Appendix I - Synar Quality Control Standards Procedures.pdf

Maine Department of Health and Human Services

Commissioner’s Office

11 State House Station

109 Capitol Street

Augusta, Maine 04333-0011

Tel: (207) 287-3707; Fax: (207) 287-3005

TTY: Dial 711 (Maine Relay)

Janet T. Mills

Governor

Sara Gagné-Holmes

Commissioner

Synar Retail Tobacco Compliance Check Inspection Quality Control Standards and Procedures

SUMMARY:

The Department of Health and Human Services (DHHS) Maine Center for Disease Control and

Prevention (Maine CDC), and the Maine Office of the Attorney General (OAG) oversees the work of the Provider to conduct unannounced routine Synar Retail Tobacco Compliance Check Inspection, also known as an Undercover Buy Inspection (UBI) at licensed tobacco retail establishments accessible to youth throughout the State of Maine (State). These services are required in order to meet the Federal

Synar requirements of the Substance Abuse Mental Health Services Administration (SAMHSA)

Substance Abuse Prevention and Treatment Block Grant to confirm compliance with, and assess potential violations of, State and federal tobacco laws. Inspections are conducted by teams that must include an Agent, who is an active or retired law enforcement officer, a Supervisor and up to two (2)

Youth Interns age 16-17 or Young Adult Interns age 18-20.

In conducting these inspections, one (1) Youth/Young Adult Intern known as the “Buyer” will attempt the purchase of a tobacco product (for definition see 22 M.R.S §1551) from each licensed tobacco retailer to verify compliance with DHHS, Maine CDC and Synar expectations for preventing tobacco sales to underage youth. One (1) Youth/Young Adult Intern known as the “Observer” when applicable or during training, will accompany the Youth/Young Adult Intern Buyer to document the salesclerk’s characteristics, potential sales transaction, communication and sales counter location.

In fulfilling the requirement of Synar Retail Tobacco Compliance Check Inspections, the Provider must adhere to the following requirements and procedures:

PROVIDER REQUIREMENTS:

FUNDS

1. Provider shall confirm that contract funds dispersed under this Agreement are designed solely for the provision of conducting Synar Retail Tobacco Compliance Check Inspections in the State to fulfill the contract deliverables of the Federal Synar requirements by the SAMHSA Block Grant;

to assess compliance with State and federal laws preventing tobacco sales to underage youth and assess potential citations for potential violations. Provider shall not exceed total agreement amount during each contract year.

2. Provider is expected to use an online web-based data entry inspection system, mapping, and required documents for field reporting. Provider is responsible for ongoing provision, support, and maintenance of all reporting equipment utilized for State level reporting. Any changes on the part of the Provider to the use of these reporting systems must be discussed with and approved by the

DHHS, Maine CDC Synar Coordinator and/or OAG Tobacco Enforcement Coordinator.

Appendix I – Inspection Quality Control Standards - 1 https://www.samhsa.gov/synar https://www.samhsa.gov/synar https://www.samhsa.gov/synar https://www.samhsa.gov/synar https://www.samhsa.gov/synar https://legislature.maine.gov/statutes/22/title22sec1551.html

3. Provider shall not have a significant financial interest in any of the establishments where Synar

Retail Tobacco Compliance Check Inspections are conducted. Examples of significant financial interests include owning stock in the company that owns the establishment, or employment of a close family member by the company that owns the establishment. Ownership of shares of a mutual fund that is invested in such a company is not considered a significant financial interest. All personnel participating in this Program are subject to federal statutes that ban them from participating personally and substantially in a particular government matter that will affect their own financial interests, as well as the financial interests of:

a. Their spouse or minor child

b. Their general partner (if they have any ownership in a corporation)

c. An organization in which they serve as an officer, director, trustee, general partner, or employee

d. A person with whom they are negotiating for or have an arrangement concerning prospective employment

4. Provider may bill only for inspections under the following conditions:

a. When the undercover buy elements of an inspection have been completed, or

b. When arriving at the retail establishment location during the hours specified on the State’s retail tobacco license list (or generally appropriate hours if not specified) to find the store closed, or

c. When arriving at the retail establishment address as specified on the State’s retail tobacco license list and find the retail establishment is not at the specified location, and appropriate measures are taken to locate the retail establishment within the vicinity, or

d. When arriving at the retail establishment location to find there is a safety issue that precludes the team from attempting an inspection, such as police presence, or a team member determines the situation is not suitable for the Interns to attempt the inspection.

