Guide to Conducting Alcohol Purchase Surveys

Transcription

1 U.S. Departmet of Justice Office of Justice Programs Office of Juveile Justice ad Deliquecy Prevetio Guide to Coductig Alcohol Purchase Surveys Prepared by Pacific Istitute FOR RESEARCH AND EVALUATION I support of the OJJDP Eforcig the Uderage Drikig Laws Program

2 This project was supported by Award No. 98-AH-F8-0114, awarded by the Office of Juveile Justice ad Deliquecy Prevetio, Office of Justice Programs, U.S. Departmet of Justice. Poits of view or opiios i this documet are those of the authors ad do ot ecessarily represet the official positio or policies of the U.S. Departmet of Justice. This documet was writte by Joel W. Grube, Ph.D., ad Kathry Stewart of the Pacific Istitute for Research ad Evaluatio. The authors wish to ackowledge Robert W. Carpeter, also of Pacific Istitute, ad K. Michael Cummigs, Ph.D., M.P.H., Director of the Roswell Park Cacer Istitute, Buffalo, NY, for their work o tobacco outlet ispectios, which formed the basis for parts of this documet. The authors would like to thak Patricia A. Madde of the Prevetio Research Ceter i Berkeley, CA, for her assistace i reviewig earlier drafts of the mauscript. I additio, the authors wish to thak the advisors to Pacific Istitute o the Eforcig the Uderage Drikig Laws iitiative who provided ivaluable isights ad suggestios that clarified ad improved the fial documet. Field Advisors James E. Copple Executive Deputy Director Natioal Crime Prevetio Coucil Johetta Davis Director, Special Field Services The Uderage Drikig Eforcemet Traiig Ceter Pacific Istitute Gary Fisher, Ph.D. Director Wester Ceter for the Applicatio of Prevetio Techologies Uiversity of Nevada Gerald F. Jaker, Ed.S. Project Director Cetral Ceter for the Applicatio of Prevetio Techologies Miesota Istitute of Public Health Mike Lowther Director Southwest Ceter for the Applicatio of Prevetio Techologies Uiversity of Oklahoma Sadra Miscovich Program Director The Alaska Coucil o Prevetio of Alcohol ad Drug Abuse, Ic. Diae Riibe Executive Director Project Extra Mile Cheryl Vice-Whitma ad Michael Rosati Northeast Ceter for the Applicatio of Prevetio Techologies Educatio Developmet Ceter, Ic. i

3 Law Eforcemet Advisors Be Click Chief of Police City of Dallas Police Departmet Mauel R. Espioza Chief Deputy Director Califoria Departmet of Alcoholic Beverage Cotrol Gregory M. Hamilto Chief Eforcemet ad Marketig Practices Texas Alcoholic Beverage Commissio Officer Gary Hei Mieapolis Police Departmet Commuity Services Bureau Lt. Col. Robert C. Hickes Deputy Commissioer of Staff Pesylvaia State Police Captai Mark Willigham Youth & Alcohol/Tobacco Program Admiistrator Florida Divisio of Alcoholic Beverages ad Tobacco Parter Orgaizatios Bobby Heard Mothers Agaist Druk Drivig Clifford Karchmer Police Executive Research Forum Tria Leoard Natioal Associatio of Goverors State Highway Represetatives ii

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5 About This Guide People who care about youg people are aware of the serious problems caused by uderage alcohol use. They should also be aware that there are may effective strategies for reducig uderage drikig. Every State ad commuity should be usig these strategies. The Guide to Coductig Alcohol Purchase Surveys provides iformatio about oe importat tool for combatig uderage drikig: the alcohol purchase survey. These surveys ivolve sedig miors or youg-lookig adults ito stores to purchase alcohol. I this way, law eforcemet agecies ad commuity members ca fid out who is sellig alcoholic beverages to our childre. Why Do Purchase Surveys? Illegal sales to miors ca be preveted, but most commuities eed valid iformatio i order to do the most effective job of prevetio. Alcohol purchase surveys ca provide this iformatio. They also Tell us who is sellig to miors ad how ofte, Raise commuity awareess ad build support for reducig sales to miors, Iform merchats that they are beig moitored by the commuity, Aid law eforcemet, ad Help moitor the impact of prevetio strategies. This guide ca be used by advocates ad policymakers to provide a ratioale for carryig out purchase surveys. The guide ca also be used by orgaizatios for Plaig the surveys, Coordiatig the efforts of various commuity orgaizatios ad agecies that have a stake i the surveys, Recruitig ad traiig youth ispectors, Carryig out the surveys, iv

6 Aalyzig the data from the surveys, ad Usig the iformatio from the surveys to chage policy, obtai eeded resources, ad draw attetio to the problem of sales to miors. Because the legal, social, ad geographic characteristics of localities differ, the guide describes a array of flexible optios that ca allow the geeral survey techiques to be adapted to local circumstaces. v

7 Cotets About This Guide...iv Itroductio... 1 How Do Kids Get Alcohol?... 2 Why Coduct Alcohol Purchase Surveys?... 2 How Do You Coduct Purchase Surveys?... 2 Five Reasos for Coductig Alcohol Purchase Surveys... 4 Chapter 1: Plaig Alcohol Purchase Surveys... 5 Who Should Carry Out the Survey?... 5 What Kids of Alcohol Outlets Should Be Surveyed?... 6 Should Miors Be Used as Buyers?... 6 Should the Survey Iclude Eforcemet or Be Coducted for Data Collectio Oly?... 7 Should Iformatioal Letters Be Set?... 7 Chapter 2: Carryig Out Purchase Surveys... 9 Purchase Survey Protocol... 9 Characteristics of Buyers Cotrollig for Buyer Characteristics Recruitig Buyers Recruitig Tips Teams Compesatio ad Isurace Validatig Youthful Appearace Escorts Recruitig Escorts Compesatio Traiig Sessio...16 Survey Team Preparatios Moey for Purchases Dispositio of Purchased Alcohol Letters of Verificatio Costs of Purchase Surveys Protocol for Makig Purchases...19 Purchase Survey Schedules Timig of Purchase Surveys vi

