Agency Information Collection Activities: Proposed Collection; Comment Request, 14283-14286 [E7-5582]
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Federal Register / Vol. 72, No. 58 / Tuesday, March 27, 2007 / Notices
Agency Information Collection
Activities: Proposed Collection;
Comment Request
Services Administration (SAMHSA)
will publish periodic summaries of
proposed projects. To request more
information on the proposed projects or
to obtain a copy of the information
collection plans, call the SAMHSA
Reports Clearance Officer on (240) 276–
1243.
Comments are invited on: (a) Whether
the proposed collections of information
are necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the proposed collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information to be collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
In compliance with Section
3506(c)(2)(A) of the Paperwork
Reduction Act of 1995 concerning
opportunity for public comment on
proposed collections of information, the
Substance Abuse and Mental Health
Proposed Project: Independent
Evaluation of the Substance Abuse
Prevention and Treatment Block Grant
Program—NEW
The Substance Abuse and Mental
Health Services Administration
individuals may submit one paper copy.
Comments are to be identified with the
docket number found in brackets in the
heading of this document. Received
comments may be seen in the Division
of Dockets Management between 9 a.m.
and 4 p.m., Monday through Friday.
Dated: March 16, 2007.
Linda S. Kahan,
Deputy Director, Center for Devices and
Radiological Health.
[FR Doc. E7–5572 Filed 3–26–07; 8:45 am]
BILLING CODE 4160–01–S
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Substance Abuse and Mental Health
Services Administration
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(SAMHSA), Center for Substance Abuse
Treatment (CSAT), Division of State and
Community Assistance administers the
Substance Abuse Prevention and
Treatment Block Grant (SAPT BG) in
collaboration with the Center for
Substance Abuse Prevention (CSAP),
Division of State Programs. The
Substance Abuse Prevention and
Treatment Block Grant is funded by
Congress to provide monies to States,
Territories, and one Native American
Tribe for the purpose of planning,
carrying out, and evaluating activities to
prevent and treat substance abuse and
other allowable activities. The SAPT BG
constitutes approximately 40 percent of
all States budgets for substance abuse
prevention and treatment services and
activities, and is the primary Federal
source of funding. States have flexibility
in determining how funds should be
allocated, but there are specific set-aside
and maintenance of effort requirements
that must be met in order to receive
funding. These requirements,
introduced by both the ADAMHA
Reorganization Act of 1992 and the
Children’s Health Act of 2000, are listed
below:
TABLE 1.—SAPT BG SET-ASIDE PROVISIONS a
Category
Set-aside provision
Prevention and treatment activities regarding alcohol.
Prevention and treatment activities regarding
other drugs.
Primary prevention programs .............................
Pregnant women and women with dependent
children.
Tuberculosis services .........................................
HIV services b .....................................................
Prohibition of sale of tobacco to individuals
under age of 18 (Synar amendment).
Maintenance of effort (MOE) for State expenditures.
Administrative expenses ....................................
Not less than 35 percent of SAPT BG funding.*
Not less than 35 percent of SAPT BG funding.*
Not less than 20 percent of SAPT BG funding.
Not less than amount equal to expenditure in FY1994.
No set amount but services must be provided to receive SAPT BG funds.
No more than 5 percent increase over State allotment for HIV services in FY 1991.
State must enforce law against sale of tobacco to underage individuals to receive SAPT BG
funds—noncompliance leads to a 10 percent reduction in funds the first applicable fiscal
year; 20 percent, the second year; 30 percent, the third year; and 40 percent, the fourth
year.
State will maintain funding at no less than the average level of expenditures for the 2 years
preceding the fiscal year for which the State is applying.
Limited to 5 percent of SAPT BG funding.
a These set-asides shown in this table were included in the 1992 SAPT BG authorizing legislation 42 U.S.C. 300x–21 to 42 U.S.C. 300x–62).
In the Children’s Health Act of 2000 (Pub. L. 106–310) Sec. 3303(a)(1)), however, the set-asides marked with asterisks were removed.
b For designated States whose rate of AIDS cases is 10 or more per 100,000 individuals as confirmed by the Centers for Disease Control and
Prevention.
In addition to the set-asides, the SAPT
BG Program has identified 17 goals
which must be met by States in order to
receive this Federal funding:
TABLE 2.—FEDERAL GOALS FOR THE SUBSTANCE ABUSE PREVENTION AND TREATMENT BLOCK GRANT
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GOAL #1: Continuum of substance abuse treatment services.
GOAL #2: Spending on primary prevention programs.
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The State shall expend block grant funds to maintain a continuum of substance abuse treatment services that meet these needs for the services identified by the state (see 42 U.S.C.
300x–21(b) and 45 CFR 96.122(f)(g)).
The State agrees to spend not less than 20 percent on primary prevention programs for individuals who do not require treatment for substance abuse, specifying the activities proposed
for each of the six strategies (see 42 U.S.C. 300x–22(b)(1) and 45 CFR 96.124(b)(1)).