5. Provider is expected to make efforts to minimize such charges for failed inspection attempts through the use of prior confirmation strategies such as confirming the retail establishment hours of operation listed on the State’s retail tobacco license list at the time the retail establishment is assigned, or other avenues that do not compromise the unannounced nature of the inspection. If a retail establishment does not have hours of operation listed on the State’s retail tobacco license list the Provider and Agents shall conduct research to collect the retail establishment hours of operation.

If the Provider is able to collect hours of operation, the Provider shall e-mail the information with the weekly inspection summary report to the Synar Coordinator and OAG Tobacco Enforcement

Coordinator to report the hours of operation be added updated in the licensing data managing system.

6. Provider must provide information as required by SAMHSA for Federal Synar reporting requirements and information for reports to the Legislature by statute.

7. Provider shall submit weekly inspection summaries and three (3) Monthly Financial Reports by no later than the 10th of the month, to the Maine CDC’s Synar Coordinator and OAG Tobacco

Enforcement Coordinator. One (1) report will be in the form of a PDF invoice document for the confirmed billable inspections conducted during the previous month. The second (2nd) report will be the Inspection Summary Report document in the form of an excel spreadsheet containing all

Inspection Quality Control Standards - 2 required inspection data. The document must contain monthly, period of performance total and non-billable tabs following the guidelines created by the Synar Coordinator and OAG Tobacco Enforcement

Coordinator, which includes the following fields:

a. Sale Violation Count

b. Store Retail tobacco license number

c. Store Name

d. Store Address

e. Store City

f. Store County

g. Agent I.D.

h. Supervisor I.D.

i. Youth/Young Adult Intern (Buyer) I.D.

j. Gender

k. Age

l. Youth/Young Adult Intern (Observer) I.D.

m. Time Entered Establishment

n. Time Exited Establishment

o. Inspected Date

p. Disposition Code

q. Attemptable (Y/N)

r. Purchased (Y/N)

s. Clerk asked Youth for ID (Y/N)

t. Clerk Gender

u. Clerk Age

v. Tobacco Product Assigned for Purchase

w. Tobacco Type Purchased

x. Tobacco Type Brand

y. Types of Tobacco Products Sold in Establishment

z. Type of Product Code Youth Asked For

aa. Retail Outlet Type Code

bb. Description of What Transpired

cc. Reason Intern Did Not Enter Establishment

dd. Agent Additional Comments

The third (3rd) report will be the Monthly Report as a PDF. This report will include the following:

a. Cover page

b. Contents

1. Staffing Roster

i. Recruitment Updates

ii. Auto Insurance Expire Dates Chart

2. Monthly Overview

i. Inspections Completed Gender Ratio Chart

ii. Products Assigned Summary Chart

3. Retail Inspections/Funding Summary

4. Retail Violation Rate and Sale Violations

5. Updates Related to Training, Program Needs and Contract

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CONFIDENTIALITY REQUIREMENTS:

1. Provider shall assure strict confidentiality by Provider, Agent, Supervisor, and Youth/Young Adult

Interns of:

a. The specific inspections assigned

b. The specific location of inspections

c. The results of inspections

d. Any information relating to inspections provided by the Department.

2. Provider shall submit all communications concerning Synar Retail Tobacco Compliance

Check Inspections to the Maine CDC’s Synar Coordinator and OAG Tobacco

Enforcement Coordinator.

3. Provider is responsible for employment issues, concerns, and opportunities that are non-

Synar Retail Tobacco Compliance Check Inspections related.