8 Number of Purchase Attempts Data Collectio Additioal Notes...21 Safety Issues Isurace ad Liability Issues Usig Miors To Coduct Purchase Surveys of Retail Alcohol Outlets Legal Cosideratios Issues of Etrapmet Iformed Coset Ucosummated Sales Purchase Survey Combied With Eforcemet...24 Sample Purchase Survey Protocol Resposibilities of Escorts Resposibilities of Buyers Recordig Data Debriefig Postsurvey Activities Chapter 3: Samplig Alcohol Outlets for a Alcohol Purchase Survey...33 Survey All Outlets Survey a Represetative Sample of Outlets...33 Respose Rates Relevat Research Resource Materials Refereces Appedix Alcohol Outlet Purchase Survey Appedix Youth Recruitmet Letter Buyer Applicatio Form Coset Forms Appedix Data Collectio Form...62 Data Collectio Form Istructios vii

9 Guide to Coductig Alcohol Purchase Surveys 1 Itroductio People who care about youth are aware of the serious problems caused by uderage drikig. They realize that: Alcohol is the drug most commoly used by youth more tha tobacco ad far more tha marijuaa or ay other illicit drug. Alcohol is oe of the most commo cotributors to ijury, death, ad crimial behavior amog youth. Uderage alcohol use ca have immediate ad potetially tragic cosequeces, as well as log-rage harmful cosequeces, such as icreased risk for chroic alcohol addictio. There is o doubt that uderage alcohol use is a extremely serious problem. But there are may effective strategies for reducig the problem. Strategies that limit access to alcohol by youth are some of the most powerful ad well-documeted approaches to reducig uderage drikig ad related problems. The purpose of this guide is to promote the use of a importat tool for moitorig uderage access to alcohol the purchase survey. These surveys ivolve sedig youg adults who appear uderage (or miors uder appropriate adult ad police supervisio) ito stores to purchase alcohol. Commuities ad local groups ca carry out purchase surveys of retail alcohol sales outlets to fid out how easily available alcohol is to youg people ad to idetify who is sellig alcohol to youth. Such surveys provide extremely valuable iformatio that ca be used i addressig the problems of uderage alcohol purchase ad uderage drikig. This guide gives some of the backgroud ad ratioale for these surveys as well as practical, step-by-step istructios for carryig out alcohol purchase surveys. The guide also shows how the iformatio from the survey ca be used to stregthe commuity awareess, promote better policies, ad improve merchat compliace with the law. Safe, efficiet, ad valid alcohol purchase surveys ca be carried out i almost ay commuity. This guide will show how. 1

10 2 Guide to Coductig Alcohol Purchase Surveys Alcohol: The drug of choice for youth Natioal surveys of youg people cosistetly show that alcohol is the drug of choice amog youg people. By the 12th grade, more tha 80 percet of adolescets have experimeted with alcohol, more tha 50 percet report drikig withi the previous moth, ad more tha 30 percet report cosumig five or more driks i a row at least oce i the previous 2 weeks (Johsto, O Malley, & Bachma, 1998). A recet study idicates that alcohol is resposible for 69 percet of all drugrelated hospital stays amog 10- to 19- year-olds. I cotrast, tobacco accouts for 22 percet ad other drugs for 9 percet of these hospital stays. Overall, 87 percet of years of life lost betwee the ages of 10 ad 19 are alcohol related (Xie, Rehm, Sigle, & Robso, 1996). I 1996, more tha 6,300 youg people betwee 15 ad 20 years old died i traffic crashes. Of these fatalities, 2,315 (37 percet) were alcohol related. More tha 21 percet of drivers aged years old who were killed i traffic crashes i 1996 had bee drikig (Natioal Highway Traffic Safety Admiistratio [NHTSA], 1998). How Do Kids Get Alcohol? Uderage drikers ca obtai alcohol i may differet ways they ca steal it or get it from their frieds or their parets. I fact, kids are frequetly quite creative i their schemes to get access to alcohol. All too ofte, however, they simply walk ito a store ad buy it o questios asked, o idetificatio requested, o problems ecoutered. Cuttig off this type of easy access is the most importat step toward prevetig uderage drikig i most commuities. Surveys carried out i various areas aroud the coutry have foud that youth were able to buy alcohol i betwee 50 percet ad 97 percet of stores, bars, ad restaurats where attempts were made. Studies idicate that eforcemet of uderage sales laws is lax i may commuities. Police cite a umber of reasos for ot eforcig uderage sales laws; most importatly, they perceive a lack of public support for such activities. This is ufortuate because research shows that eforcemet ca sigificatly reduce alcohol sales to miors. Why Coduct Alcohol Purchase Surveys? Illegal sales to miors ca be preveted. A variety of strategies have bee show to be very effective, but most commuities eed valid iformatio i order to make the best use of these strategies ad to moitor their impact. Alcohol purchase surveys ca help provide this iformatio. I additio, the data obtaied from purchase surveys ca be used to icrease support from the public ad from public officials for policy chages ad for more geerous allocatio of resources. This process is depicted i figure 1 as circular ad ivolves a variety of segmets of the commuity. How Do You Coduct Purchase Surveys? I order to carry out a purchase survey, a represetative sample of alcohol outlets is selected. At each outlet i the sample, a buyer who appears to be uderage attempts to purchase alcohol without presetig age idetificatio (ID). If the outlet sells alcohol to the buyer, it is cosidered ocompliat. If the outlet refuses to sell to the buyer, it is cosidered i compliace. Details of this procedure vary, but the basic process is similar i all alcohol purchase