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Federal Register / Vol. 72, No. 58 / Tuesday, March 27, 2007 / Notices
TABLE 2.—FEDERAL GOALS FOR THE SUBSTANCE ABUSE PREVENTION AND TREATMENT BLOCK GRANT—Continued
GOAL #3: Spending on services for pregnant
women and children.
GOAL #4: Treatment for intravenous drug
abusers.
GOAL #5: Tuberculosis services for people in
substance abuse treatment.
GOAL #6: Early intervention services for HIV
for people in substance abuse treatment.
GOAL #7: Group homes for recovering substance abusers.
GOAL #8: State efforts to reduce the availability
of tobacco products.
GOAL #9: Preferential admission of pregnant
women to substance abuse treatment.
GOAL #10: Improved process for referring individuals to substance abuse treatment.
GOAL #11: Continuing education for employees
at substance abuse prevention and/or treatment facilities.
GOAL #12: Coordination of services .................
GOAL #13: Needs assessment by State and locality.
GOAL #14: Ensuring that needles and syringes
are not provided for illegal drug use.
GOAL #15: Improving the quality and appropriateness of treatment services.
GOAL #16: Protecting patient records from inappropriate disclosure.
GOAL #17: Compliance with 42 CFR part 54
Charitable Choice Provisions and Regulations.
The State agrees to expend not less than an amount equal to the amount expended by the
State for FY 1994 to establish new programs or expand the capacity of existing programs to
make available treatment services designed for pregnant women and children with dependent children; and, directly or through arrangements with other public or nonprofit entities, to
make available prenatal care to women receiving such treatment services, and, while the
women are receiving services, child care (see 42 U.S.C. 300x–22(c)(1) and 45 CFR
96.124(c)(e)).
The State agrees to provide treatment to intravenous drug abusers that fulfills the 90 percent
capacity reporting, 14–120 day performance requirement, interim services, outreach activities and monitoring requirements (see 42 U.S.C. 300x–23 and 45 CFR 96.126).
The State agrees, directly or through arrangements with other public or nonprofit private entities, to routinely make available tuberculosis services to each individual receiving treatment
for substance abuse and to monitor such service delivery (see 42 U.S.C. 300x–24 and 45
CFR 96.127).
Designated States agree to provide treatment for persons with substance abuse problems with
an emphasis on making available within existing programs early intervention services for HIV
in areas of the state that have the greatest need for such services and to monitor such service delivery (see 42 U.S.C. 300x–24(b) and 45 CFR 96.128).
Designated States agree to provide for and encourage the development of group homes for recovering substance abusers through the operation of a revolving loan fund (see 42 U.S.C.
300x–25 and 45 CFR 96.129).
The State agrees to continue to have in effect a State law that makes it unlawful for any manufacturer, retailer, or distributor of tobacco products to sell or distribute any such product to
any individual under the age of 18; and, to enforce such laws in a manner than can reasonably be expected to reduce the extent to which tobacco products are available to individuals
under age 18 (see 42 U.S.C. 300x–26 and 45 CFR 96.130).
The State agrees to ensure that each pregnant woman be given preference in admission to
treatment facilities; and, when the facility has insufficient capacity, to ensure that the pregnant woman be referred to the State, which will refer the woman to a facility that does have
the capacity to admit the woman, or if no such facility has the capacity to admit the woman,
will make available interim services within 48 hours (see 42 U.S.C. 300x–27 and 45 CFR
96.131).
The State agrees to improve the process in the State for referring individuals to the treatment
modality that is most appropriate for the individual (see 42 U.S.C. 300x–28 and 45 CFR
96.132(a)).
The State agrees to provide continuing education for the employees of facilities which provide
prevention activities or treatment services (or both) (see 42 U.S.C. 300x–28(b) and 45 CFR
96.132(b)).
The State agrees to coordinate prevention activities and treatment services with the provision
of other appropriate services (see 42 U.S.C. 300x–28(c) and 45 CFR 96.132(c)).
The State agrees to submit an assessment of the need for both treatment and prevention in
the State for authorized activities, both by locality and by the State in general (see 42 U.S.C.
300x–29 and 45 CFR 96.133).
The State agrees to ensure that no program funded through the block grant will use funds to
provide individuals with hypodermic needles or syringes so that such individuals may use illegal drugs (see 42 U.S.C. 300x–31(a)(1)(F) and 45 CFR 96.135(a)(6)).
The State agrees to assess and improve, through independent peer review, the quality and appropriateness of treatment services delivered by provider that receive funds from the block
grant (see 42 U.S.C. 300x–53(a) and 45 CFR 96.136).
The State agrees to ensure that the State has in effect a system to protect patient records
from inappropriate disclosure (see 42 U.S.C. 300x–53(b), 45 CFR 6.132(e), and 42 CFR
part 2).
The State agrees to ensure that the State has in effect a system to comply with 42 CFR part
54 (see 42 CFR 54.8(c)(4) and 54.8(b)) Charitable Choice Provisions and Regulations).