4. Provider will require Agents, Supervisors and Youth/Young Adult Interns to maintain confidentiality of other Youth/Young Adult Intern identities, including using numbers assigned to each employee in all reports and email communications.

SUPERVISION OF PROVIDER’S EMPLOYEES:

1. Provider shall supervise all Agents, Supervisors and Youth/Young Adult Interns and shall ensure that they each follow the protocol and standards set by the OAG Tobacco Enforcement Coordinator and Maine CDC’s Synar Coordinator.

STAFFING OF AGENTS:

1. Provider shall employ qualified Agents available in all regions of the State to facilitate UBI. Agents should represent a cross-section of the communities in which the investigations are carried out.

Agents shall be responsible for facilitating the legal and administrative aspects of Synar Retail

Tobacco Compliance Check Inspections and guarantee the safety of Youth/Young Adult Interns.

2. Prior to employing personnel for the purpose of conducting inspections and also prior to the start date of each contract period, the Provider shall not hire or retain in any capacity any Agent who has a record of:

a. Any criminal conviction, classified as Class A, B or C or the equivalent of any of these, or any reckless conduct that caused, threatened, solicited or created the substantial risk of bodily injury to another person within the preceding two (2) years, as indicated in the records of the Maine

State Bureau of Investigation.

b. Any criminal conviction resulting from a sexual act, contact, touching or solicitation in connection to any victim, as indicated in the records of the Maine State Bureau of Investigation or in the Maine Sex Offender Registry.

c. Any DWI/OUI violations within the preceding thirty-six (36) months, as indicated by a review of the Maine driving records of the applicant.

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3. Provider shall ensure all Agents receive an identification number and DHHS retail tobacco compliance check inspection badge from the OAG Tobacco Enforcement Coordinator prior to conducting Synar Retail Tobacco Compliance Check Inspections under this Agreement.

4. Provider shall ensure any Agent using their personal vehicle for Compliance Inspections complies with all applicable provisions of the Maine motor vehicle law, Title 29-A Maine Revised Statutes

Annotated.

5. Provider is required to include a copy of the Agent’s active automobile insurance card in the

Agent’s employee file and keep track of the expiration dates in the monthly report. The Provider shall ensure that a current automobile insurance card for each Agent is on file at all times during the contract period.

STAFFING OF SUPERVISORS:

1. Provider shall employ qualified Supervisors available in all regions of the State to supervise and transport Youth/Young Adult Interns during UBI.

2. Prior to employing personnel for the purpose of conducting inspections and also prior to the start date of each contract period, the Provider shall not hire or retain in any capacity any Supervisor who has a record of:

a. Any criminal conviction, classified as Class A, B or C or the equivalent of any of these, or any reckless conduct that caused, threatened, solicited or created the substantial risk of bodily injury to another person within the preceding two (2) years, as indicated in the records of the Maine

State Bureau of Investigation.

b. Any criminal conviction resulting from a sexual act, contact, touching or solicitation in connection to any victim, as indicated in the records of the Maine State Bureau of Investigation or in the Maine Sex Offender Registry.

c. Any DWI/OUI violations within the preceding thirty-six (36) months, as indicated by a review of the Maine driving records of the applicant.

3. Provider shall ensure any Supervisor using their personal vehicle for Compliance Inspections complies with all applicable provisions of the Maine motor vehicle law, Title 29-A Maine Revised

Statutes Annotated.

4. Provider is required to include a copy of the Supervisor’s active automobile insurance card in the

Supervisor’s employee file and keep track of the expiration dates in the monthly report. The

Provider shall ensure that a current automobile insurance card for each Supervisor is on file at all times during the contract period.

STAFFING OF YOUTH/YOUNG ADULT INTERNS:

1. Provider shall recruit and employ a pool of qualified Youth Interns age sixteen (16) to seventeen

(17) and Young Adult Interns age eighteen (18) to twenty (20) years of age who represent a cross-section of the communities in which the inspections are to be carried out. Youth/Young Adult

Interns must be available in all regions of the State to participate in UBI. The Provider must also retain age-appropriate, experienced Interns to minimize time and resources spent in training.

