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e SAWP Report to ICOSI Executive Committee On Background Issues, Conclusions and Recommended Plan For Countermeasure Development Efforts By SAWP INTRODUCTION Draft for Review b~SAW~at Marc russe sMeet ng At their Amsterdam meeting, ICOSI's executive committee requested SAWP to plan for the development of social acceptability countermeasures that could be used by national trade associations. SAWP also was authorized to consider possible use of consultants, and SAWP was requested to submit a countermeasure develop- ment program for ICOSI's approval and authorization to proceed. This report meets ICOSI's initial requests. To produce this report, SAWP first had to reach agreement on vital background issues. Much of this report summarizes SAWP's position on the vital issues. Also included in the report is a summary of SAWP's recommendations plus a pro- posed action timetable. SAWP seeks the concurrence of ICOSI's executive committee with this report before SAWP proceeds with the proposed countermeasure development program. SAWP adopted this report and authorized its transmittal at their March meeting in Brussels. It is being sent to the executive committee for review and concurrence before the end of April. The timing of approval is critical because SAWP hopes to discuss the recommendations and timetable with national trade associations at the late May meeting in Zurich. SAWP is prepared to proceed with executing this program as soon as ICOSI's execu- tive committee gives approval. Hopefully, this approval will be forthcoming soon. BACKGROUND ISSUES THAT SAWP HAS RESOLVED Background Issue #1: SAWP's 1979 Workload In the second "cluster of decisions" approved by the executive committee at Amsterdam, SAWP spelled out their 1979 action plans in detail. This represented a full work- load for SAWP. Now the executive committee has requested additional work from SAWP during 1979. After considering all their plans and the new requests, SAWP concludes that counter- measure development work can get underway in 1979 provided the executive committee concurs in SAWP's recommendations below. However, initial results will not be forth- coming until early 1980. To start the countermeasure development program in 1979, SAWP recommends that: 1) the SAWP group be expanded to recruit additional company manpower; 2) consultants be used; f

3) trade association participation be included in the development process; 4) the staff of the Secretariat, particularly the second-ranking person in the Secretariat be deeply involved in the project; 5) SAWP be authorized to hold a "countermeasures clinic" after the May meeting of the trade associations. Note: It would be best to hold the "clinic" prior to the executive committee in September, but considering summer schedules, it seems likely that the "countermeasures clinic" involving company representatives from SAWP, ICOSI's Secretariat, selected trade associations, and consultants will not take place until October. Background Issue #2: Management of Consultants and Other Outside Resources As indicated above, ICOSI has authorized SAWP to consider using outside resources in the countermeasure development program. SAWP feels that such resources will be critical. SAWP has found by experience that the key factor in using outside consultant assistance is strong management by a member of SAWP. For the countermeasure development work, we must have the same level of high professional leadership like Hind and Needham provided to the international opinion study (carried out with consultants) and like Berman and Jacob are providing to the social costs/social values study (which also involves consultants). After considering these factors, SAWP concludes that it will be necessary to add a new member to specifically manage the outside resources. Philip Morris has offered to make such a person available and SAWP recommends that Philip Morris' offer be accepted. Background Issue #3: Area of Concentration for New Countermeasure Development As has been previously discussed in earlier SAWP reports, social acceptability issues against the industry arise in three major thrusts. These are: 1) the courtesy/annoyance thrust; 2) the public (passive) smoking thrust; 3) the social costs/social values thrust. Because Berman is heading a major countermeasure development effort in social costs/ social values, SAWP first concludes that any new countermeasures to be developed should not duplicate Berman's efforts. New developments should focus either on the courtesy/annoyance thrust or the public smoking (passive smoking) thrust. Further discussions flowing from this conclusion lead to SAWP's recommending that their efforts in new countermeasure development focus on the public smoking (passive smoking) thrust of social acceptability. 0 0 N 0 e -2- v