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SOURCE: Performance Partnership Grant Branch, Division of State and Community Assistance, Center for Substance Abuse Treatment, Substance Abuse and Mental Health Services Administration, ‘‘Uniform Application, FY 2007, Substance Abuse Prevention and Treatment Block
Grant (42 U.S.C. 300x–21 through 300x–64),’’ Rockville, MD, 2004.
The FY 2003 Office of Management
and Budget (OMB) Program Assessment
Rating Tool (PART) assessment of the
SAPT BG Program rated the program as
‘‘Ineffective.’’ The SAPT BG received
high scores on three of four PART areas
rated, including Program Purpose and
Design, Strategic Planning, and Program
Management. However, the scores could
have been even higher in these areas if
data were available to document that the
resources were reaching the intended
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beneficiaries or the program had
ambitious targets and long-term
measures. In the fourth area, Program
Results/Accountability, where a low
rating was achieved, it was found that
‘‘no independent evaluation of the
program has been completed’’ to
establish that the SAPT BG Program is
effective and fulfilling its legislative
mandates.
In direct response to this OMB
finding, a contract was developed and
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awarded in FY 2003 to conduct an
Evaluability Assessment (EA) to
determine the feasibility of conducting
an independent evaluation of the SAPT
BG Program, and subsequently, to fund
such an evaluation effort. EA is a
recognized program evaluation
methodology which involves
collaboration with multiple
stakeholders and development of a
program logic model used to plan
formal evaluations of large and/or
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Federal Register / Vol. 72, No. 58 / Tuesday, March 27, 2007 / Notices
complex programs, such as the SAPT
BG program. The findings of the EA
were used as a foundation in the
development and awarding of a multiyear contract in FY 2004 to conduct an
independent, comprehensive evaluation
of the SAPT BG Program.
As noted in the OMB PART
Assessment, the legislative intent of the
SAPT BG is to provide funding to states
by formula to plan, carry out, and
evaluate activities to prevent and treat
substance abuse. Therefore, the
evaluation is designed to examine the
system-level activities, outputs, and
outcomes associated with the program
in relation to its goals.
In this evaluation, a multi-method
evaluation approach is being used to
examine Federal and State performance
with regard to the SAPT BG and its
identified goals. This approach
emphasizes a qualitative and
quantitative examination of both the
SAPT BG process (e.g., activities and
outputs in the logic model) and systemlevel outcomes whereby Federal and
State stakeholder perspectives on the
SAPT BG, as captured through semistructured interviews and surveys, are
corroborated and compared to the
considerable amount of alreadycollected source documents and data
provided by States, CSAT, and CSAP
(e.g., BGAS applications, Treatment
Episode Data Set (TEDS), National
Survey on Drug Use and Health
(NSDUH), the Minimum Data Set
(MDS), Technical Review Reports, State
Prevention and Synar System Reports).
The purpose of the evaluation is to
determine the extent to which States
and the Federal Government are
implementing the SAPT BG according
to the authorizing legislation. The
evaluation will cover the following
domains: the State SAPT BG planning
process, Federal review of SAPT BG
applications and implementation
reports, Federal technical assistance,
State SAPT BG implementation, Federal
oversight and management, State SAPT
BG reporting, and State-level outcomes.
The results of this evaluation will not
only document the effectiveness of the
Program in supporting the Substance
Abuse Prevention and Treatment
system, they will also help guide CSAT
and CSAP and the States to improve the
methods by which they implement the
SAPT BG, including the capacity to
collect, analyze, and interpret the
National Outcome Measures (NOMS).
As a separate, parallel SAMHSA
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initiative, the NOMS project began after
the SAPT BG Evaluation contract
inception and was not used in the SAPT
BG EA or the development of the
evaluation framework and logic model.
However, selected NOMS items that
relate to the evaluation framework and
logic model will be examined in the
independent evaluation. These selected
NOMS items include:
• Increase in number of persons
reporting a reduction in 30-day drug/
alcohol use
• Increase in number of persons
employed or in school
• Reduction in number of drug or
alcohol-related arrests
• Increase in number of persons in
stable housing situations (reduction in
homelessness)
• Increase in access to services
measured by unduplicated counts of
persons served and numbers served
compared to those in need
• Increase in number of persons
receiving evidence-based services.
In addition, the evaluators will
attempt to collect information on
system-wide client perception of care.
Statistical tests for association between
outcome measures and a number of
independent variables will be
conducted. Examples of independent
variables include, but are not limited to,
level of funding, level of the SSA within
State government, degree of SSA
partnership with other State agencies
and community organizations, and
amount of State-funded support
available for research and training
activities.
In addition to information about the
selected NOMS domains, the evaluation
will also examine systemic measures
related to infrastructure. Infrastructure
refers to the resources, systems, and
policies that support the nation’s public
substance abuse prevention and
treatment system, and is a potential
contributor to significant State
behavioral health system outcomes.
Examples of infrastructure include staff
training, policy changes, and service
availability.
Because this is the first-ever
comprehensive evaluation of the
Program, the data collection activities
are more extensive (and time intensive)
than would be expected of a Program
that has been regularly evaluated. These
data will serve as a baseline for future
evaluations.
The two primary data collection
strategies will include open-ended
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14285
interviews and web-based surveys.