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2. Provider shall ensure that Youth/Young Adult Interns appearance shall be typical of their age group and shall not hire Interns to mislead merchants about the Intern’s age. Interns must dress comparably to other youth/young adults in that particular neighborhood where the UBI are performed to avoid drawing attention or suspicion. Interns are not allowed to wear apparel advertising post-secondary school names, logos or mascots.

3. Provider shall maintain no more than a sixty percent (60%) to forty percent (40%) active gender ratio in the Youth/Young Adult Intern pool during the contract year.

4. Provider shall allow all participating Youth/Young Adult Interns to have equitable opportunities to conduct inspections.

5. Provider shall not permit any Youth Intern to attempt to purchase tobacco within thirty (30) days of their eighteenth (18th) birthday. Provider shall provide a final Youth Intern inspection count for a certificate to the OAG Tobacco Enforcement Coordinator within thirty (30) days of the Intern’s exit from the program if they do not continue working in the program.

6. Provider shall not permit any Young Adult Intern to attempt to purchase tobacco within thirty (30) days of their twenty-first (21st) birthday. Provider shall provide a final Young Adult Intern inspection count for a certificate to the OAG Tobacco Enforcement Coordinator within thirty (30) days of the Intern’s exit from the program.

7. Provider must maintain personnel records for each Youth/Young Adult Intern as provided by the

Synar Coordinator and OAG Tobacco Enforcement Coordinator. Provider shall submit original paperwork, assign the intern number, include a current photograph and notify the Department of the Intern to the employee’s shared file prior to the Intern’s participation in the program. OAG

Tobacco Enforcement Coordinator will provide copies of updated Intern forms to the Provider and notify the Provider of effective dates. Provider shall ensure effective dates are followed and updated documents are disseminated to the Provider’s Youth/Young Adult Intern recruiter.

Personnel records may include:

a. Youth/Young Adult Intern Agreement

b. Youth/Young Adult Intern Application

c. Parent Letter, if applicable

d. Parent Authorization, if applicable

e. Youth Intern Letter

f. Copy of the Youth/Young Adult Intern’s birth certificate/License

g. Emergency Medical Consent

h. Approved email confirming Young Adult Intern background check has cleared.

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SAFETY OF THE AGENTS, SUPERVISORS, AND YOUTH/YOUNG ADULT INTERNS:

1. Provider shall assume responsibility for the safety and security of the Youth/Young Adult Interns throughout the compliance investigation process including both the Intern’s physical safety and personal information, which is the highest priority for DHHS, Maine CDC and OAG. Provider shall devise and implement a safety plan for the Agents and Supervisors to follow. This plan must be reviewed and accepted by the OAG Tobacco Enforcement Coordinator prior to commencement of inspections utilizing Youth/Young Adult Interns. The Provider must renew this plan annually, making use of previous experience gained from the process of conducting inspections. As part of this safety plan, the Provider must establish protocol which assures that Agents or Supervisors transport the Youth/Young Adult Interns during UBI.

2. Provider shall allow the Agent, Supervisor or Youth/Young Adult Intern(s) to LEAVE THE

RETAIL ESTABLISHMENT IMMEDIATELY if anyone may be suspected or threatened. The

Agent’s first priority is his/her safety and the safety of the Supervisor and Youth/Young Adult

Intern(s). Inspection personnel may never confront the person who is being aggressive or threatening, or escalate the situation.

3. Provider shall not permit an inspection to be conducted at a retail establishment when a local police officer or any other municipal authority is present on the property.

4. Provider shall provide a current Certificate of Insurance showing evidence of General Liability and

Workers Compensation policies. Both coverage policies should specify coverage for all employees.

