Agency Information Collection Activities: Proposed Collection; Comment Request, 14283-14286 [E7-5582]

Download as PDF 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 14283 (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 sroberts on PROD1PC70 with NOTICES GOAL #1: Continuum of substance abuse treatment services. GOAL #2: Spending on primary prevention programs. VerDate Aug<31>2005 16:38 Mar 26, 2007 Jkt 211001 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)). PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\27MRN1.SGM 27MRN1 14284 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). sroberts on PROD1PC70 with NOTICES 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 VerDate Aug<31>2005 16:38 Mar 26, 2007 Jkt 211001 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 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 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 E:\FR\FM\27MRN1.SGM 27MRN1 sroberts on PROD1PC70 with NOTICES 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 VerDate Aug<31>2005 16:38 Mar 26, 2007 Jkt 211001 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 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 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. E:\FR\FM\27MRN1.SGM 27MRN1 14286 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. sroberts on PROD1PC70 with NOTICES 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. VerDate Aug<31>2005 16:38 Mar 26, 2007 Jkt 211001 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 PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 15 30 E:\FR\FM\27MRN1.SGM 27MRN1

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]


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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