Interviews will be conducted with
Federal staff involved in the
administration of the SAPT BG and
State staff from all States and Territories
involved in their State’s implementation
of the SAPT BG program. Two webbased surveys will be administered to
all individuals who formally participate
in monitoring the SAPT BG as part of
the Technical Review or State
Prevention and Synar System Review
Teams.
The interview protocol for Federal
staff includes 79 questions (mostly
open-ended), and, on average, should
take 90 minutes to complete. The
interview protocol for the State staff
includes 99 questions (again, mostly
open-ended), and should take, on
average, 3 hours to complete. Both the
Federal staff interviews and the State
staff interviews will be conducted as inperson interviews. While the Federal
staff will each be interviewed
individually, a single group State staff
interview will be conducted for all
relevant State staff. State Substance
Abuse Authority Directors will be asked
to select those State staff who they
believe are most knowledgeable about
the SAPT BG for participation in the
interviews. It is anticipated that, at a
minimum, the State Planner, the State
Data Analyst, the State Prevention Lead,
the State Treatment Lead, one
additional State staff member, and the
State SSA Director will participate.
The two web-based surveys will be
distributed to the two current sets of
formal reviewers for the SAPT BG:
Technical Reviewers and State
Prevention and Synar System
Reviewers. The web-based surveys are
designed so that each stakeholder group
receives survey questions designed to
capture their specific knowledge of and
experience with the SAPT BG. The
Technical Reviewer survey contains 47
questions and the State Prevention and
Synar System Reviewer survey has 27
questions. Each survey should take
approximately 1 hour or less to
complete. Reviewers will submit their
responses to the survey online over a 3week period.
Table 3 summarizes the estimated
annual total burden hours for the inperson and web-based surveys for the
Federal and State staff stakeholders,
Technical Reviewers, Synar Reviewers,
and SPSA.
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Federal Register / Vol. 72, No. 58 / Tuesday, March 27, 2007 / Notices
TABLE 3.—ESTIMATED ANNUALIZED BURDEN
Number of
respondents
Respondents
Response per
respondent
Average hours
per interview
Estimated total
burden
(hours)
In-person Interviews:
State Substance Abuse Prevention and Treatment Agency Commissioner ................................................................................................
State Planners ......................................................................................
State Data Analysts ..............................................................................
State Prevention Lead ..........................................................................
State Treatment Lead ...........................................................................
Additional State Staff ............................................................................
Federal SAPT Block Grant Staff ..........................................................
60
60
60
60
60
60
35
1
1
1
1
1
1
1
3
3
3
3
3
3
1.5
180
180
180
180
180
180
52.5
Subtotal .........................................................................................
395
........................
..........................
1132.5
Web-based Interviews:
Technical Reviewers ............................................................................
State Prevention and Synar System Reviewers ..................................
15
30
1
1
Subtotal .........................................................................................
45
........................
..........................
45
Total .......................................................................................
440
........................
..........................
1177.5
This Federal Register Notice is
focused on the interviews and surveys
that will be administered to the SAPT
BG stakeholders as those methods of
data collection require OMB approval. It
is anticipated that in future independent
evaluations of the SAPT BG Program
focus will be given to the NOMS and
their implications for program
performance and goals.
Send comments to Summer King,
SAMHSA Reports Clearance Officer,
Room 7–1044, One Choke Cherry Road,
Rockville, MD 20857. Written comments
should be received within 60 days of
this notice.
Dated: March 20, 2007.
Elaine Parry,
Acting Director, Office of Program Services.
[FR Doc. E7–5582 Filed 3–26–07; 8:45 am]
BILLING CODE 4162–20–P
DEPARTMENT OF HOMELAND
SECURITY
Federal Emergency Management
Agency
[FEMA–1689–DR]
California; Major Disaster and Related
Determinations
Federal Emergency
Management Agency, DHS.
ACTION: Notice.
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AGENCY:
SUMMARY: This is a notice of the
Presidential declaration of a major
disaster for the State of California
(FEMA–1689–DR), dated March 13,
2007, and related determinations.
EFFECTIVE DATE: March 13, 2007.
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FOR FURTHER INFORMATION CONTACT:
Magda Ruiz, Recovery Division, Federal
Emergency Management Agency,
Washington, DC 20472, (202) 646–2705.
SUPPLEMENTARY INFORMATION: Notice is
hereby given that, in a letter dated
March 13, 2007, the President declared
a major disaster under the authority of
the Robert T. Stafford Disaster Relief
and Emergency Assistance Act, 42
U.S.C. 5121–5206 (the Stafford Act), as
follows:
I have determined that the damage in
certain areas of the State of California
resulting from a severe freeze during the
period of January 11–17, 2007, is of sufficient
severity and magnitude to warrant a major
disaster declaration under the Robert T.
Stafford Disaster Relief and Emergency
Assistance Act, 42 U.S.C. 5121–5206 (the
Stafford Act). Therefore, I declare that such
a major disaster exists in the State of
California.