11 Guide to Coductig Alcohol Purchase Surveys 3 surveys. A flowchart of the tasks ivolved i coductig a alcohol outlet purchase survey is preseted i appedix 1. Purchase surveys are extremely useful, ad they ca be coducted practically, efficietly, ad flexibly. This guide explais how to pla ad carry out surveys uder a variety of circumstaces. It also provides sample protocols ad materials that ca be adapted for use i commuities across the coutry. ALLOCATION OF RESOURCES DATA FROM PURCHASE SURVEYS COMMUNITY SUPPORT Uderage Purchase of Alcohol Purchase surveys coducted i medium ad small cities i Miesota ad Wiscosi have foud youth able to purchase alcohol i about half of the attempts i both o- ad off-premises outlets (Forster et al., 1994; Forster, Murray, Wolfso, & Wageaar, 1995). Aother study surveyed commuities i New York State ad Washigto, DC. Fully 97 percet of the Washigto, DC, outlets sold to youth. Sales rates i New York varied from 44 percet to 80 percet (Preusser & Williams, 1992). POLICY CHANGE OFFICIAL SUPPORT Figure 1. Survey Data ad Commuity Process

12 4 Guide to Coductig Alcohol Purchase Surveys Five Reasos for Coductig Alcohol Purchase Surveys 1. Purchase surveys idicate who is sellig alcohol to miors ad how ofte. This lets a commuity kow how large the problem of uderage sales is ad amog which outlets. This iformatio ca be very useful i allocatig scarce eforcemet ad prevetio resources The results of surveys ca be used to help raise commuity awareess ad build support for efforts to reduce sales to miors. For example, some commuities have called press cofereces i which the buyers pose with all the beer they have maaged to purchase from local stores. Such evets ca brig attetio to the problem of alcohol sales to miors ad make it easier for policymakers, merchats, ad cocered citizes to act. Purchase surveys ca be a itervetio. Iformig merchats that they are beig moitored by the commuity ad providig them with feedback ca motivate those with good policies ad sales practices to cotiue them ad motivate those with poor policies ad practices to chage them. Purchase surveys ca be a importat part of eforcemet. Some commuities choose to issue citatios to outlets who sell to miors durig the surveys. Other commuities use the iformatio from the surveys to help target later eforcemet efforts. I either case, local police or Alcohol Beverage Cotrol (ABC) authorities must always be ivolved whe eforcemet efforts are plaed as part of a purchase survey. Purchase surveys ca be used to measure the impact of prevetio strategies. A series of surveys carried out over time ca idicate whether prevetio efforts are havig a effect o sales to miors. This iformatio ca help commuities decide whether to cotiue or discotiue particular policies or programs ad ca idicate how to modify prevetio strategies to make them more effective.

13 Guide to Coductig Alcohol Purchase Surveys 5 Chapter 1: Plaig Alcohol Purchase Surveys I plaig a alcohol purchase survey, a commuity or group must first aswer several importat questios regardig the purpose of the survey based o its ow eeds ad situatio. Who Should Carry Out the Survey? If the survey is to iclude eforcemet, the relevat eforcemet agecy must coduct the survey i most cases. Which agecy this is varies from State to State ad commuity to commuity. It ca be the State ABC agecy or a local police or sheriff s departmet. If eforcemet is ot icluded i the survey, a much wider rage of agecies ad orgaizatios ca iitiate ad implemet the survey. I some commuities, a college or uiversity ca carry out the survey as a research activity. I other commuities, the survey ca be coducted by a uderage drikig coalitio, a Mothers Agaist Druk Drivig (MADD) or Studets Agaist Destructive Decisios (SADD) chapter, a paret-teacher associatio, or other cocered group. I still other commuities, a public health or drug prevetio agecy ca take the lead. Regardless of who coducts the purchase survey, it is importat to cosult beforehad with local law eforcemet agecies regardig its implemetatio. A police chief or local public safety officer, for example, ca provide importat guidace regardig legal ad safety issues ad about the local situatio. Cosultig with local law eforcemet agecies about purchase surveys ahead of time ca also avoid coflicts ad later misuderstadigs regardig the ature ad purpose of the data collectio efforts. 5

14 6 Guide to Coductig Alcohol Purchase Surveys What Kids of Alcohol Outlets Should Be Surveyed? There are two primary types of alcohol outlets that ca be the target of purchase surveys: off-premises ad o-premises. Off-premises outlets iclude liquor stores, supermarkets, miimarts, ad other establishmets that sell alcohol to be take away ad cosumed somewhere else. Opremises outlets iclude bars, restaurats, ad other establishmets that sell alcohol to be cosumed at the place of purchase. Although both types of outlets ca be sources of alcohol for youg people, uderage drikers usually obtai alcohol from off-premises outlets or from frieds or stragers who have purchased it at off-premises outlets. Because offpremises outlets are the pricipal source of alcohol for uderage drikers, this guide focuses o how to coduct off-premises outlet purchase surveys. Noetheless, some commuities or groups will wat to survey o-premises outlets as well as off-premises outlets. Most of the procedures described i this maual ca be modified to apply to o-premises purchase surveys. 1 Some o-premises establishmets, especially bars, ca pose greater risks to the buyer tha would be ecoutered i off-premises establishmets. The additioal problems ad risks should be carefully weighed agaist the eed for ad value of the iformatio that ca be gaied. Should Miors Be Used as Buyers? Although usig miors as buyers ca icrease the validity of the data ad is essetial if eforcemet is plaed, this strategy raises very serious legal ad safety issues. It is almost always illegal for private citizes or groups to coduct purchase surveys usig miors as buyers. Adult supervisors of uderage buyers may be charged with cotributig to the deliquecy of miors, providig alcohol to miors, or other offeses. The uderage buyers themselves may be subject to arrest or citatio for possessio of alcohol or attemptig to purchase alcohol. I may States, miors i possessio of alcohol ca lose their drivers liceses. I some States it is illegal for miors eve to eter licesed o-premises establishmets. I additio, supervisors or sposorig orgaizatios may be liable if miors are ijured i the course of a alcohol purchase survey. Always cosult with legal cousel ad with local law eforcemet agecies before udertakig a purchase survey usig miors as buyers. 1 O-premises surveys, however, do raise additioal issues. It is difficult, for example, to do a iterrupted or ucosummated purchase attempt at a bar or restaurat uless a method for prevetig the server from preparig the drik ca be devised. (See the sectio o usig miors to coduct purchase surveys o page 22.) Oe possibility is for the buyer to stop the server just after he or she takes the order. The buyer ca the make a show of checkig pockets, idicate that they left their wallet ad moey at home, ad get up ad leave. Such scearios must be carefully scripted ad practiced to be covicig.

