforcementeffortresultshavebeen

publicizedwithinthecommunity–atleastonceperfiscalyearTheComplianceChecksPlanshouldincludestrategiesforgettingthemediaonboardandoutlinethesystemtobeusedforcollectingandreportingdata.Whileplanningthecompliancecheckoperation,itisimportanttodeveloprelationshipswiththemediaandlearntheirprotocols.Establishingarelationshipandgeneratinginterestandsupportfortheissueinadvanceoftheoperationwillincreasethelikelihoodofgettingmediacoveragewhenit'sneeded.Priortotheoperation,developacurrentcontactlistthatincludescontractinformationforeachrelevantlocalmediaoutlet.Introduceyourselftoreporters,editorsandothersthataremostlikelytocoveryourissue.Provideinformationthatwillmakeyourcontactswanttostayontopoftheissueandletthemknowyoucanbereachedforcommentontheissuewhenneeded.Inordertopublicizeresults,thecoalition/departmentwillneedtohaveasysteminplacetocollectandtrackdataregardingeachwaveofchecks.Thenamesofestablishmentswillingtosellalcohol,aswellasthosethatrefusedsaletotheunderagedecoy(s)ineachwaveshouldbepublicizedtothecommunitythroughmedia.Sources:Bruyer(2);PacificInstituteforResearchandEvaluation(10,11);WisconsinAlcoholPolicyProject(16)



ProvideBASSETTrainingSAPPStandard:11. BeverageAlcoholSellersandServersEducationandTraining(BASSET)certified

ResponsibleBeverageServiceprogramisavailable RetailerswerenotifiedoftheBASSETcertifiedtrainingprogramoptionsavailable ProviderhasassessedhowretailersprefertohavetheirstafftrainedintheBASSETcertifiedprogram–onlineorfacetoface

WithintheSAPPsystem,compliancechecksmustbepairedwithResponsibleBeverageService.Responsiblebeverageservertrainingsprovideeducationopportunitiestoowners,managers,servers,andsellersatalcoholestablishmentsonhowtoavoidillegallysellingalcoholtounderageyouth.TheBeverageAlcoholSellersandServersEducationandTraining(BASSET)programistheStateofIllinois'seller/servertrainingprogram.TheComplianceChecksPlanshouldoutlinehowandwhentheBASSETprogramwillbeoffered.



ComplianceChecksPlanTemplate Description/Checklist

1. Describehowthecoalitionhasorwillsecurethesupportoflawenforcement(attachMOU).

2. Describehowthecoalitionhasorwillsecurethesupportofadjudicators/prosecutors.

3. Describetheprocessforschedulingenforcementtoensureeffortaretargetedtolocationsandtimeofday/yearbasedondata.

4. Describetheprocessandguidelinesfortheprovider/coalitiontoobtainenforcementdatafromlawenforcement(attachMOU).

5. Verifylawenforcementofficerinchargehasbeentrained/certified(orreceivedawaiver)toconductcompliancechecksbytheIllinoisLawEnforcementTrainingandStandardsBoard.



Description/Checklist

6. Ensureprotocolincludesapermission/acknowledgementformsignedbyyouthwhichincludesprogramexpectationsandrequirementsincludinganon‐disclosurestatementindicatingtheywillnotdiscusstheprogramwithothers.

7. Ensureprotocolincludesaprocessforobtainingsignedparentalreleaseforvolunteersunder18.

8. Describethesanctionsthatwillbeappliedforviolations.

9. Develop/describeaprocessfornotifyingretailersatleastoncethatcompliancecheckswillbeconductedandtheconsequencesofbeingoutofcomplianceornon‐compliancewiththelaw.

10. Describethemethodsandprocessesforpublicizingresults.

11. DescribeprocessforassessingretailerpreferenceofBASSETtrainingtype;describethescheduleandretailernotificationprocessforprovidingBASSET.



Implementation



ImplementationOverviewImplementingcompliancechecksistheroleoflawenforcement.Asyouworkwithlawenforcementonimplementingcompliancechecks,youshouldbeknowledgeableaboutthestrategy.Belowarethemajorcomponentsofcompliancechecksthatareincludedinthismodule.UnderageBuyersAcriticalcomponentoftheoperationisidentifyingthevolunteerunderagebuyerswhowillparticipateinthedetail.Selectionanduseofthevolunteersshouldpresentareasonabletestoftheretailer’spracticesandinclinationtosell,yetbeabovesuspicionoftrickeryorentrapment.