In order to provide Federal assistance, you
are hereby authorized to allocate from funds
available for these purposes such amounts as
you find necessary for Federal disaster
assistance and administrative expenses.
You are authorized to provide Disaster
Unemployment Assistance and Food
Commodities in the designated areas and any
other forms of assistance under the Stafford
Act that you deem appropriate. If Public
Assistance, Hazard Mitigation, and the Other
Needs Assistance program under Section 408
of the Stafford Act are later requested and
warranted, Federal funding will be limited to
75 percent of the total eligible costs. Further,
you are authorized to make changes to this
declaration to the extent allowable under the
Stafford Act.
1
1
is appointed to act as the Federal
Coordinating Officer for this declared
disaster.
I do hereby determine the following
areas of the State of California to have
been affected adversely by this declared
major disaster:
Fresno, Imperial, Kern, Los Angeles,
Monterey, Riverside, San Bernardino, San
Diego, San Luis Obispo, Santa Barbara,
Tulare, and Ventura Counties for Disaster
Unemployment Assistance and Food
Commodities.
(The following Catalog of Federal Domestic
Assistance Numbers (CFDA) are to be used
for reporting and drawing funds: 97.030,
Community Disaster Loans; 97.031, Cora
Brown Fund Program; 97.032, Crisis
Counseling; 97.033, Disaster Legal Services
Program; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management
Assistance; 97.048, Individuals and
Households Housing; 97.049, Individuals and
Households Disaster Housing Operations;
97.050, Individuals and Households
Program—Other Needs; 97.036, Public
Assistance Grants; 97.039, Hazard Mitigation
Grant Program.)
R. David Paulison,
Under Secretary for Federal Emergency
Management and Director of FEMA.
[FR Doc. E7–5529 Filed 3–26–07; 8:45 am]
BILLING CODE 9110–10–P
The Federal Emergency Management
Agency (FEMA) hereby gives notice that
pursuant to the authority vested in the
Director, under Executive Order 12148,
as amended, Justo Hernandez, of FEMA
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30
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]]>Agencies
[Federal Register Volume 72, Number 58 (Tuesday, March 27, 2007)]
[Notices]
[Pages 14283-14286]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-5582]
-----------------------------------------------------------------------
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Substance Abuse and Mental Health Services Administration
Agency Information Collection Activities: Proposed Collection;
Comment Request
In compliance with Section 3506(c)(2)(A) of the Paperwork Reduction
Act of 1995 concerning opportunity for public comment on proposed
collections of information, the Substance Abuse and Mental Health
Services Administration (SAMHSA) will publish periodic summaries of
proposed projects. To request more information on the proposed projects
or to obtain a copy of the information collection plans, call the
SAMHSA Reports Clearance Officer on (240) 276-1243.
Comments are invited on: (a) Whether the proposed collections of
information are necessary for the proper performance of the functions
of the agency, including whether the information shall have practical
utility; (b) the accuracy of the agency's estimate of the burden of the
proposed collection of information; (c) ways to enhance the quality,
utility, and clarity of the information to be collected; and (d) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques or other
forms of information technology.
Proposed Project: Independent Evaluation of the Substance Abuse
Prevention and Treatment Block Grant Program--NEW
The Substance Abuse and Mental Health Services Administration
(SAMHSA), Center for Substance Abuse Treatment (CSAT), Division of
State and Community Assistance administers the Substance Abuse
Prevention and Treatment Block Grant (SAPT BG) in collaboration with
the Center for Substance Abuse Prevention (CSAP), Division of State
Programs. The Substance Abuse Prevention and Treatment Block Grant is
funded by Congress to provide monies to States, Territories, and one
Native American Tribe for the purpose of planning, carrying out, and
evaluating activities to prevent and treat substance abuse and other
allowable activities. The SAPT BG constitutes approximately 40 percent
of all States budgets for substance abuse prevention and treatment
services and activities, and is the primary Federal source of funding.
States have flexibility in determining how funds should be allocated,
but there are specific set-aside and maintenance of effort requirements
that must be met in order to receive funding. These requirements,
introduced by both the ADAMHA Reorganization Act of 1992 and the
Children's Health Act of 2000, are listed below:
Table 1.--SAPT BG Set-Aside Provisions a
------------------------------------------------------------------------
Category Set-aside provision
------------------------------------------------------------------------
Prevention and treatment activities Not less than 35 percent of SAPT
regarding alcohol. BG funding.*
Prevention and treatment activities Not less than 35 percent of SAPT
regarding other drugs. BG funding.*
Primary prevention programs.......... Not less than 20 percent of SAPT
BG funding.
Pregnant women and women with Not less than amount equal to
dependent children. expenditure in FY1994.
Tuberculosis services................ No set amount but services must
be provided to receive SAPT BG
funds.
HIV services b....................... No more than 5 percent increase
over State allotment for HIV
services in FY 1991.
Prohibition of sale of tobacco to State must enforce law against
individuals under age of 18 (Synar sale of tobacco to underage
amendment). individuals to receive SAPT BG
funds--noncompliance leads to a
10 percent reduction in funds
the first applicable fiscal
year; 20 percent, the second
year; 30 percent, the third
year; and 40 percent, the fourth
year.