15 Guide to Coductig Alcohol Purchase Surveys 7 Because of the legal ad safety issues ivolved i usig miors as buyers i purchase surveys, the recommeded strategy is to use youg adults who are over 21 years old, but who appear to be youger. It is crucial that the buyers clearly appear to be 18 or 19 years old. I this strategy, o law is broke because the purchasers are of legal age to buy alcohol. The key iformatio to be obtaied is whether age idetificatio is requested ad if a sale is refused whe o ID is preseted. Should the Survey Iclude Eforcemet or Be Coducted for Data Collectio Oly? It is geerally ot recommeded that eforcemet be a part of the purchase survey effort. If the survey is to be doe for eforcemet as well as moitorig purposes, it is essetial that the relevat local or State eforcemet agecy be ivolved. I most jurisdictios, purchase surveys for eforcemet purposes must be udertake by police, the ABC agecy, or other authorities. If the survey is to iclude eforcemet, the data collected will more accurately reflect uderage sales rates if citatios are issued after the data collectio has bee completed throughout the commuity. Otherwise, merchats who have bee cited are likely to alert other outlets that eforcemet is takig place ad thus suppress sales. It is importat to keep i mid that for purposes of reducig sales to miors, this kid of grapevie warig about a ogoig eforcemet program ca be a very useful way of amplifyig the effects of the campaig. Whe a commuity is tryig to measure accurately the rate of sales to miors, however, it is better to delay the citatios util all the data have bee collected. Note that i may jurisdictios, the citatio must be issued at the time the ifractio is observed. This requiremet precludes delayed eforcemet. Should Iformatioal Letters Be Set? Eve if eforcemet is ot part of the survey, a commuity group will perhaps wat to issue iformatioal letters to outlets tellig them that they were surveyed ad either warig them that they sold to a apparet mior or commedig them for ot sellig. These letters ca be a importat part of efforts to build awareess ad support. Such letters, i ad of themselves, ca help reduce sales to miors by makig merchats aware that the commuity is moitorig them. Here agai, i order to maximize the accuracy of the survey results, it is better to wait util the survey has bee completed before sedig the letters.

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17 Guide to Coductig Alcohol Purchase Surveys 9 Chapter 2: Carryig Out Purchase Surveys Purchase Survey Protocol Oce the decisio has bee made to udertake a purchase survey, key questios arise regardig the specifics of its implemetatio, icludig: How may buyers should be ivolved i the survey? Must the buyer actually purchase alcohol or oly attempt to do so? Should the buyer eter the retail outlet aloe? Should the buyer purchase beer or some other type of alcohol (e.g., wie, wie cooler)? Should the alcohol be purchased aloe or with other items? At what time of the day or o what days of the week should purchase surveys be doe? Should more tha oe purchase attempt be made at each outlet? Most of these questios have o clear-cut aswers, ad there are little or o reliable empirical data. However, the way each of these questios is aswered ca ifluece the results of purchase surveys. For survey results to provide a accurate reflectio of sales rates, oe must be able to defie ad defed decisios made i developig the purchase survey methodology. The decisios made iitially will ifluece what ca be doe subsequetly because the same basic measuremet protocol will be used i later surveys to allow for valid comparisos over time. This chapter addresses these questios about methodology ad elaborates o the recommeded best practices for coductig purchase surveys. A aotated bibliography ad a list of resource materials are icluded at the ed of this guide to give further iformatio about implemetig 9

18 10 Guide to Coductig Alcohol Purchase Surveys purchase surveys ad to provide examples of purchase surveys that have bee successfully completed. Sample forms, letters, ad data collectio istructios are also icluded as appedixes 2 ad 3. Characteristics of Buyers Several studies have observed that the characteristics of buyers used i purchase surveys ca ifluece the results. Not surprisigly, older, more mature-appearig buyers are more successful i purchasig alcohol tha are those with more youthful appearaces. A few studies also have reported that females are more likely tha males to be sold alcohol illegally. Less tagible characteristics of buyers such as their physical attractiveess, apparet trustworthiess, ad likability ca ifluece the results obtaied from purchase surveys. Cotrollig for the varyig characteristics of buyers i purchase surveys is importat for couteractig potetial bias. It should be kept i mid that the purpose of a purchase survey is ot to trick retailers ito sellig alcohol, but rather to obtai accurate estimates of the extet to which alcohol is sold to youg people uder typical circumstaces. The buyers should ot be selected to either maximize or miimize sales rates. Cotrollig for Buyer Characteristics There are several ways to cotrol for the potetial biasig characteristics of buyers i purchase surveys. The most straightforward but least practical approach is to have oly oe buyer coduct all of the purchase attempts. This elimiates ay variability amog buyers but is impractical if a large umber of purchase surveys are to be performed, especially over a wide geographic regio. Also, comparisos with subsequet purchase surveys will be difficult to iterpret because the results of each survey are likely to be depedet o the particular buyer ivolved. This approach ca also lead to aother type of bias because a sigle youth is ot ecessarily the ideal cadidate for buy attempts i all geographic areas of iterest. The recommeded strategy is to use multiple buyers. To cotrol for variatio i purchase survey results due to the differig characteristics of the buyers: Make sure all buyers have sufficiet ad equivalet traiig. Radomly assig buyers to outlets.