Background Issue #4: The High Expense Involved in Countermeasure Development The SOSAS experience in the USA, the expenditures for ICOSI's international opinion survey, and the budget for the social costs/social values effort indicate that countermeasure development involves relatively heavy expenditures. In order to most effectively control these expenses, SAWP has concluded that its work on public smoking countermeasures should stick to those themes which seem to have the most universal application from country to country. Also, SAWP has concluded that its countermeasure development work should be carried out in stages. Finally, SAWP has concluded that its new countermeasure development should draw extensively on existing countermeasure experiences and recent counter- measure studies. With regard to expense, SAWP recommends that ICOSI authorize expenditures during 1979 of $60,000. These expenses would cover the costs of interviewing, recruiting and developing exploratory proposals from appropriate consultants. This expense would also cover the cost of the "countermeasures clinic." Following the explorations and the holding of the "clinic," SAWP would be prepared in early 1980 to come to ICOSI with budget requests covering the remainder of the funds needed for countermeasure development work in the public smoking area. Background Issue #5: Relationshi s Between SAWP Countermeasure Develo ment and ra e ssoci a t i o n s Trade associations are the keys to implementing countermeasures. The ultimate effectiveness of countermeasures depends on their being effectively executed by trade associations. SAWP has concluded that countermeasure development should be a cooperative effort involving trade association representatives to give SAWP and its consultants a feel for the "market" plus a sense of trade association capabilities and constraints. SAWP recommends that the May trade association meeting and the subsequent autumn "countermeasures clinic" clarify trade association perceptions of countermeasure needs and potentials plus familiarize trade associations with the types of counter- measures that have proven most effective in various settings around the world. SAWP also recommends that each ICOSI member company keep its management around the world thoroughly informed of the potentials, plans, status and accomplishments of the countermeasure development program. This will help insure that the "governing boards" of associations will give support to the staff members of associations who are involved in countermeasure development efforts. Background Issue #6: Relationships Between SAWP Countermeasure Development and the ICOSI Secretariat In the proposed countermeasure development effort, SAWP perceives its role as being that of research development and "marketing" of concepts to the trade associations who will implement the countermeasures. There is also an important role for ICOSI's

Secretariat. The Secretariat will monitor implementation and serve as the inter- change of trade association experience. Also, there is also an especially important role for the Secretariat to play in distributing countermeasure concepts worldwide. SAWP recommends that its full-scale countermeasure development not get underway unless and until the Secretary-General is in full agreement and also unless and until the #2 person in the Secretariat can play an active role in the proposed countermeasure development effort that SAWP envisions. Background Issue #7: Relationships Between SAWP Countermeasure Development and Existing Countermeasure Efforts by Companies and Trade Associations As has been indicated, an important step in the process of new countermeasure develop- ment is knowing the state of the art of countermeasures on a country-by-country basis. SAWP must start with an appreciation of the work that has been done and its value. SAWP must learn from previous experience and avoid "reinventing the wheel." SAWP recommends that the first step in its countermeasure development effort be a country-by-country assessment of countermeasures. A questionnaire has been prepared (copy attached). SAWP will have this questionnaire filled out for each of the nine SAWP core countries. The results of this counter- measure assessment will be presented at the May trade association meeting. Background Issue #8: General Types of Countermeasures to be Developed This is the issue that has involved the most intensive discussion by SAWP membership. As has been indicated, SAWP has concluded that its work should concentrate in the area of public smoking. It is also concluded that the countermeasures must be effective ones that can be used effectively by trade associations. Here it is important to note that not all industries need countermeasures. Many businesses simply have to concern themselves with traditional business functions of product development, production, quality control, marketing, etc. However, around the world, there are individuals, governments and other public groups who have put great pressure on the tobacco industry. The industry (and in some instances, companies within the industry) must undertake steps to nullify or weaken the thrusts that are being made against the industry on social acceptability issues. These thrusts against the industry in the area of public smoking include attempts to: 1) restrict or ban smoking; 2) intimidate smokers into not smoking because of social pressures; 3) arouse general public sentiment against smoking; 4) limit the ability of the industry to competitively market their products.

Experience has shown that countermeasures in the field of public smoking can be carried out directly by trade associations or companies or through third parties or, in some instances, with no specific source being identified in the broad area of standard public relations practices and techniques. Usually, however, trade associations are the preferred vehicle. The most effective countermeasures are proactive. Those are attempts to head off adverse measures before they can be fully developed. However, most countermeasures are carried out on a tailor-made fashion to react to specific situations. It is important that countermeasures be tailor-made because approaching the U.S. Congress, for example, is quite different from approaching the E.E.C. Yet, SAWP believes that there are some basic principles for these countermeasure approaches. 'SAWP's work will attempt to focus on these basic principles. Additionally, the possibilities for countermeasures in different countries are constrained by different sets of national laws, regulations and customs. This is why the involvement of trade associations is so important. At all times, the most effective countermeasures use the most appropriate mode of individual or group persuasion, but all effective countermeasures have a firm basis in fact and science. Finally, it is obvious that countermeasures should not be launched in such a fashion so as to raise more pressures than they solve. For a number of reasons including their basic charter from ICOSI, SAWP will not concern itself with the "courtroom" countermeasures industry lawyers use in courts or other judicial situations when dealing with public smoking issues. Based on the above considerations and knowledge of countermeasures undertaken to date by companies and associations, SAW recognizes five basic functional types of countermeasures. Sometimes a countermeasure can serve more than one function, but SAWP believes that each countermeasure effort can be logically classified as falling mainly into one of the following five basic functional types. These are: 1) legislative casework countermeasures 2) regulatory casework countermeasures 3) constituency and coalition countermeasures 4) electoral campaign countermeasures 5) public climate countermeasures Looking more closely at each of these five types of countermeasures, SAWP has developed the following brief summaries for each of the five basic types of countermeasures:

Basic Countermeasure Type #1: Legislative Casework Countermeasures A. Brief Description This most traditional type of countermeasure is carried out on a case-by-case basis as specific pieces of legislation are considered by lawmaking groups. Countermeasures here take the form of lobbying. B. Objectives and Targets In this type of countermeasure, the typical objectives are to block, nullify, modify or delay pending legislation. In some more sophisticated situations, the industry takes initiative to have existing legislation, particularly tax legislation, repealed or amended in favor of the industry. The target groups for this type of countermeasure are legislators and their staffs plus the lobbyists of other industries who might be converted into temporary allies for the industry's efforts. C. Techniques Employed In This Countermeasure Type This type of countermeasure uses all of the tools in the kit of the lobbyist, e.g. testimony, position papers, constituency letters and contacts, plus the most basic tool of face-to-face discussion between industry representatives and legislators. Basic Countermeasure Type #2: Regulatory Casework Countermeasures A. Brief Description The industry also amassed considerable experience with this second type of countermeasure. It closely resembles the legislative casework type. It also typically proceeds on a case-by-case basis. It is put into plan when regu- latory groups translate laws into rules and regulations to make the laws operational and also when the regulators enforce the rules and regulations. B. Objectives and Targets In this countermeasure type, the basic objectives are to make certain that the letter and spirit of the legislation is preserved both in rule making and in enforcement. The industry faces many pressures from regulators and from so-called public interest groups whose personal views, prejudices and ambitions often lead them to propose rules, regulations or enforcement procedures that do not reflect legislative intent. The targets for this type of countermeasure are key bureaucrats and their staffs. C. Techniques Employed In This Countermeasure Type Regulatory casework uses techniques that are similar to those employed in legislative lobbying. Additionally, in this type countermeasure, the industry sometimes encourages legislative oversight and review of regulatory decisions in the bureaucracy.

Basic Countermeasure Type #3: Constituency and Coalition Countermeasures A. Brief Description This type of countermeasure is undertaken to educate, mobilize and motivate smokers and the "tobacco family" to stand up and speak out for the industry on public issues. Countermeasures of this type are becoming more important as the industry, its customers, and its employees come under increasing social pressures. B. Objectives and Targets The basic objective is to generate effective volunteer advocates who will work at the grassroots level to resist social acceptability challenges to smokers and smoking. This requires making certain that the industry's constituencies and allies have a full understanding of the issues and a capability to see through false accusations made by industry opponents. The key targets in these countermeasure efforts are the "natural" constituencies of the industry such as employees of the tobacco companies, shareholders, plus similar groups from other industries that sell products or services to the tobacco companies. C. Technigues,Employed In This Countermeasure Type Working with themes of economic self-interest, heritage pride and resisting government intervention, the efforts in this type of countermeasure essentially utilize political organization techniques plus issue advertising. Channels of employee communication and education are also important methods. Basic Countermeasure Type #4: Electoral Campaign Countermeasures A. Brief Description This type of countermeasure is relatively new to the industry. It apparently will become more important in the days ahead as more and more public elections are held on tobacco issues. Countermeasures of this type are intensive, rela- tively high-cost efforts that extend over a few months. ects B. Objectives and Targets The objective in this type of countermeasure is the very clearcut one of winning on a specific election day. The target is the voting public. C. Techniques Employed In This Countermeasure Type This type of countermeasure can utilize methods of electioneering and issue political campaigning. These range widely from the very sophisticated to the mundane.