Maintenance of effort (MOE) for State State will maintain funding at no
expenditures. less than the average level of
expenditures for the 2 years
preceding the fiscal year for
which the State is applying.
Administrative expenses.............. Limited to 5 percent of SAPT BG
funding.
------------------------------------------------------------------------
a These set-asides shown in this table were included in the 1992 SAPT BG
authorizing legislation 42 U.S.C. 300x-21 to 42 U.S.C. 300x-62). In
the Children's Health Act of 2000 (Pub. L. 106-310) Sec. 3303(a)(1)),
however, the set-asides marked with asterisks were removed.
b For designated States whose rate of AIDS cases is 10 or more per
100,000 individuals as confirmed by the Centers for Disease Control
and Prevention.
In addition to the set-asides, the SAPT BG Program has identified
17 goals which must be met by States in order to receive this Federal
funding:
Table 2.--Federal Goals for the Substance Abuse Prevention and Treatment
Block Grant
------------------------------------------------------------------------
------------------------------------------------------------------------
GOAL 1: Continuum of The State shall expend block
substance abuse treatment services. grant funds to maintain a
continuum of substance abuse
treatment services that meet
these needs for the services
identified by the state (see 42
U.S.C. 300x-21(b) and 45 CFR
96.122(f)(g)).
GOAL 2: Spending on primary The State agrees to spend not
prevention programs. less than 20 percent on primary
prevention programs for
individuals who do not require
treatment for substance abuse,
specifying the activities
proposed for each of the six
strategies (see 42 U.S.C. 300x-
22(b)(1) and 45 CFR
96.124(b)(1)).
[[Page 14284]]
GOAL 3: Spending on services The State agrees to expend not
for pregnant women and children. less than an amount equal to the
amount expended by the State for
FY 1994 to establish new
programs or expand the capacity
of existing programs to make
available treatment services
designed for pregnant women and
children with dependent
children; and, directly or
through arrangements with other
public or nonprofit entities, to
make available prenatal care to
women receiving such treatment
services, and, while the women
are receiving services, child
care (see 42 U.S.C. 300x-
22(c)(1) and 45 CFR
96.124(c)(e)).
GOAL 4: Treatment for The State agrees to provide
intravenous drug abusers. treatment to intravenous drug
abusers that fulfills the 90
percent capacity reporting, 14-
120 day performance requirement,
interim services, outreach
activities and monitoring
requirements (see 42 U.S.C. 300x-
23 and 45 CFR 96.126).
GOAL 5: Tuberculosis The State agrees, directly or
services for people in substance through arrangements with other
abuse treatment. public or nonprofit private
entities, to routinely make
available tuberculosis services
to each individual receiving
treatment for substance abuse
and to monitor such service
delivery (see 42 U.S.C. 300x-24
and 45 CFR 96.127).
GOAL 6: Early intervention Designated States agree to
services for HIV for people in provide treatment for persons
substance abuse treatment. with substance abuse problems
with an emphasis on making
available within existing
programs early intervention
services for HIV in areas of the
state that have the greatest
need for such services and to
monitor such service delivery
(see 42 U.S.C. 300x-24(b) and 45
CFR 96.128).
GOAL 7: Group homes for Designated States agree to
recovering substance abusers. provide for and encourage the
development of group homes for
recovering substance abusers
through the operation of a
revolving loan fund (see 42
U.S.C. 300x-25 and 45 CFR
96.129).
GOAL 8: State efforts to The State agrees to continue to
reduce the availability of tobacco have in effect a State law that
products. makes it unlawful for any
manufacturer, retailer, or
distributor of tobacco products
to sell or distribute any such
product to any individual under
the age of 18; and, to enforce
such laws in a manner than can
reasonably be expected to reduce
the extent to which tobacco
products are available to
individuals under age 18 (see 42
U.S.C. 300x-26 and 45 CFR
96.130).
GOAL 9: Preferential The State agrees to ensure that
admission of pregnant women to each pregnant woman be given
substance abuse treatment. preference in admission to
treatment facilities; and, when
the facility has insufficient
capacity, to ensure that the
pregnant woman be referred to
the State, which will refer the
woman to a facility that does
have the capacity to admit the
woman, or if no such facility
has the capacity to admit the
woman, will make available
interim services within 48 hours
(see 42 U.S.C. 300x-27 and 45
CFR 96.131).
GOAL 10: Improved process The State agrees to improve the
for referring individuals to process in the State for
substance abuse treatment. referring individuals to the
treatment modality that is most
appropriate for the individual
(see 42 U.S.C. 300x-28 and 45
CFR 96.132(a)).
GOAL 11: Continuing The State agrees to provide
education for employees at substance continuing education for the
abuse prevention and/or treatment employees of facilities which
facilities. provide prevention activities or
treatment services (or both)
(see 42 U.S.C. 300x-28(b) and 45
CFR 96.132(b)).
GOAL 12: Coordination of The State agrees to coordinate
services. prevention activities and
treatment services with the
provision of other appropriate
services (see 42 U.S.C. 300x-
28(c) and 45 CFR 96.132(c)).