If the policies renew within the contract year, the Provider shall provide an updated Certificate of

Insurance to the Synar Coordinator and OAG Tobacco Enforcement Coordinator within (thirty) 30 days of the effective policy start date.

TRAINING REQUIREMENTS:

1. Provider shall not allow any newly hired Agent, Supervisor or Youth/Young Adult Intern to participate in any type of Synar Retail Tobacco Compliance Check Inspection until each individual has successfully completed the appropriate Synar Retail Tobacco Retail Compliance Check

Inspection Training and a ride along if applicable, specified and created by the OAG Tobacco

2. Provider shall confirm that Agents, Supervisors and Youth/Young Adult Interns participate in an annual in-person Synar Retail Tobacco Compliance Check Inspection Training as requested and facilitated by the Provider. Such training shall be completed after contract start date or the date upon which the contract is encumbered by the State or at such time as is agreed upon by the

Provider, Department and OAG Tobacco Enforcement Coordinator. Provider is required to select and to cover all costs associated with rental space, food, and materials. Provider shall provide a confirmed attendance list at minimum one (1) week prior to the training and a final attendance list following the training. The annual meeting or initial trainings can be completed via internet meeting with approval by the Department.

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3. Provider will cooperate with the OAG Tobacco Enforcement Coordinator to jointly ensure that all required training is completed in a timely manner as established by the Maine CDC’s Synar

Coordinator and/or OAG Tobacco Enforcement Coordinator.

INSPECTIONS:

1. Provider shall ensure inspections are conducted at active State retail tobacco licensees and newly licensed retail tobacco establishments within the contract period through use of the active State retail tobacco license list provided by the Synar Coordinator or OAG Tobacco Enforcement

Coordinator.

2. Provider shall carry out Synar Retail Tobacco Compliance Check Inspections according to procedures and processes developed by the Maine CDC’s Synar Coordinator and OAG Tobacco

3. Provider shall use discretion for an inspection to be conducted when the assigned Agent is not present to accompany either the Youth/Young Adult Intern(s) or observe the UBI. Observation can be done from the gas pumps or store window.

4. Provider shall not permit Agents to conduct any Synar Retail Tobacco Compliance Check

Inspections at any retail tobacco establishments owned or operated by a family member. During

UBI, Agents may not use a Youth/Young Adult Intern that is a member of the Agent’s family.

a. Family member is defined as “related” and “family members” as kinship by blood, adoption, and marriage. This includes immediate family (spouse, parent, child, and siblings), extended family (grandparents/children, aunts, uncles, cousins – particularly first and second cousins, and nephews/nieces), “step,” and in-laws.

5. Provider is responsible for scheduling monthly inspections to be conducted in each region throughout the State at youth accessible licensed tobacco retailers and shall send a pre-approval list of proposed inspections two (2) weeks prior to the OAG Tobacco Enforcement Coordinator and

Maine CDC’s Synar Coordinator for approval.

6. Provider shall permit the Maine CDC’s Synar Coordinator, OAG Tobacco Enforcement

Coordinator, or other State or federal representatives to observe an Agent during an assigned inspection scheduled by the Provider. Provider reserves the right to have a member of its management team present on such occasions per DHHS, Maine CDC or OAG preauthorization.

7. Provider shall ensure that if an Agent has reason to suspect that a retail establishment is not licensed by the State, and may be selling or offering for sale tobacco products in their assigned service area known as “canvassing,” the Agent must enter the retail establishment to confirm whether the retail establishment is displaying or offering for sale tobacco products. If a retail establishment is found to be displaying or offering for sale tobacco products, the Agent must take supporting documentation, such as photographic evidence and submit such evidence digitally via e-mail or text to the Synar Coordinator and OAG Tobacco Enforcement Coordinator immediately.

8. Provider shall take all reasonable steps to ensure that the OAG Tobacco Enforcement Coordinator is promptly notified of any UBI violations.