19 Guide to Coductig Alcohol Purchase Surveys 11 Make multiple buy attempts at each outlet usig differet buyers for each attempt. Traiig is covered i detail later i this guide. The importace of traiig, however, caot be overemphasized. Role playig is a particularly importat part of the traiig; ad buyers should practice how to iteract with clerks, what to say i differet scearios, ad how to deal with differet situatios that could arise. The traiig should be stadardized, ad all buyers should receive the same traiig. By radomly assigig buyers, ay bias due to differig characteristics is spread equally across the outlets i the survey. As a practical matter, if the purchase survey covers a wide geographic regio (e.g., a State), radomly assigig buyers to purchase survey locatios ca be doe separately withi regios (i.e., stratified by regio). Alteratively, some research studies have recruited a core group of buyers to travel across differet regios to coduct all purchase surveys. Makig multiple purchase attempts usig differet buyers each time also meas that the outcomes for ay give outlet will ot be the result of a particular buyer s characteristics. Whe usig multiple buyers, the purchase attempts should be o differet days ad at differet times to help cotrol for clerk characteristics as well as buyer characteristics. Recruitig Buyers The followig selectio criteria should be used i recruitig buyers for purchase surveys: Limit the selectio to youg adults who appear to be 18 to 19 years of age (i.e., who look youg eough to be clearly uderage, but old eough to be successful i some purchases). Validate the perceived age of the buyers. (See Validatig Youthful Appearace o page 13.) Select a equal umber of male ad female buyers. Match the buyers to the racial or ethic characteristics of the eighborhoods where the purchase survey sites are located ad the radomly assig specific buyers to outlets withi eighborhoods to which they are matched.

20 12 Guide to Coductig Alcohol Purchase Surveys Recruitig Tips Recruitig eough coscietious ispectors is crucial to the success of the survey. The umber of buyers eeded depeds o how may outlets will be surveyed, the timeframe for coductig the survey, how may purchase attempts will be made, ad how may buyers will be o a team. Idetify ispectors through family, frieds, church groups, colleagues at work, youth groups, clubs, teachers, couselors, etc. Some colleges have commuity service requiremets that could be fulfilled through participatio i the survey. I some cases studets ca get class credit for participatig i research studies. Give presetatios to groups of people, explaiig the project ad the beefits of participatio. Sed a letter to potetial buyers, explaiig the project ad the educatioal beefits of participatio. (See appedix 2.) Make sure the potetial ispectors have a realistic uderstadig of the time commitmet ivolved. Offer potetial ispectors a small stiped to participate i the project. Additioal icetives might iclude free meals or possible appearaces at press cofereces ad at other media opportuities. Arrage for potetial ispectors to atted a iformatio sessio where they ca lear more about the project. Teams Some research groups have advocated usig teams of two ispectors or buyers for each purchase survey site. The ratioale for this approach is based o the assumptio that youg people are likely to feel more comfortable i pairs. The use of a secod buyer also permits two persos to observe details of the purchase situatio, such as the postig of warig sigs, the locatio of alcohol displays i a store, ad the geder ad approximate age of the salesclerk. I order to maximize stadardizatio, the decisio to use oe or two buyer teams should be followed for all outlets i the survey. Compesatio ad Isurace I order to recruit ad maitai a traied ad committed core of youg people, they should be compesated for their participatio i the purchase survey. It is best to check with the appropriate persoel office ad/or legal

21 Guide to Coductig Alcohol Purchase Surveys 13 staff of the sposorig orgaizatio about the procedures for recruitig ad hirig buyers. Survey sposors ca offer a variety of reimbursemet optios icludig both moetary (e.g., $3 per outlet, $20 per day) ad omoetary (e.g., movie tickets, prepaid pizza, T-shirts). I additio, commuity service or academic credits may be possible i cases where fiacial remueratio is ot available. Buyers should be compesated whether a purchase attempt results i a sale or ot. Agai, the object of the purchase survey is to obtai accurate estimates of the umber of outlets that sell to youg people uder typical circumstaces. A purchase attempt that does ot result i a sale is just as valid ad iformative as oe that does result i a sale. I some situatios it is worthwhile to cosider hirig youth as part-time employees so they ca be covered by a agecy s isurace. Some orgaizatios also have isurace coverage for voluteers. Whe youth participats are brought o as employees rather tha voluteers, it has the potetial to istill a higher level of commitmet to carry out the assiged work. Validatig Youthful Appearace It is illegal to sell alcohol to ayoe uder 21 years of age regardless of how old or youg the perso appears. I the iterest of accurate measuremet ad to miimize ay appearace of etrapmet, however, buyers should appear to be 18 or 19 years of age. Oe approach is to have i-perso assessmets of the age-appearace of those beig cosidered as buyers. Ask a group of five school teachers (or other people who work with teeagers) to guess the ages of potetial ispectors. If at least four of the five raters estimate a youg perso s age as either 18 or 19, he or she would be cosidered eligible to participate i the survey. Photos ca be used i place of i-perso assessmets, if ecessary. If photographs are used to rate the ages of the participats, they should be recet (withi 1 moth) ad should show the youg people as they typically appear. To avoid ifluecig oe aother, each judge should write his or her guess o a form without cosultig others. The ratig method is useful for excludig buyers who look either very youg or very mature. Escorts Escorts are used to drive, make observatios, ad supervise the buyers ivolved i purchase surveys. Adults who are somewhat older tha the buyers are preferred as escorts. Escorts ca complete survey forms after each purchase attempt ad help maitai security ad safety. Escorts ca eter a store first ad make i-store observatios to assess safety, locate