GOAL 13: Needs assessment by The State agrees to submit an
State and locality. assessment of the need for both
treatment and prevention in the
State for authorized activities,
both by locality and by the
State in general (see 42 U.S.C.
300x-29 and 45 CFR 96.133).
GOAL 14: Ensuring that The State agrees to ensure that
needles and syringes are not no program funded through the
provided for illegal drug use. block grant will use funds to
provide individuals with
hypodermic needles or syringes
so that such individuals may use
illegal drugs (see 42 U.S.C.
300x-31(a)(1)(F) and 45 CFR
96.135(a)(6)).
GOAL 15: Improving the The State agrees to assess and
quality and appropriateness of improve, through independent
treatment services. peer review, the quality and
appropriateness of treatment
services delivered by provider
that receive funds from the
block grant (see 42 U.S.C. 300x-
53(a) and 45 CFR 96.136).
GOAL 16: Protecting patient The State agrees to ensure that
records from inappropriate the State has in effect a system
disclosure. to protect patient records from
inappropriate disclosure (see 42
U.S.C. 300x-53(b), 45 CFR
6.132(e), and 42 CFR part 2).
GOAL 17: Compliance with 42 The State agrees to ensure that
CFR part 54 Charitable Choice the State has in effect a system
Provisions and Regulations. to comply with 42 CFR part 54
(see 42 CFR 54.8(c)(4) and
54.8(b)) Charitable Choice
Provisions and Regulations).
------------------------------------------------------------------------
SOURCE: Performance Partnership Grant Branch, Division of State and
Community Assistance, Center for Substance Abuse Treatment, Substance
Abuse and Mental Health Services Administration, ``Uniform
Application, FY 2007, Substance Abuse Prevention and Treatment Block
Grant (42 U.S.C. 300x-21 through 300x-64),'' Rockville, MD, 2004.
The FY 2003 Office of Management and Budget (OMB) Program
Assessment Rating Tool (PART) assessment of the SAPT BG Program rated
the program as ``Ineffective.'' The SAPT BG received high scores on
three of four PART areas rated, including Program Purpose and Design,
Strategic Planning, and Program Management. However, the scores could
have been even higher in these areas if data were available to document
that the resources were reaching the intended beneficiaries or the
program had ambitious targets and long-term measures. In the fourth
area, Program Results/Accountability, where a low rating was achieved,
it was found that ``no independent evaluation of the program has been
completed'' to establish that the SAPT BG Program is effective and
fulfilling its legislative mandates.
In direct response to this OMB finding, a contract was developed
and awarded in FY 2003 to conduct an Evaluability Assessment (EA) to
determine the feasibility of conducting an independent evaluation of
the SAPT BG Program, and subsequently, to fund such an evaluation
effort. EA is a recognized program evaluation methodology which
involves collaboration with multiple stakeholders and development of a
program logic model used to plan formal evaluations of large and/or
[[Page 14285]]
complex programs, such as the SAPT BG program. The findings of the EA
were used as a foundation in the development and awarding of a multi-
year contract in FY 2004 to conduct an independent, comprehensive
evaluation of the SAPT BG Program.
As noted in the OMB PART Assessment, the legislative intent of the
SAPT BG is to provide funding to states by formula to plan, carry out,
and evaluate activities to prevent and treat substance abuse.
Therefore, the evaluation is designed to examine the system-level
activities, outputs, and outcomes associated with the program in
relation to its goals.
In this evaluation, a multi-method evaluation approach is being
used to examine Federal and State performance with regard to the SAPT
BG and its identified goals. This approach emphasizes a qualitative and
quantitative examination of both the SAPT BG process (e.g., activities
and outputs in the logic model) and system-level outcomes whereby
Federal and State stakeholder perspectives on the SAPT BG, as captured
through semi-structured interviews and surveys, are corroborated and
compared to the considerable amount of already-collected source
documents and data provided by States, CSAT, and CSAP (e.g., BGAS
applications, Treatment Episode Data Set (TEDS), National Survey on
Drug Use and Health (NSDUH), the Minimum Data Set (MDS), Technical
Review Reports, State Prevention and Synar System Reports).
The purpose of the evaluation is to determine the extent to which
States and the Federal Government are implementing the SAPT BG
according to the authorizing legislation. The evaluation will cover the
following domains: the State SAPT BG planning process, Federal review
of SAPT BG applications and implementation reports, Federal technical
assistance, State SAPT BG implementation, Federal oversight and
management, State SAPT BG reporting, and State-level outcomes. The
results of this evaluation will not only document the effectiveness of
the Program in supporting the Substance Abuse Prevention and Treatment
system, they will also help guide CSAT and CSAP and the States to
improve the methods by which they implement the SAPT BG, including the
capacity to collect, analyze, and interpret the National Outcome
Measures (NOMS). As a separate, parallel SAMHSA initiative, the NOMS
project began after the SAPT BG Evaluation contract inception and was
not used in the SAPT BG EA or the development of the evaluation
framework and logic model. However, selected NOMS items that relate to
the evaluation framework and logic model will be examined in the
independent evaluation. These selected NOMS items include:
Increase in number of persons reporting a reduction in 30-
day drug/alcohol use
Increase in number of persons employed or in school
Reduction in number of drug or alcohol-related arrests
Increase in number of persons in stable housing situations
(reduction in homelessness)
Increase in access to services measured by unduplicated
counts of persons served and numbers served compared to those in need
Increase in number of persons receiving evidence-based
services.