TrainingTrainingprovidesunderagevolunteerswiththeknowledgeandskillsnecessarytoconductthecompliancecheckswithconfidence.Duringtheformaltrainingprocess,volunteersshouldbeprovidedwithinformationaboutwhattowear,whattosay,andhowtoact.

ProceduresThelawenforcementagencywillneedtodevelopprocedurestoensuresmoothimplementationoftheoperations.Theywillneedtodeterminewhethervolunteersaregoingtocarrytheirownidentification;identifytheevidenceneededfortheoperation;developproceduresforthetransaction;anddeterminewhenandhowcitationswillbeissued.

DocumentationLawenforcementwillneedtomaintainadetailedlogofallinvestigationsanddocumentallviolationswithapolicereport.Lawenforcementwillalsoneedtogatherevidencetosupporteachcitation.

Follow‐UpwithRetailersLawenforcementwillneedtonotifyestablishmentsafterthechecksareconductedthatthechecksoccurredandtheoutcomeofthechecks.



UnderageBuyersUnderagevolunteers(buyers/decoys)arethebackboneofasuccessfulretailercomplianceinvestigationprogram.Selectionanduseofthevolunteersshouldpresentareasonabletestoftheretailer’spracticesandinclinationtosell,yetbeabovesuspicionoftrickeryorentrapment.RecruitmentInrecruitingunderagevolunteers,youmightexplore:

Familymembersofcoalitionmembersand/orofficers Faith‐basedorganizations Youthgroups/membersofschool‐basedpeerleaderprograms Policecadetsorinterns Criminaljusticestudents Referralsfromyouthalreadyinvolvedinprogram Newspaperads

Nomatterhowthevolunteerisrecruitedorwhoheorsheisreferredby,allunderagebuyersmustbesubjectedtothesameprotocols,backgroundchecksandageverificationtesting.MultipleBuyersHavingtwodecoysworktogether,whethertheyentereachsitetogetheroralternatepurchaseattemptsatsites,canbebeneficial.Multiplebuyerscansupporteachother,andmayseemmorecommon/naturaltoanoutlet'semployees.Also,employingmultiple/differentbuyersateachsitemayoffsettheeffectsof“phonetrees”wherebusinessescallotherestablishmentstowarnthemthatcompliancechecksarebeingdone.Whetheroneormoredecoysareemployed,itisbestnottohaveanunderagebuyerpartnerwiththeplainclothesofficerinordertoavoidchargesofentrapment.Ifthebuyeriswithanadult,itmayappeartothesellerasifthebuyerispurchasingwithaparent.Additionally,iftwodecoysareusedatonesite,onlyoneshouldbeinstructedtomakethepurchaseattempt.



BuyerAgeWhenconductingcompliancechecks,theyoungpersonattemptingtopurchasealcohol(thebuyer)mustbeunderage.Thebuyershouldbeunder20andideallyshouldbe18or19yearsofage.Ifthebuyerisnotactuallyunderage,nolawwouldbeviolatedwhenanestablishmentsellstothebuyer.Theappearanceofthebuyershouldpresentareasonabletestoftheserver/seller‐notappearsoyoungastoobviouslybeunder21,butalsonotappeartheageof21toobjectiveobservers.Additionally,buyersshouldnotbetooclosetotheageof21soastoensurethattheyarestillaminorwhenandiftheyhavetoprovidetestimony.

BuyerAppearanceAppearanceofthevolunteerisamajorconsiderationindefendingtheinvestigationsagainstchargesoftrickeryorentrapment.Thedecoysshouldlookandacttheiractualageandshouldnotalter/enhancetheirappearancethroughcosmetics,differenthairstyles,orclothingthattheywouldnotusuallywear.Malesshouldnothavefacialhairandfemalesshouldnotwearheavymakeup.Ballcapsandsunglasseswhichmayhideportionsofthefaceordisguisethevolunteershouldnotbepermitted.Revealingorsuggestiveclothingshouldneverbewornbythevolunteer.Thevolunteersshouldblendintothecommunitywheretheywillbeattemptingsales.Bothmaleandfemaleyouthshouldbeusedintheoperation.BuyerCharacterDecoysshouldbeofgoodcharacter.Theyshouldnothavecriminalrecords.Youwillwanttoavoidanyperceptionthattheyoutharecompelledtoenticesalesinreturnforlessersanctionsorpersonalbenefit.Thispitfallcanleadtoissuesincourtandresultinthedismissalofenforcementactivities.