22 14 Guide to Coductig Alcohol Purchase Surveys where alcohol is placed i the store, ad make observatios about other store features that ca be recorded as part of a exteded data collectio effort. If escorts are to eter outlets, it is importat that their dress, demeaor, ad characteristics be i keepig with the eighborhood. Experiece idicates that somewhat older adults are better able to make reliable i-store observatios tha are youg people. I order to avoid tippig off the store to a purchase survey, observers should purchase a small item (e.g., gum, soft drik) durig their visit to the store. Escorts also ca be used to keep up buyer morale durig purchase surveys, emphasizig the importace of the work. Depedig o the team s assessmet of the safety of the outlet ad the eighborhood, the escort ca choose to be i the store durig the purchase attempt by the buyer or ot. The presece of a adult customer could ifluece how the storeclerk respods to the youth participat. Whatever procedure is used, it should be followed cosistetly for all outlets surveyed. If the protocol requires a escort to eter the store i advace of or durig a purchase attempt, havig two escorts per survey team allows oe to remai i the automobile to supervise other buyers ivolved. The use of two escorts ca also speed the surveyig process by desigatig oe as a driver, while the other makes i-store observatios ad collects iformatio from the buyers regardig their purchase attempts. Havig two escorts also elimiates cocers about possible uprofessioal coduct o the part of the escort. The escort or buyers remaiig i the car ca also record iformatio about the exterior of the outlet, such as the presece of sigs, advertisig, clutter, etc. I geeral, the car should be parked where it is ot visible to the iterior of the outlet i order to reduce the likelihood that a clerk will see the escort ad buyer together. Recruitig Escorts Sometimes it is possible for the parets or guardias of the buyers or other voluteers to serve as escorts. I may cases, for isurace purposes, however, it is preferable to use employees of the survey agecy as escorts.

23 Guide to Coductig Alcohol Purchase Surveys 15 Some cosideratios for recruitig adult escorts iclude: Potetial escorts should be give backgroud checks. Each escort should have access to a reliable automobile, have a good drivig record, ad possess a valid drivers licese ad curret automobile isurace. Each escort should be free of ay alcohol- or drug-related drivig charges ad should have o more tha oe drivig citatio i the previous 3 years. Escorts should complete driver s certificatio forms listig their automobile isurace carrier ad drivers licese umber. Escorts should receive iformatio packets describig the purchase survey, the time commitmet ivolved, resposibilities, traiig, ad compesatio. Escorts should be able to read roadmaps effectively. Each escort should sig a iformed coset ad release to participate i the purchase survey. Coset forms with origial sigatures should be kept o file for 3 years. Escorts should be paired with buyers of the same geder wheever possible. Compesatio If the ispectig agecy allows employees to be used as escorts, overtime pay ofte ca be arraged to compesate for the time of their ivolvemet i the purchase survey. Alteratively, agecies ca hire escorts as part-time employees ad reimburse them o either a hourly or per-outlet-ispected basis. Escorts should receive reimbursemet for their drivig-related expeses such as gas, tolls, ad parkig. Escorts should documet travel expeses as ecessary to be i compliace with the agecy s reimbursemet policies. If the purchase survey is to be used for eforcemet purposes, the desigated eforcemet agecy (e.g., police departmet, health departmet) is ormally resposible for employig both escorts ad buyers.

24 16 Guide to Coductig Alcohol Purchase Surveys Traiig Sessio All participats should be thoroughly traied prior to survey activities. Traiig ca typically take oe-half day or loger. The complex task of coordiatig schedules of survey team members should be doe before the traiig sessio so that members of each team ca become acquaited with ad cocetrate o the procedures for actually coductig the purchase survey. The survey teams should ispect a small umber of stores immediately followig the traiig sessio, with a opportuity to retur to the traiig locatio for debriefig about their experiece. I additio, the traiig opportuity ca be used to collect coset ad release forms from all participats or verify that they are o file at the traiig ceter. Traiig sessio cotet should Describe the purpose of the purchase survey. Remid participats that this is a fact-fidig missio, ad the goal of the survey is to obtai a accurate picture of alcohol sales to miors. Stress that a successful purchase survey is ot makig a purchase or eticig a sale; success is documetig what actually happes. Make sure that all participats thoroughly uderstad the procedures ad protocols for visitig outlets ad that the ames of retail sites ad idividual results are cofidetial. Review how to make a buy. Remid buyers to act aturally ad to be cofidet. Iform them that they are to dress as they ormally would. Participats should take care to avoid clothig ad maerisms that could be perceived as gag related if outlets are i areas where gag activity has bee a problem. Istruct buyers ot to take their IDs ito the outlets. Take a photo of each buyer who will participate i the survey. The photograph should reflect how the buyer will look whe eterig a store (e.g., hat o or off). Prepare participats for what to expect: retail site eviromet, possible sigage, placemet of alcohol, ad questios they might be asked.

25 Guide to Coductig Alcohol Purchase Surveys 17 Give buyers a basic script to follow whe they attempt to make the purchase. Buyers should be istructed ot to deviate greatly from that script ad to be hoest i their aswers. Istruct buyers to respod hoestly if asked their age. Review with participats the escort s resposibilities i esurig the safety of youth participats. (See Safety Issues o page 21.) Istruct buyers ot to attempt to purchase alcohol i stores if someoe they kow is workig there or is preset i the store. Give youth ad adult survey teams a schedule showig the dates ad times for survey activity. Review the agecy s protocol for hadlig emergecy situatios (e.g., phoe umbers of idividuals to cotact i case of a emergecy). Istruct escorts ot to wear uiforms or visible forms of idetificatio. Istruct purchase survey teams ot to use idetifiable official vehicles. Review procedures for ay postsale activities; for example, issuace of citatios or distributio of educatioal materials. (See Postsurvey Activities o page 29.) Provide opportuities to practice ad role-play the purchase attempt with differet scearios. Survey Team Preparatios Escorts ad buyers should be assiged to teams of three or four persos two adults ad oe or two youth. Participats should be racially ad culturally matched to the eighborhoods i which they will be surveyig. Each team should have a packet that cotais Data collectio forms; Istructios for usig the forms; Protocol for coductig the purchase surveys; A list of retail outlets to be ispected;