In addition, the evaluators will attempt to collect information on
system-wide client perception of care. Statistical tests for
association between outcome measures and a number of independent
variables will be conducted. Examples of independent variables include,
but are not limited to, level of funding, level of the SSA within State
government, degree of SSA partnership with other State agencies and
community organizations, and amount of State-funded support available
for research and training activities.
In addition to information about the selected NOMS domains, the
evaluation will also examine systemic measures related to
infrastructure. Infrastructure refers to the resources, systems, and
policies that support the nation's public substance abuse prevention
and treatment system, and is a potential contributor to significant
State behavioral health system outcomes. Examples of infrastructure
include staff training, policy changes, and service availability.
Because this is the first-ever comprehensive evaluation of the
Program, the data collection activities are more extensive (and time
intensive) than would be expected of a Program that has been regularly
evaluated. These data will serve as a baseline for future evaluations.
The two primary data collection strategies will include open-ended
interviews and web-based surveys. Interviews will be conducted with
Federal staff involved in the administration of the SAPT BG and State
staff from all States and Territories involved in their State's
implementation of the SAPT BG program. Two web-based surveys will be
administered to all individuals who formally participate in monitoring
the SAPT BG as part of the Technical Review or State Prevention and
Synar System Review Teams.
The interview protocol for Federal staff includes 79 questions
(mostly open-ended), and, on average, should take 90 minutes to
complete. The interview protocol for the State staff includes 99
questions (again, mostly open-ended), and should take, on average, 3
hours to complete. Both the Federal staff interviews and the State
staff interviews will be conducted as in-person interviews. While the
Federal staff will each be interviewed individually, a single group
State staff interview will be conducted for all relevant State staff.
State Substance Abuse Authority Directors will be asked to select those
State staff who they believe are most knowledgeable about the SAPT BG
for participation in the interviews. It is anticipated that, at a
minimum, the State Planner, the State Data Analyst, the State
Prevention Lead, the State Treatment Lead, one additional State staff
member, and the State SSA Director will participate.
The two web-based surveys will be distributed to the two current
sets of formal reviewers for the SAPT BG: Technical Reviewers and State
Prevention and Synar System Reviewers. The web-based surveys are
designed so that each stakeholder group receives survey questions
designed to capture their specific knowledge of and experience with the
SAPT BG. The Technical Reviewer survey contains 47 questions and the
State Prevention and Synar System Reviewer survey has 27 questions.
Each survey should take approximately 1 hour or less to complete.
Reviewers will submit their responses to the survey online over a 3-
week period.
Table 3 summarizes the estimated annual total burden hours for the
in-person and web-based surveys for the Federal and State staff
stakeholders, Technical Reviewers, Synar Reviewers, and SPSA.
[[Page 14286]]
Table 3.--Estimated Annualized Burden
----------------------------------------------------------------------------------------------------------------
Number of Response per Average hours Estimated total
Respondents respondents respondent per interview burden (hours)
----------------------------------------------------------------------------------------------------------------
In-person Interviews:
State Substance Abuse Prevention and 60 1 3 180
Treatment Agency Commissioner............
State Planners............................ 60 1 3 180
State Data Analysts....................... 60 1 3 180
State Prevention Lead..................... 60 1 3 180
State Treatment Lead...................... 60 1 3 180
Additional State Staff.................... 60 1 3 180
Federal SAPT Block Grant Staff............ 35 1 1.5 52.5
-----------------------------------------------------------------
Subtotal.............................. 395 .............. ............... 1132.5
----------------------------------------------------------------------------------------------------------------
Web-based Interviews:
Technical Reviewers....................... 15 1 1 15
State Prevention and Synar System 30 1 1 30
Reviewers................................
-----------------------------------------------------------------
Subtotal.............................. 45 .............. ............... 45
�����������������������������������������������
Total............................. 440 .............. ............... 1177.5
----------------------------------------------------------------------------------------------------------------
This Federal Register Notice is focused on the interviews and
surveys that will be administered to the SAPT BG stakeholders as those
methods of data collection require OMB approval. It is anticipated that
in future independent evaluations of the SAPT BG Program focus will be
given to the NOMS and their implications for program performance and
goals.
Send comments to Summer King, SAMHSA Reports Clearance Officer,
Room 7-1044, One Choke Cherry Road, Rockville, MD 20857. Written
comments should be received within 60 days of this notice.
Dated: March 20, 2007.
Elaine Parry,
Acting Director, Office of Program Services.
[FR Doc. E7-5582 Filed 3-26-07; 8:45 am]
BILLING CODE 4162-20-P