WrittenStatementsAllvolunteersshouldbefullyinformedofthenatureoftheirrolewithintheoperationandbewillingandabletofulfillallfunctionsrequiredofthem.Underagevolunteerswillberequiredtocompleteaformorwriteastatementwhichdocumentseachcompliancecheckinwhichtheyareinvolved.Thisstatementshouldbecompletedbytheunderagevolunteerimmediatelyfollowingcheck.Thisstatementisparticularlyimportantwhenasaleismade,andwillincludesuchinformationaswhosoldtotheminor,datesandtimes,circumstances,etc.Thestatementbecomespartoftheofficialcasereportandmaybecriticalduringsubsequentadministrativeorcriminalproceedings.



CourtTestimonyAllvolunteersmustbeavailableandwillingtoattendanysubsequentcourtproceedingsand/oradministrativehearingsthatmayresultfromtheirinvolvementinthecompliancecheckoperations,ifneeded.

Age‐appearanceValidationThemostcommondefenseofferedbyretailerswhofailcompliancechecksisthatthebuyerlookedtobeover21andsotheydidnotaskforidentification.Anageverificationprocesswillobtainanobjectiveassessmentoftheageofeachvolunteerfromasampleofadults.Ageverificationinvolvesrandompublicpolling(inahightrafficareasuchasamallorpark)oranageassessmentpanel(comprisedofresponsibleadultswithdiversebackgrounds)toestimatetheageofthe(in‐person)volunteer.Theageverificationprocessshouldobtaintheopinionsofatleasttenadults.Volunteerswhoseage‐appearanceisbetween18and20yearsofageshouldbeacceptedintotheprogram,whilethosewhotesttooyoungorappeartobe21oroverbymostinthesampleshouldnotbeacceptedintotheprogram.Itisimportantthattheprocessiswelldocumented,includingthepotentialvolunteer'sname,theiractualageatthetimeofassessment,theprocess/locationofassessment,aphotographofthevolunteeratthetimeofassessment,andtheageestimationsacquired.DocumentationAfileshouldbeestablishedoneachvolunteerthatverifiesthathe/shemeetstheestablishedcriteria.Thefileshouldcontain:

Photographs(fromeachdetail) Copyofdriver’slicense,state‐issuedIDcard,orbirthcertificate. Backgroundcheckresults Acknowledgementform ParentalConsentform,ifunderage18 AgeVerificationresults Recordofdetailsconductedandpass/failrates*

*Itisrecommendedthatavolunteernotbeusedifheorshehasaconsistentlyhighbuyrate.Itisimportanttoensurethatavolunteer’sappearanceordemeanorisnotconsistentlycausingtheretailemployeestobelievethatavolunteerisover21.Sources:IllinoisLawEnforcementTrainingandStandardsBoard(7);PacificInstituteforResearchandEvaluation(10;11);PreventionFirst(13);WakeForestUniversitySchoolofMedicine(15)



VolunteerTrainingTrainingprovidesunderagevolunteerswiththeknowledgeandskillsnecessarytoconductthecompliancecheckswithconfidence.Duringtheformaltrainingprocess,volunteersshouldbeprovidedwithinformationaboutwhattowear,whattosay,andhowtoact.Everyattemptismadetolimitthevolunteer’sdiscretionandensurethattheprocessisaccomplishedinasafeandexpeditiousmanner.CourtProcessesIfcriminalcomplaintsoradministrativesanctionswillbesought,explainthecriminalcourtandlicensingsanctionprocesses.Ensurethatthebuyerunderstandsthattheymaybecalledupontobeawitnessandmayhavetotestifyinpublicbeforeajudge,jury,orcitycouncilregardingtheparticulardetailsofacompliancecheck.