26 18 Guide to Coductig Alcohol Purchase Surveys A map of the area to be surveyed, icludig, if possible, detailed istructios for locatig outlets; Samples of o sale to miors sigs; Evelopes for returig the completed data collectio forms; ad A list of idividuals ad their telephoe umbers to cotact if a problem arises i the field. Moey for Purchases Make sure buyers have cash i small bills to allow the purchase of alcohol. Eve if the protocol calls for the buyer to break off the sale prior to purchasig alcohol (i.e., ucosummated buy), they should be give a small amout of cash to carry with them ito the store. I this way, buyers ca break off the sale by claimig they are short of the eeded cash istead of havig o cash available at all. Buyers i previous studies have felt more comfortable eterig the store with some cash because havig o cash at all raises suspicio about why they etered the store (i.e., potetial shopliftig). Escorts also should have sufficiet fuds to make a small purchase if they are i the outlet either preispectig or with the buyer durig the purchase attempt. Dispositio of Purchased Alcohol Give escorts a clipboard for writig i the automobile ad a bag to hold alcohol that is purchased. Buyers should tur over all alcohol to the escorts. All alcohol should have a label with the date ad locatio where the sale was made ad be stored by the cetral recordkeepig office for later dispositio. Letters of Verificatio Each survey team escort should carry a letter from the survey orgaizatio or State agecy verifyig the legitimacy of the purchase survey activities. This letter should iclude the ames of at least two staff persos who ca be reached i case of a emergecy. Costs of Purchase Surveys The cost factors associated with purchase surveys ca vary widely, but cost elemets iclude persoel costs; costs associated with miors (wages, food, trasportatio); trasportatio ad per diem for ispectors (mileage, food, lodgig); product costs (to buy alcohol); data processig, aalysis, ad reportig; ad miscellaeous costs, such as those for photos of miors.

27 Guide to Coductig Alcohol Purchase Surveys 19 Protocol for Makig Purchases A umber of issues about the actual procedure for coductig purchase surveys eed to be decided ad addressed uiformly throughout a survey. For example, decide what type of alcohol the buyers will be istructed to purchase. Keep i mid that beer is the type of alcohol most frequetly cosumed by youg people. Wie coolers ad other youth-orieted beverages (e.g., fruit-flavored malt liquors) are also popular. Buyers should be istructed as to which alterative beverages to buy if the primary beverage is uavailable at a particular outlet. Avoid expesive or imported beverages that are ulikely to be popular with youg people. Also, decide i advace whether buyers will purchase oly alcohol or whether they will purchase other items such as chips or sack food i additio to the alcohol. There is some evidece, however, that certai types of products that are associated more with adults (e.g., diapers, bra cereal) ca icrease purchase success, whereas other types of products that are associated with youger people (e.g., cady, froze burritos) ca decrease purchase success. Give these fidigs, it is perhaps best to purchase alcohol aloe. Purchase Survey Schedules The umber of purchase surveys possible per hour ca vary depedig o the desity of outlets. If the purchase survey sites are located i a dese urba area, a purchase survey team ca complete as may as purchase surveys per hour. I suburba areas, purchase surveys per eveig is more realistic. I sparsely populated rural areas, that umber will decrease. Cosiderable time ca be saved by markig outlet locatios o a map i advace ad devisig routes that are efficiet ad ivolve the least amout of drivig. Buyers ad escorts sometimes bur out after about 3 hours of surveyig. Timig of Purchase Surveys I developig the schedule for coductig purchase surveys, it is importat to give some thought to their timig. Friday, Saturday, ad holiday afteroos ad eveigs are usually the best times. Suday afteroos are also acceptable. Experiece also recommeds agaist attemptig to purchase durig school hours. This could mislead the clerk ito thikig the buyer is older or tip off the retailer that a purchase survey is takig place. Holidays are a good time to coduct purchase surveys because youg people are more available, although some outlets could be closed. Because may tees sleep late o weekeds or o holidays ad this is a uusual time of the day for a mior to purchase alcohol, surveyig i the morig is discouraged. Surveys coducted late at ight (e.g., after 11 p.m.) could expose ispectors to

28 20 Guide to Coductig Alcohol Purchase Surveys uecessary risks i some eighborhoods. The date ad time of the purchase survey should be recorded o the Data Collectio Form. Purchase surveys should be spread out over a reasoable period ot compressed ito a short time. This is to avoid tippig off retailers by developig a purchase survey seaso. O the other had, i order to make regioal comparisos of data collected i the purchase survey, the survey should be timed i such a way that all data collectio activity is completed withi a 4-week period. Extedig the period for data collectio itroduces a potetial source of bias because other evets could ifluece the respose of retailers to youg people attemptig to purchase alcohol (e.g., local eforcemet activities, retailer programs, ad word of mouth amog retailers that the purchase survey is takig place). Number of Purchase Attempts A variety of extraeous factors ca ifluece the outcome of ay give purchase attempt. The attributes of the buyer ad clerk ivolved i the trasactio ca determie the success of the purchase attempt. Differet clerks at the same outlet, for example, probably vary i their coscietiousess i checkig for age idetificatio. The presece of a maager ca also icrease compliace. Other radom factors, such as the clerk s mood, affect the purchase outcome. To help cotrol for icidetal factors that ca ifluece a purchase attempt outcome, it is recommeded that ispectors make two purchase attempts at each outlet durig the course of each survey. These attempts should be o differet days of the week (e.g., o a Friday ad Saturday) ad at differet times of the eveig (e.g., 5:00 p.m. ad 7:30 p.m.). Differet buyers should be used for each attempt. If two purchase attempts are made at each outlet, it is also possible to rate outlets o a scale of purchase success: (0) did ot sell at all, (1) sold oce, ad (2) sold twice. Although two attempts are recommeded to improve data quality, this procedure is ot essetial. Makig two attempts will more or less double the costs of coductig the survey. The icrease i data quality should be weighed agaist the additioal costs give the resources available for a particular survey effort. Data Collectio Before coductig the survey, develop a data collectio form to record iformatio about each purchase survey site that will be useful for possible future data aalysis. A sample data collectio form ad istructios for usig the form are cotaied i appedix 3. Items to be cosidered iclude the followig:

29 Guide to Coductig Alcohol Purchase Surveys 21 Backgroud Iformatio Store ID umber ad/or ame ad address of the store, Date of the purchase survey, Time of the purchase survey, Status of the purchase survey (i.e., completed or why ot completed), ad Escort ID umber (i.e., adult resposible for completig data form). Purchase Attempt Type of outlet (see descriptios i Data Collectio Form Istructios i appedix 3), Buyer ID umber, Age ad geder of buyer, Race or ethicity of buyer, Type of alcohol requested (i.e., six-pack of beer, wie cooler, etc.), Brad of product, Geder ad estimated age of the salesclerk, Whether buyer was asked his or her age, Whether buyer was asked for age idetificatio, ad Attempted sale outcome (yes, a sale was made, or o, a sale was ot made). Outlet Observatio Whether a o sale warig sig was preset, Locatio of warig sig(s) (see appedix 3, item 20), ad Locatio of alcohol i the outlet. Postsurvey Activities Whether outlet received a citatio, iformatioal letter, or educatioal material. Additioal Notes O the Data Collectio Form, record ay special iformatio about the sale. For example, the buyer could report that the clerk told me they were out of Budweiser ad asked if I wated aother brad. Safety Issues Buyers should ever be set ito a situatio that is potetially volatile or dagerous. It is the resposibility of the escort to esure the safety of youger participats. The escort should keep a eye o the buyers as they eter the purchase survey site ad be ready to itervee if a problem arises. If the outlet or eighborhood appears usafe, purchase attempts should ot

30 22 Guide to Coductig Alcohol Purchase Surveys be made. Istruct buyers ever to cofrot a storeclerk or customer for ay reaso ad to leave a store if they feel ucomfortable or usafe. Some buyers might express cocer about goig ito eighborhoods that are ufamiliar or appear usafe. I these cases, it is importat to hoor their wishes. Sed buyers to areas where they feel comfortable. Drivers should be screeed for their drivig records. All participats should be istructed to wear seatbelts while travelig i a car. Also, car doors should be locked at all times. Survey teams are ot to jaywalk or walk agaist red traffic lights. Escorts are to drive cautiously ad obey all traffic rules. Escorts o each survey team should carry a letter from the survey orgaizatio verifyig the legitimacy of the survey activities. This letter should iclude the ames ad phoe umbers of at least two survey coordiators who ca be reached i case of ay emergecy. Isurace ad Liability Issues It is very importat that everyoe ivolved i purchase surveys have isurace coverage ad that the isurace is valid uder purchase survey coditios. Cosult the appropriate isurace carrier before begiig purchase surveys. Usig Miors To Coduct Purchase Surveys of Retail Alcohol Outlets Survey agecies must address umerous legal ad safety issues i plaig purchase surveys where miors are participats. If miors uder the age of 18 are used as buyers, survey coordiators must obtai paretal permissio before miors are ivolved i purchase surveys. Iformatio sheets ca be mailed home with permissio slips to be siged ad retured by parets. I usig miors, the object is ever to ecourage or etice a sale of alcohol to the uderage buyer. Rather, the goal is to determie whether, uder typical circumstaces, a outlet will sell to a mior. Legal Cosideratios I most States ad commuities, it is illegal for miors both to purchase ad to possess alcohol. I some cases, it is illegal for miors eve to attempt to purchase alcohol. I some commuities, it is illegal for adults to assist youg people i a alcohol purchase or provide alcohol to miors. I some locales, oly desigated law eforcemet agecies ca coduct or

31 Guide to Coductig Alcohol Purchase Surveys 23 arrage a udercover buyig operatio. I additio, if a eforcemet actio is goig to be take agaist a outlet foud i violatio of the law, there may be other requiremets to esure that the eforcemet actio complies with the law. Be familiar with the laws that apply i the localities where the purchase survey will be coducted. Iterpretig these laws ca be difficult, so obtai legal cousel ad meet with local law eforcemet agecies before begiig purchase surveys with miors. I some cases, i order to coduct the survey, appropriate law eforcemet agecies must give writte permissio. Ispectig orgaizatios are strogly ecouraged to seek immuity from prosecutio for all buyers ad adults who participate i purchase surveys ivolvig miors, especially if eforcemet activities (e.g., citatios, fies) are plaed. If there is ay doubt about legal issues, use youthful-appearig youg adults who are 21 years old or older as buyers. I such cases, o law is violated ad the data simply idicate a willigess of merchats to sell to youg buyers without makig appropriate idetificatio checks. (See the sectio above o Validatig Youthful Appearace o page 13.) Issues of Etrapmet Purchase surveys should ever be see as a way of eticig merchats ito sellig alcohol illegally to a mior. The crimial justice system defies etrapmet as occurrig whe a perso who is ot predisposed to commit a crime does so because of police eticemet. That is, the perso is caused to commit a crime by the police (Robi, 1984). It is importat that mior participats i a survey be 18 or 19 years of age ad act ad dress i a maer cosistet with their age. If questioed about their age, they should respod truthfully. If asked for whom the alcohol is beig purchased, they should respod, for me. The issue of etrapmet is oly relevat if survey fidigs are used for issuig citatios to retailers who are caught sellig alcohol illegally to a mior. Iformed Coset Provide mior recruits ad their parets with a iformatio packet describig the purchase survey, the time commitmet ivolved, traiig, compesatio, ad ay risks ivolved (e.g., legal issues, such as required court appearaces if eforcemet actios are take agaist merchats caught violatig the law, possible risk of arrest, or loss of drivers licese). Parets or adult guardias must give iformed coset ad release for miors uder age 18 to participate i the survey. Coset forms with origial sigatures should be kept o file for at least 3 years. (See appedix 2 for sample coset forms.)