Report 2012-111 Recommendation 6 Responses

Report 2012-111: California Department of Public Health: It Needs to Improve Accuracy in Accounting and Charging for Compliance Inspections Designed to Reduce Youth Access to Tobacco and It Could Enhance Its Compliance Inspections (Release Date: June 2013)

Recommendation #6 To: Public Health, Department of

To ensure that Public Health can more effectively monitor and enforce compliance with the STAKE Act, it should take appropriate steps to ensure that there are no restrictions placed on the use of the data acquired during the annual retailer assessment that would preclude its use for compliance inspection purposes.

Annual Follow-Up Agency Response From October 2015

On January 28, 2015, the California Tobacco Control Program (CTCP) contract with California State University Sacramento (CSUS) to perform the Youth Tobacco Purchase Survey (YTPS) was fully executed. Attached is a copy of the fully executed contract. The Scope of Work for the new contract states that CSUS will obtain Institutional Review Board (IRB) approval to conduct the study and share the names and addresses of violating stores with the California Department of Public Health, Food and Drug Branch (FDB).

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

Annual Follow-Up Agency Response From October 2014

The status of this recommendation is unchanged.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

Starting in 2014, after the June 30 completion of the annual Youth Tobacco Purchase Survey (YTPS), California Department of Public Health (CDPH), Tobacco Control Branch (TCB) will share with CDPH Food and Drug Branch (FDB) the list of retailers who sold tobacco to minor decoys during YTPS. On August 28, 2013, TCB and FDB agreed the YTPS data will be transferred via encrypted electronic means, secure email, or password-protected site consistent with CDPH Information Technology Services Division security best practices.

On completion of data collection for the 2014 YTPS, San Diego State University Research Foundation (SDSURF) sent the complete data set to TCB. On July 18, 2014, after verifying data accuracy and completing statistical analyses, TCB provided FDB the list of retailers that sold tobacco to minors. The data included license number, taxpayer number, business name, and store address/telephone number.

TCB removed restrictions on data sharing with FDB by not renewing or extending SDSURF's contract to conduct YTPS. The future YTPS contract will include language stating that violator data is provided to FDB.

Since San Diego State University elected to not renew their contract, and TCB reached out to, California public universities was needed to identify a qualified Principal Investigator. TCB identified an interested, capable entity to conduct the 2015 YTPS. The Budget and Scope of Work are under negotiation. It is anticipated that an interagency agreement will be submitted to CDPH's Contract Management Unit by August 31, 2014. The contract process typically takes six months. The new agreement will specify that names and addresses of stores that sold tobacco to minors will be shared with FDB and this information must be included in the study protocol submitted to the Institutional Review Board. The agreement which describes sharing violator data with FDB will be provided to BSA upon execution.

California State Auditor's Assessment of 1-Year Status: Pending

6-Month Agency Response

California Department of Public Health (CDPH) will implement this recommendation. Beginning in 2014 and following the completion of the annual Youth Tobacco Purchase Survey (YTPS) on June 30 of each year, the Tobacco Control Branch (TCB) will share with Food and Drug Branch (FOB) the names and addresses of retailers who sold tobacco to a minor decoy during the survey.

On August 28, 2013, TCB confirmed with FOB that YTPS data will be transferred by:encrypted electronic data transfer via secure email or password-protected SharePoint site, consistent with CDPH Information Technology Services Division (ITSD) security best practices.

California State Auditor's Assessment of 6-Month Status: No Action Taken

60-Day Agency Response

Beginning in 2014, following the completion of the annual Youth Tobacco Purchase Survey (YTPS) by June 30 of each year, the Tobacco Control Branch (TCB) will share with FDB the names and addresses of retailers who sold tobacco to a minor decoy during the survey.

By September 1, 2013, FDB and TCB will determine if the YTPS data will be transferred by:

Encrypted electronic data transfer via secure email or password-protected SharePoint site, consistent with CDPH Information Technology Services Division (ITSD) security best practices; or

Secure hard copy via signature-required Registered Mail via the U.S. Postal Service.

California State Auditor's Assessment of 60-Day Status: No Action Taken

All Recommendations in 2012-111

Agency responses received are posted verbatim.