ProtocolAwalkthroughofprotocolsandexpectationswillprepareyouthforasuccessfulbuyattempt.Duringtraining,volunteersshouldbeprovidedwithclearguidanceonexactlyhowtoattemptthesale.Theuseofarole‐playscenarioisagreatwaytobuildconfidenceandreducenervousness.Settingthestageandputtingallplayersthroughthestepsofacompliancecheckwillensurethateveryoneisonthesamepagebeforeenteringtheretailenvironment.Achecklistorlistof“do’s”and“don’ts”canalsohelppreparevolunteersforthecheck.Forexample,volunteersshouldbeadvisednottoloiterintheestablishment,nottoengageinanyunnecessaryconversationwiththeclerkorpatrons,todiscontinuethecheckandleavethestoreiftheyrecognizetheclerkorapatron,andtoansweranyquestionsposedbytheclerktruthfully.Toavoidallegationsofentrapment,thevolunteershouldneversayordoanythingtoenticetheclerktosellthemalcohol.AppearanceItisimportantthatunderagevolunteersdonothingtoenhancetheirappearanceduringcompliancechecks.Theyshouldnotdressinamannerthatconfusesortricksretailers.Buyersshouldbeinstructedtowearclothingthatisageappropriateandthatfitsthegeographicarea.Buyersshouldnotweardatedclothingoritemssignifyingacollege,fraternity/sorority,etc.Gentlemenshouldshavebeforereportingtoworkandshouldnotwearaballcaporsunglasses.Ladiesshouldnotwearexcessivemake‐up,jewelry,orrevealingclothing.



SafetyWhilemostcompliancechecksarecompletedinaveryshortamountoftimeandwithoutincident,potentialsituationsthatmightmakeavolunteeruncomfortableorunsafe‐andwhattheyshoulddoasaresult‐shouldbediscussedduringtraining.Volunteersshouldbegiventheauthoritytoleavetheestablishmentandgostraighttothebackupofficeriftheyfeelunsafeoruncomfortableforanyreason.PurchaseItisimportantthatthevolunteerknowexactlywhattheyarelookingfor,andpreferablywhereitcanbefound,beforeenteringthepremises.Theproductofchoiceshouldbeageappropriate;somethingthatlocalyouthwouldnormallypurchasewithoutraisingsuspicion.Beerisgenerallyrecognizedasthedrinkofchoiceamongyoungpeople.Typicalyoungdrinkersselectcommonandlessexpensivebrandsofbeer.Additionally,thealcoholpurchasedisevidence;canned/bottledproductshelpconfirmalcoholcontentandlikelywon'trequirelabtesting.Instructiontodecoysshouldincludewhatbrandnameandsizetopurchase,andshouldbeconsistentfromstoretostoresothatthebuyerisdecisiveinhis/heractions.Post‐AttemptWhetherthepurchaseissuccessfulordenied,thevolunteershouldleavethepremiseimmediatelyandmeetatapreviouslydeterminedlocationtobrieflawenforcementandrelinquishanyalcoholpurchasedandremainingmonies.Sources:PacificInstituteforResearchandEvaluation(10,11)



ProceduresIdentificationThelawenforcementagencyshoulddecideaheadoftimeifvolunteersaregoingtocarrytheirownidentification.ItisrecommendedthattheycarryIDandpresentitwhenasked.Whilethereisariskoftemporarilyidentifyingthebuyer;thisprocedureprovidesamorerealistictest.ManytimesretailclerkssimplyaskforIDaspartofaroutineanddonotactuallyexamineittodetermineifitisaltered,current,orevenbelongstothepresenter.TheuseofaproperIDalsoteststheclerk’sabilitytoaccuratelycheckthedateofbirthontheID.Ifthevolunteersdonotcarryidentificationandtheyareaskedforit,thevolunteersshouldstatethattheydonothaveID.Someclerkswillstillselltothem.Source:PacificInstituteforResearchandEvaluation(11)EvidenceCashwillbeneededforthepurchaseattempts(SAPPfundscannotbeusedtopurchasealcohol).Somedepartmentsdocumentandtrackserialnumbersofbillsforevidencesotheycangetthemoneyback.Yourcourtmaybeabletosetupafundfromfinesthatcouldbeusedfor“buy”money.

