In the matter of Wal-Mart Stores, Inc.
ASSURANCE OF VOLUNTARY COMPLIANCE
I. Personnel Policies Relating to the Sale of Tobacco Products to Underage Persons
A. Hiring and Employment
B. Training
Except as expressly provided below, Wal-Mart shall commence implementation of the following personnel policies relating to youth access within sixty (60) days after the Effective Date, and shall complete implementation as soon as circumstances permit, but in any event no later than one-hundred fifty (150) days after the Effective Date:
1. Wal-Mart shall attempt to minimize the use of underage persons in retail sales positions that may involve the sale of tobacco products, and Wal-Mart shall closely supervise any such persons. Wal-Mart shall also attempt to minimize the use of underage persons as supervisors of employees in retail sales positions that may involve the sale of tobacco products.
2. In jurisdictions (within the States) that have laws that prohibit the use of underage persons in retail sales positions that may involve the sale of tobacco products, Wal-Mart shall, in addition to its other efforts to comply with such laws, either (a) use cash registers in positions where retail sales of tobacco products may occur that (i) ascertain the age of the specific employee who intends to use the register at the beginning of the employee’s shift, and (ii) if the employee is underage, render that employee unable to use the register for tobacco-product retail sales purposes; or (b) use a different device, method or procedure (or combination of devices, methods and procedures) in positions where retail sales of tobacco products may occur that shall provide assurance greater than or equal to the assurance provided by clause (a) above that an underage employee shall not be able to complete a retail sale of a tobacco product without assistance from an employee who is not underage. If Wal-Mart proceeds under clause (b) above it shall provide written notice within fifteen (15) business days thereafter that it has done so to the Attorney General in each directly affected State, accompanied by a description of the different devices, methods or procedures (or combination thereof) employed and a statement of the basis upon which Wal-Mart believes that such different devices, methods or procedures provide the assurance required by clause (b). Wal-Mart agrees that, in any action brought by an Attorney General challenging the adequacy of the assurance provided by the devices, methods, or procedures implemented by Wal-Mart pursuant to clause (b) above, Wal-Mart shall not assert in defense of such challenge the fact that, during the period prior to the date sixty (60) days after the date that it provided the required notice, Wal-Mart had already incurred, or become legally obligated to incur, costs in connection with the adoption of those devices, methods, or procedures. Wal-Mart further agrees that, in any such action brought by an Attorney General prior to the date sixty (60) days after the date that Wal-Mart provided the required notice, Wal-Mart shall not assert in defense of such challenge the fact that Wal-Mart would have to incur costs or disrupt operations to restore the devices, methods, or procedures that were used immediately prior to the devices, methods, or procedures the adequacy of which the Attorney General’s action challenges.
3. Upon hiring an employee for a position (or upon first assigning an employee to a position) the duties of which include the direct sale of tobacco products to retail customers, Wal-Mart shall orally inform that employee of the importance of compliance with laws relating to youth access, and that severe consequences, including termination, may result from the employee’s failure to comply with these policies. Wal-Mart shall also orally inform any employee who works at a store and who supervises another employee whose duties include the direct sale of tobacco products to retail customers in that same store of the importance of compliance with laws relating to youth access. Before any employee assumes a position the duties of which include the direct sale of tobacco products to retail customers, Wal-Mart shall provide that employee information in written or electronic form that shall include the content of Sections I.B.1.c, d, and e below and references to company policies and legal consequences associated with youth access, and that shall inform the employee that: (a) the employee’s compliance with youth access laws and policies will be taken into account in connection with promotion and retention decisions; and (b) Wal-Mart monitors employee compliance with youth access laws and policies. Wal-Mart shall obtain a written or electronic acknowledgment that each such employee has read and understands the information provided.
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1. Each employee who, after the Effective Date, is initially assigned to a job position the duties of which include the direct sale of tobacco products to retail customers, or to a job position in a store the duties of which include the supervision of another employee in that same store whose duties include the direct sale of tobacco products to retail customers, shall, within ten (10) working days after being assigned to such position, receive the training related to tobacco products set forth in subsections (a) through (h) below. Each employee who, as of the Effective Date, is currently assigned to a job position described in the first sentence of this Section I.B shall, within six (6) months after the Effective Date, receive the training related to tobacco products set forth in subsections (a) through (h) below. Such training shall be performed by a competent person, or if conducted electronically, shall be overseen by a competent person, and shall be comprised of the following elements:
(a) A review of all Wal-Mart policies relating to youth access, which policies have taken into account all applicable federal, state, and local laws relating to youth access.
(b) A brief explanation of health-related reasons for laws that restrict youth access, including communication of the items related to the use of tobacco products listed in the initial Whereas clause of this Assurance, and the fact that there is consensus in the public health community with respect to these items.
(c) A review of the range of tobacco products sold by Wal-Mart to which Wal-Mart’s youth access policies apply.
(d) Instruction that an employee must decline to sell a tobacco product if the circumstances reasonably suggest that doing so would violate the laws or company policies regarding youth access.
(e) A review of the applicable law and company policies and procedures relating to requiring identification, including: (i) the age that triggers the identification requirement; (ii) acceptable forms of identification; and (iii) features of a form of identification that must be checked, with particular emphasis on the government-issued forms of identification most commonly used in the local area, including the driver’s license issued in the particular State.
(f) A review of prescribed methods and practical techniques (where appropriate) associated with situations which may present special challenges in declining to sell tobacco products to underage persons, for example, “third party” sales, customer pressure, and sales to persons who are friends, acquaintances, and/or peer group members.
(g) An explanation of the fact that many illegal sales are made to underage persons who produce identification showing that they are in fact underage, and the importance of devoting the time and effort needed to establish that a customer is not underage.
(h) Testing that provides reasonable assurance that the employee has knowledge and understanding of Wal-Mart’s policies related to youth access, including those listed in Sections V.A.1 through V.A.8 below, to the extent that those policies are in effect at the time of testing.
Wal-Mart shall continually review and address any weaknesses identified in the training process.
2. Wal-Mart shall provide all employees who directly sell tobacco products to retail customers or who work in a store and supervise employees in that same store who directly sell tobacco products to retail customers additional training periodically to ensure that they maintain the requisite knowledge, skill, and motivation. Such additional training shall include a review of Wal-Mart’s policies on youth access and, with respect to training for the supervisors described in this Section I.B.2, an updated review of performance (as measured pursuant to Section III.B or III.C hereof and as reflected in compliance checks performed by law enforcement entities) by Wal-Mart and the particular store.
3. In the event a retail employee sells a tobacco product to an underage person in violation of federal, state or local law, or fails to pass an internal or external performance check conducted pursuant to Section III.B or C, below, and if Wal-Mart desires to retain the employee, Wal-Mart shall provide additional training as soon as possible and within no more than thirty (30) days after Wal-Mart’s receipt of notice of such violation or failure. Each such employee shall sign an acknowledgment in writing or electronically that he or she has read and understands Wal-Mart’s youth access policies and any other information provided pursuant to the training described in this Section I.B.3.
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