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9. Provider shall ensure Agents maintain safe storage of evidence after a sale occurs and while the

Agent is still conducting inspections. Agents must store the evidence in a secure location. Examples of a secure location are:

a. Locked in the glovebox, locked in the trunk, or a special lockbox within the vehicle.

b. Evidence cannot be left in plain view.

c. Agents should ensure that no one else has access to the area in which the evidence is stored. For example, if the Agent is storing evidence in the trunk, that Agent’s children should not have access to the trunk or vehicle while evidence is stored there.

d. Promptly notify the Synar Coordinator and OAG Tobacco Enforcement Coordinator of any missing or lost evidence.

e. If evidence is not transferred to the OAG Tobacco Enforcement Coordinator at the end of the inspection day, Agents should maintain the evidence in a secure location (e.g. it remains in the lockbox, it gets transferred to a safe in the Agent’s home, etc.) until the evidence is transferred or mailed via UPS Ground or FedEx to the OAG Tobacco Enforcement Coordinator.

UNDERCOVER BUY INSPECTIONS:

1. Provider shall ensure that the Agent has in possession his/her DHHS retail tobacco compliance check inspection badge issued by the OAG Tobacco Enforcement Coordinator during Undercover

Buy Inspections (UBI). Badges are active for the performance period.

2. Provider shall require Agents conducting UBI to confirm that the Youth/Young Adult Interns do not possess any tobacco products prior to conducting UBI. The Agent should not physically touch or search the Interns, but ask the Interns to empty out their pockets and leave everything not related to conducting the inspection in the vehicle.

3. Provider shall not permit Youth/Young Adult Interns to carry personal identification during an UBI, unless requested by the OAG Tobacco Enforcement Coordinator and/or Maine CDC’s Synar

Coordinator. They are allowed their personal cell phone device for safety.

4. Provider shall ensure that Agents will provide money in the form of cash or prepaid gift card to the

Youth/Young Adult Intern Buyer for the purpose of purchasing tobacco products.

5. Provider shall ensure that if more than one Agent was involved in a UBI, the Agent who was assigned the inspection must receive the evidence from the Youth/Young Adult Intern Buyer and complete the inspection protocol and follow the OAG Tobacco Enforcement Coordinator Chain of

Custody Protocol.

UNDERCOVER BUY VIOLATION CHAIN OF CUSTODY PROTOCOL:

1. Youth/Young Adult Intern Buyer and Youth/Young Adult Intern Observer (if applicable) shall exit the retail tobacco establishment. Youth/Young Adult Intern Buyer shall enter the Agent’s vehicle when applicable or the Supervisor’s vehicle. Youth/Young Adult Intern Observer shall enter the

Supervisor’s vehicle.

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2. Agent, Supervisor and Youth/Young Adult Intern(s) shall travel offsite of the retail establishment to ensure the safety of the Youth Intern(s).

3. At the offsite location, the Youth/Young Adult Intern Buyer shall hand over the tobacco product and remaining money to the assigned Agent and provide accurate inspection details for the inspection summary of the salesclerk physical characteristics, transaction, conversation and sales counter location.

4. Agent will fill out a Synar evidence tobacco label created by the OAG Tobacco Enforcement

Coordinator and apply the completed evidence label to the purchased tobacco product.

5. Agent, Supervisor or Youth/Young Adult Intern will complete the electronic inspection summary report using a cell phone device.

6. Youth/Young Adult Intern Buyer will enter the Supervisor’s vehicle.

7. Agent will accurately fill out all fields of the Notice of Civil Administration Action (NCAA) form indicating violation of Title 22 §1555-B.

8. Provider shall ensure that no action will be taken by the Agent to cite violators until the Supervisor and Youth/Young Adult Intern(s) are safely located off the inspected premises of the violating retail tobacco establishment.