Aphotographshouldbetakenoftheunderagebuyer(s)whowillbeusedintheinvestigationandputitonfile.

Determinewhetherelectronicmonitoringwillbeusedintheoperation;obtainequipmentifnecessary(Illinoisisatwopartyconsentstate,thusaudiorecordingisnotpermitted,however,thetransactionmaybevideotapedwithoutaudio).TransactionTheagencyvehicleshouldbeparkedinamannersoasnottotipofftheclerk.Preferably,aplainclothesofficershouldentertheestablishmentfirstforsafetypurposes,butnotentersoclosetothevolunteerastomakeitappeartheyaretogether.Theofficershouldbeinapositiontoobservethetransactionandserveasawitnesstotheviolation.Theofficermayappeartobelookingforaproductormayselectanitemandwaitinlinebehindthevolunteer.Thevolunteershouldentertheestablishmentandquicklyattemptthepurchase.Anotherofficershouldbepositionedoutsidetowatchforpotentialproblemsandthreats,andtosupporttheofficerandvolunteerinsidethestore.Oncethevolunteerhascompletedthetransaction,heorsheshouldleavethestoreandproceeddirectlytothevehicletobedebriefed.Thewrittenstatementshouldbecompletedwhilethefactsarestillfresh.Sources:AlcoholEpidemiologyProgram(1);Bruyer(2);IllinoisHigherEducationCenter(6);PacificInstituteforResearchandEvaluation(11)



CitationsLawenforcementwillneedtodeterminewhenandhowcitationswillbeissued.Inanimmediatepost‐buycontact,theofficerapproachestheseller/serverandexplainsthecompliancecheck.Ifnosalewasmade,theserver/selleriscongratulated;ifasalewasmade,theofficerissuesthecitationonthespot.Oneproblemwithimmediatecontactisthatmanybusinesseswillcallneighboringretailoutletstowarnthemthatenforcementisoccurring.Therefore,someagenciesavoidimmediatecontactwiththesellerorbusiness,andinsteadusedelayedpost‐buycontact.Inadelayedpost‐buycontact,compliancechecksareconductedatseveralestablishmentswithoutanylawenforcementcontactwiththesellersorthebusinesses.Theofficerfullydocumentsthesalewithsufficientdetailtoensureidentificationoftheindividualsellerwhencontactismadeatalatertime.Afterallbusinessselectedforthatwaveofinspectionshavebeencheckedofficersreturntocompleteenforcementactivities.Sources:Bruyer(2);WakeForestUniversitySchoolofMedicine(15)



InvestigationDocumentationLawenforcementwillneedtomaintainadetailedlogofallinvestigationsanddocumentallviolationswithapolicereport.Thelogmightinclude:

thenameoftheestablishment, thedateandtimeofthecheck, identificationoftheserver/seller(i.e.name,description,actions),and resultsoftheattempt.

Ifaviolationoccurs,apolicereportwillbecreatedthatmightcontain:

astatementbytheminoroftheirparticipationinthecase, anystatementsmadebytheoffendingemployee(s),and evidence/evidencechain.

Theleadorsupervisingofficeroftheoperationshouldensurethatcitationsandreportsareforwardedtotheappropriateauthority.Sources:IllinoisHigherEducationCenter(6);PacificInstituteforResearchandEvaluation(11)



Follow‐UpwithRetailersStatelawrequiresthatanylicenseesubjectedtoacompliancecheck,whethertheypassorfail,mustbenotifiedinwritingwithin60daysoftheactualcheck.Oncelawenforcementissuescitations,itisuptothecourtsystemtofollow‐through.Ifyouhavebuiltthesupportofthejudicialsystem,asdiscussedearlierinthetraining,thentheappropriatepenaltiesandsanctionsshouldbeapplied.SAPPProvidersarerequiredtoreportthenumberofsanctions/consequencesadministered,andfollow‐upwiththecourtsystemasnecessarytoobtainthisinformation.SamplelettersfromtheCityofChampaignPoliceDepartmenthavebeenincludedonthefollowingpages.Additionalsamplescanbefoundat:http://www.udetc.org/commcoaltools.htm.PassLicenseesthatrefusedtoselltodecoysshouldreceivenotificationandrecognitionfortheirsuccessfultrainingandscreeningprocedures.Inadditiontocongratulatoryletters,thecommunitymightprovidecertificatesororganizemediaeventsorbanquetstorecognizelicenseesthatpasscompliancechecks.Businessesthatpasschecksshouldreceivepositivefeedbackabouttheeffortstheytooktoensurestaffwascompliantwiththelawsandbeencouragedtorecognizeandrewardtheemployeewhowasinvolvedinthecheck.FailNotificationandeducationtolicenseesthatfailacheckshouldincludedataontheoveralloutcomeandconsequencesoffailure,encouragebetterpractices,communicationandtrainingamongstaff,andprovideeducationontheproblemsandconsequencesassociatedwithunderagedrinking.Source:Bruyer(2)