Basic Countermeasure Type #5: Public Climate Countermeasures A. Brief Description This type of countermeasure is likely to become more important in future years because the industry finds itself facing an increasingly hostile climate of general public opinion. To date, the industry has not spoken very much to the general public about smoking issues. However, even the best legislative, regulatory, constituency and electoral campaign efforts can ultimately be doomed to failure if public opinion builds up more and more pressures on the industry's traditional legislative and regulatory "safety valves." B. Objectives and Targets In this countermeasure type, some key objectives are to convince the general public that: 1) other people's smoking is not hazardous to their health; 2) smoking is a matter of a choice; 3) smoking problems are best handled by voluntary private action, not public decrees; 4) smokers are constructive members of society; 5) it is the zealotry of anti-smokers that is at the root of any social problems of smoking. The targets in this area are the segments of the general public who are smokers and nonsmokers but not the anti-smokers. Experience has shown that there is little to be hoped for in directing these programs at anti-smokers. C. Techniques Employed In This Countermeasure Type This countermeasure type takes the form of getting the industry's positions on issues into general news and entertainment media. In some instances, more specialized media and techniques are used to reach leadership groups in society, the so-called precursors who tend to mold public opinion. Specific methods include paid advertising, appearance by industry spokesmen on media, "culti- vated" editorials and news stories, press "happenings" and a host of other conventional P.R. techniques. In its countermeasure development program, SAWP has concluded that trade associations should be presented with the opportunity of selecting from these five basic counter-, measure types and concentrating on the ones that seem most appropriate to their needs and capabilities.

RECAP OF SAWP RECOMMENDATIONS 1. Additional manpower, particularly a project manager, will be recruited for SAWP to handle the unanticipated addition to SAWP's 1979 workload. 2. Consultants will be retained. 3. Representatives of some "ICOSI core-country" trade associations will be involved in SAWP's countermeasure development process. 4. ICOSI's Secretary-General will be kept fully informed of SAWP actions and the second-ranking person in the Secretariat will be directly and regularly involved in the action. 5. Work will get underway in 1979 with at least partial commotion in 1980 (see proposed timetable on page 10). 6. SAWP's new countermeasure development program for 1979-1980 will concentrate on the public (passive) smoking thrust of social acceptability challenges. 7. Budget needs for 1979 are estimated at $60,000 for consultant research, planning, and countermeasures "clinic". Budget estimates for 1980 and beyond will be developed for ICOSI's approval and authorization. 8. If ICOSI's executive committee gives approval in April, SAWP will announce its proposed countermeasure development at the May trade association meeting. 9. ICOSI member companies will make certain that their operating company managers in various countries around the world are kept informed of SAWP's plans and actions. 10. SAWP's development work will build on countermeasure experience to date starting with a country-by-country countermeasure assessment survey. The results of this survey will also be presented at the May trade association meeting. (See pp. 11 and 12 for survey form.) 11. SAWP plans development of all five basic types of public smoking countermeasures in order to allow different associations to concentrate on the types of measures that seem most appropriate for their needs and capabilities. The five basic types are: a) legislative casework countermeasures b) regulatory casework countermeasures c) constituency and coalition countermeasures d) electoral campaign countermeasures e) public climate countermeasures 12. Additionally, each national trade association can have detailed results of ICOSI's international public opinion survey data to aid them in establishing countermeasure priorities and implementing them. -9-

SAWP'S PROPOSED TIMETABLE FOR NEW COUNTERMEASURE DEVELOPMENT IN THE AREA OF PUBLIC (PASSIVE) SMOKING March 1979 SAWP approves report for transmittal to ICOSI executive committee. March-April 1979 SAWP conducts assessment survey of countermeasures used to date. April 1979 ICOSI executive committee approves SAWP report and authorizes work to proceed with $60,000 budget for 1979 portion of work. May 1979 SAWP recruits new member(s), one of whom will manage project and consultants. At Zurich trade association meeting: a) SAWP presents results of countermeasure assessment survey. b) SAWP reviews plan for countermeasure develop- ment program. c) SAWP obtains 2 to 4 trade association volunteers to participate in countermeasure development program. d) Date of "countermeasures clinic" will be set. e) SAWP opinion survey data for each country are offered to trade associations to aid them in setting countermeasure priorities and imple- menting them. Summer 1979 #2 person from ICOSI Secretariat will join SAWP develop- ment task force. Consultants will be interviewed and key ones selected for initial participation in "countermeasures clinic" in October. Plans for "clinic" will be finalized. September 1979 SAWP will make progress report to ICOSI executive committee (and governing board if desired). October 1979 SAWP will hold "countermeasures clinic". November and Based on summer work, reports to ICOSI, and results December 1979 of "clinic", SAWP will pull together work plans, budgets and timetables for 1980 portion of countermeasure develop- ment program. January 1980 " ICOSI acts on SAWP 1980 proposals. -10- 50209 0855 ~