9. Agent will travel back to the retail establishment to issue the store owner the NCAA. Agent will review the NCAA with the establishment owner or manager on duty.

a. Agent must report any statements from the store owner/manager and the salesclerk concerning the sale in which the responsible person admits or denies conducting the sale in the inspection summary under Agent’s Comments.

b. Agent shall have the store owner or manager, clerk if applicable, sign the NCAA and will inform them about the requirement to call the OAG Tobacco Enforcement Coordinator within 21 days of the violation date. Agent shall not discuss potential fine amounts.

i. White copy goes to the OAG Tobacco Enforcement Coordinator, and Yellow copy goes to the store owner or manager on duty.

10. After issuing the NCAA, the Agent shall return to the Supervisor and Youth/Young Adult Intern(s) at the offsite location and finish inputting the comments of the store owner and salesclerk on required documents.

11. Agent shall follow evidence-handling procedures as shown above under Inspections.

12. Agent will hand-deliver or send via a delivery service that utilizes tracking all tobacco product evidence, UPS or FedEx Only, the completed NCAA Office copy, and all other supporting documentation to the OAG Tobacco Enforcement Coordinator, within three (2) business days of receipt.

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13. When a tobacco violation is not paid by the store owner within the time specified by the OAG

Tobacco Enforcement Coordinator a court hearing could be set. The Provider shall permit the assigned Agent and Youth/Young Adult Intern Buyer to cooperate in preparing cases with the OAG

Tobacco Enforcement Coordinator and Assistant Attorney General. The assigned Agent and

Youth/Young Adult Intern Buyer must be available for processing of Synar violations including sworn statements and physical attendance at court hearings when required.

RESPONSIBLITIES OF THE OAG TOBACCO ENFORCEMENT COORDINATOR TO THE

PROVIDER:

1. OAG Tobacco Enforcement Coordinator, on behalf of the DHHS, Maine CDC will review the weekly retail tobacco sales license list and send the newly updated retail tobacco license list in the form of an excel spreadsheet to the Provider on a weekly basis. The Provider shall incorporate the weekly updated lists when selecting inspections for approval by the Maine CDC’s Synar

Coordinator and/or OAG Tobacco Enforcement Coordinator.

2. OAG Tobacco Enforcement Coordinator may communicate directly with the Provider’s Agents whenever necessary in order to ensure compliance with the protocols and standards. The OAG

Tobacco Enforcement Coordinator will give the Provider advance notice of such communications.

OAG Tobacco Enforcement Coordinator shall instruct the Provider’s employees to discuss employment conditions with the Provider in the event that an employee attempts to discuss the conditions of employment to the OAG Tobacco Enforcement Coordinator.

3. OAG Tobacco Enforcement Coordinator will notify the Provider of any incomplete or inaccurate evidence submissions.

4. Provider will train all new Agents, Supervisors, and Youth/Young Adult Interns with thorough training on relevant inspection procedures and protocols according to Synar requirements in a timely manner or as defined by DHHS, Maine CDC. OAG Tobacco Enforcement Coordinator will work with the Provider with any questions or updates.

5. OAG Tobacco Enforcement Coordinator will communicate all policy and procedure updates or training requests to the Provider and will inform the Provider whether such changes are the result of directives from DHHS, Maine CDC or are the result of decisions made by the OAG Tobacco

Enforcement Coordinator. OAG Tobacco Enforcement Coordinator will allow for the Provider’s review within a specific time frame prior to disseminating such requests to inspection personnel. If the Provider fails to respond to the OAG Tobacco Enforcement Coordinator's request for a review, a stop work order can be issued.

6. OAG Tobacco Enforcement Coordinator will collect, document, and preserve all evidence and undercover buy forms retrieved from Agent and Youth/Young Adult Intern Buyer during UBI.

7. Maine CDC’s Synar Coordinator or the OAG Tobacco Enforcement Coordinator may audit each

Agent at a minimum of one (1) time during a contract year to ensure that accurate investigation practices and protocol are being conducted in the field, and will provide a summary report to the

Provider within three (3) business days post audit.

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8. OAG Tobacco Enforcement Coordinator will make all reasonable efforts to give the Provider advanced notice of changes in inspection protocols and standards, and in training requirements, and will work with Provider in order the minimize the number of separate training events.

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