SamplePassLetter



SampleFailLetter



PublicizeResultsPublicizingresultscanfostervoluntarycomplianceofretailersbymakingitclearthatthelawsarebeingenforced.Establishmentswhichhavenotbeentestedmaybemorevigilantbecausetheyfearfailing,andlicenseeswhohavefailedandwhosenamesaremadepublicmaybespurredtobemorecarefulbecausetheydonotwanttofaceadditionalpenaltiesornegativepublicopinion.Increasedmediaattentioncanalsohelpraisecommunityawarenessoftheproblemsstemmingfromunderagedrinking,strengthencommunitynormsandreassurethepublicthatretailersareheldaccountablefortheirbehavior.Somecommunities/departmentsmightwishtopublicizetheresultingconvictions/fines/sanctionsinadditiontoorinsteadoftheinitialfailureandcompliancerates.Informationshouldbeprovidedtothemediaasquicklyaspossible‐newsbecomesstaleveryquicklyandadelayinprovidingresultsmaymeantheinabilitytoobtainmediacoverage.



ResponsibleBeverageService



ResponsibleBeverageServiceTrainingFirstoff,let'sclarifysometerms.YoumayhaveheardthetermsResponsibleBeverageService,RBS,MerchantTraining,Server/SellerTrainingorBASSET.Thesearealltermsforbasicallythesamething–atrainingthateducatespeoplewhosellorservealcoholtoserveresponsiblyandwithinthelaw.Whilemostofthesetermsaregeneralandusedinterchangeably,BASSETistheStateofIllinois’server/sellertrainingprogram.BASSETwasoriginallycreatedtosetthestandardsthatresponsiblebeverageservicetrainingprogramshadtomeettobecomecertifiedintheStateofIllinois.Overtheyears,BASSEThasbecomeatrainingprograminandofitself‐afewoutsideentitieshavepackagedmaterialsandoffertrainingtocertifyindividualstoimplementBASSETintheircommunities.IntroductionMerchantTrainingprogramsgiveowners,managers,andstaffofestablishmentsthatservealcoholknowledgeandskillstohelpthemservealcoholresponsiblyandwithinthelaw.TheBeverageAlcoholSellersandServersEducationandTraining(BASSET)programistheStateofIllinois'seller/servertrainingprogram.TheobjectivesoftheBASSETprogramareto:

• Spotsignsofintoxicationandintervene• PreventDUIsandalcohol‐relatedfatalities• Stopunderagesalesandunderagedrinking• Createsafercommunitiesandalcoholestablishments• Educateestablishmentsonregulationsguidingalcoholservice

EvidenceThisstrategyhasbeenfoundtohavesomeeffectalone,however,studiespointoutthatthemosteffectiveprogramsarethosethataremandatory,includeownersandmanagersaswellasservers,andwherethereisactiveandvisibleenforcement(i.e.compliancechecks).Resultsofelevenstudiespublishedbetween1987and2009showedthatResponsibleBeverageServiceledtopositivechangesinestablishmentpoliciesandpractices,suchascheckingIDofunderage‐lookingcustomers,eliminatingdrinkpromotions,providingsafedrinkinginformationforcustomers,denyingservicetoobviouslyintoxicatedcustomers,promotionsoffoodandnon‐alcoholicbeverages,andarrangementofalternativetransportation.Sources:TheSource:Hoover(5)



CharacteristicsofEffectiveRBSTrainingResearchonRBStrainingindicatesseveralkeycharacteristicsthatareassociatedwithgreatereffectiveness(Mosheretal.,2002):

Comprehensivetrainingthatincludesthephysicalandsocialimpactofalcohol;localandstatelaws;techniquestopreventservice/salestominorsandrefusingservice/salestointoxicatedpatrons.

Includeskilldevelopmentcomponentwithroleplaying TargetbothmanagersANDservers Includemanagementpolicydevelopment Lastaminimumlengthoffourhours Criteriaandproceduresforcertifyingtraining,trainers,andtrainees Periodicrefresherorboostertraining Activemonitoringoftrainingprograms,trainee,andlicenseecompliance



BenefitsofBASSETBASSEThasmanybenefitsincludingpreventionofunderagedrinkinganddrunkdriving,andpreventionofalcoholrelatedproblemslikepropertydamageandphysicalassault.TheIllinoisLiquorControlCommissionencouragesvoluntaryparticipationinBASSETtoequipalcoholserversandsellerswiththeskillsnecessarytopreventanyalcohol‐relatedmishaps.BASSETtrainingcanalsoreduceanestablishments'liquorliabilityinsurance.FormoreinformationaboutBASSET,visit:http://www.illinois.gov/ilcc/Education/Pages/BASSET/Home.aspx.



TrainingStrategyRememberthatwestatedearlierthatresearchindicatesthatthemosteffectiveRBSprogramsarethosethataremandatoryandincludeownersandmanagersaswellasservers.BASSETtrainingisnotmandatoryintheStateofIllinois,howeversomemunicipalitiesintheStateofIllinoisdorequireBASSETtraining.Thereareover150liquorlicenseauthoritiesinIllinoiswhohaveestablishedspecifictrainingrequirementsasaconditionforemploymentinaliquor‐servingestablishment.Somecommunitiesrequiretrainingforbusinessesandemployeeswhofailinitialcompliancechecks.It’simportanttodeterminewhetherthereareserver/sellertrainingrequirementsinyourcommunitybeforeinitiatingtheprogram.Ifnoneexist,communitiesmayadvocateforordinancesormandatesthatrequiretrainingoradministeravoluntaryprogram.Mandatoryprogramswillresultinahigherpercentageoftrainedserversandsellersthanvoluntaryprograms,makingmandatoryprogramsmorelikelytohavethedesiredresultofreducedsalesofalcoholtominorsandalcohol‐relatedproblems.



PlanningTrainingScheduleTrainingshouldbeaccessibletoallservers/sellersinthecommunity.Trainingshouldbeoffered:

priortocompliancecheckoperations, frequentlyenoughtoaccommodatethenumberofservers/sellersinthecommunity

andtoaccountforturnover, inlocationsthatareconvenientforparticipantstogetto, inthepreferredformatofparticipants(onlineand/orclassroom),and attimeswhenparticipantsareavailable.

TrainersTherearecurrentlyover200licensedBASSETprovidersthroughouttheStateofIllinois(http://www.illinois.gov/ilcc/Education/Pages/BASSET/Training‐Class‐Directory.aspx).Determinewhethertherearetrainersavailableinyourcommunityoridentifynew/additionaltrainerstodelivertheprogram.Alicensemustbeobtainedinordertoconducttrainingclasses.BASSETtrainersbecomecertifiedbysuccessfullycompletingalicensedandrecognizedinstructiontrainingcourse(http://www.illinois.gov/ilcc/All%20documents%20site%20wide/Education/Basset/training.pdf)andsubmittinganapplicationand$250(annual)feetotheIllinoisLiquorControlCommission.CurriculumAllIllinois‐licensedBASSETcurriculamustinclude,ataminimum,informationinthefollowingareasofinstruction:

Area1:Physicalpropertiesofalcohol,drugsandalcoholism Area2:PreventionandInterventiontechniques Area3:IllinoisStatestatutes,localordinances,IllinoisDUIlaws Area4:Properidentificationtechniques,policepoliciesandexpectations Area5:Dramshopliabilities,insuranceandvictim’srights



PromotionBASSETshouldbepromotedinawaythatensuresallalcoholestablishmentsareawarethattrainingisavailableandthebenefitsofparticipating.Strategiesforpromotingtheprograminclude:

Letterstoeachlicensedestablishment,deliveredin‐personorbymailpriortocompliancecheckoperations

ChambersofCommerce/localbusinessnetworks Flyersincludedwithcompliancecheckfailureandsuccessnotifications Massmedia(localadvertisements)



CollectandReportOutputs

SAPPProvidersimplementingBASSETinconjunctionwithalcoholcompliancechecksarerequiredtoreport:

NumberofBASSETtrainingsoffered NumberofparticipantscompletingBASSETtrainings Numberofretailersforwhichatleastonestaffmemberistrainedduringthefiscal

yearSAPPProviderswhoarepartneringwithotherorganizationstoimplementBASSETshouldensurethatanMOUisinplacethatincludesanagreementandprocessforobtainingtherequiredinformation.



References1. AlcoholEpidemiologyProgram.Alcoholcompliancechecks:Aproceduresmanualfor

enforcingalcoholage‐of‐salelaws.Minneapolis:UniversityofMinnesota,2000.Print.2. Bruyer,Travis.Montana’sGuidetoAlcoholComplianceCheckInvestigations:

RecommendedPracticesforAlcoholComplianceChecks.StateofMontana.2013.Print.3. CenterforPreventionResearchandDevelopment.IllinoisYouthSurvey2014State

Report.Champaign,IL:CPRD,InstituteofGovernmentandPublicAffairs,UniversityofIllinois.2013.Web.

4. Edwards,BarryR.etal.Enhancedenforcementoflawstopreventalcoholsalesto

underagepersons‐‐‐NewHampshire,1999‐‐2004.MorbidityandMortalityWeeklyReport,53(21):452‐454,2004

5. Hoover,Sandra.ResponsibleBeverageService(TechnicalAssistanceResearch

Publication).CommunityPreventionInstitute.Print.6. IllinoisHigherEducationCenter.ReducingYouthAccessThroughComplianceChecks.

January24,2012.Webinar.7. IllinoisLawEnforcementTrainingandStandardsBoard.StateofIllinoisModelPolicy

andGuidelinesforAlcoholandTobaccoComplianceChecksbyLawEnforcementOfficers;IllinoisPublicAct92‐0503.AdoptedJune6,2002.Print.

8. IllinoisLiquorControlCommission.JusttheFacts.PrintedbytheAuthorityoftheState

ofIllinois,IOCI0587‐11.January2013.Web.November2013.

9. NationalResearchCouncilandInstituteofMedicine.ReducingUnderageDrinking:ACollectiveResponsibility.CommitteeonDevelopingaStrategytoReduceandPreventUnderageDrinking,RichardJ.BonnieandMaryEllenO’Connell,Editors.Print.

10. PacificInstituteforResearchandEvaluation(PIRE).ConductingComplianceCheck

Operations.OnlineTraining.

11. PacificInstituteforResearchandEvaluation(PIRE).ReducingAlcoholSalestoUnderagePurchasers:APracticalGuidetoComplianceInvestigations.Rockville:PacificInstituteforResearchandEvaluation(PIRE).Print.

12. PacificInstituteforResearchandEvaluation(PIRE).StrategicMediaAdvocacyfor

EnforcementofUnderageDrinkingLaws.Calverton:PacificInstituteforResearchandEvaluation(PIRE).2011.Print.



13. PreventionFirst.IllinoisEnforcingUnderageDrinkingLaws:IllinoisTrainingfor

ComplianceCheckOperationsforAlcohol,Tobacco,andAgeRestrictedProducts.April2013.Training.

14. TheRANDCorporation.PreventingUnderageDrinkingUsingGettingToOutcomesTMwith

theSAMHSAStrategicPreventionFrameworktoAchieveResults.2007.Web.April2013.

15. WakeForestUniversitySchoolofMedicine.ComplianceChecksACaseStudyoftheImplementationofaBestPracticeasPartoftheEnforcementofUnderageDrinkingLawsProgram.June2003.Print.

16. WisconsinAlcoholPolicyProject.OperatingAlcoholAgeComplianceChecksinWisconsin.

February2013.Print.

introduction to alcohol checks and responsible service

Documents