Agency Information Collection Activities: Submission for OMB Review; Comment Request, 53781-53784 [E7-18555]

Download as PDF Federal Register / Vol. 72, No. 182 / Thursday, September 20, 2007 / Notices revision to the PIN, explanations are provided. For questions regarding this notice, please contact the Office of Policy and Program Development, Bureau of Primary Health Care, HRSA, at 301–594–4300. FOR FURTHER INFORMATION CONTACT: Dated: September 14, 2007. Elizabeth M. Duke, Administrator. [FR Doc. E7–18562 Filed 9–19–07; 8:45 am] BILLING CODE 4165–15–P DEPARTMENT OF HEALTH AND HUMAN SERVICES Health Resources and Services Administration Notice of Availability of Final Policy Guidance Health Resources and Services Administration, HHS. ACTION: Final Agency Guidance and Response to Public Comments. AGENCY: The effective date of this final Agency guidance is August 22, 2007. SUMMARY: The Health Resources and Services Administration (HRSA) is publishing a final Agency Guidance (‘‘Policy Information Notice’’ (PIN) 2007–15) to provide guidance on emergency management expectations for health centers to assist them in planning and preparing for future emergencies through the development and maintenance of an effective and appropriate emergency management strategy. The PIN, ‘‘Health Center Emergency Management Program Expectations,’’ and the Agency’s ‘‘Response to Public Comments’’ are available on the Internet at http:// bphc.hrsa.gov/policy/pin0715. Background: HRSA administers the Health Center Program, which supports more than 3,800 health care delivery sites, including community health centers, migrant health centers, health care for the homeless centers, and public housing primary care centers. DATES: Health centers serve clients that are primarily low-income and minorities, and deliver comprehensive, culturally competent, quality primary health care services to patients regardless of their ability to pay. Charges for health care services are set according to income. On February 27, 2007, HRSA made the draft PIN available for public comment on HRSA’s Web site. The purpose of the PIN was to provide guidance on emergency management expectations for health centers to assist them in planning and preparing for future emergencies. Comments were due to HRSA by April 13, 2007. Comments were received from 31 organizations and/or individuals. After review and careful consideration of all comments received, HRSA amended the PIN to incorporate certain recommendations from the public. The final PIN reflects these changes. In addition to making the final PIN available on HRSA’s Web site, HRSA is also posting the Agency’s ‘‘Response to Public Comments.’’ The purpose of the document is to summarize the major comments received and describe the Agency’s response, including any corresponding changes made to the PIN. Where comments did not result in a revision to the PIN, explanations are provided. FOR FURTHER INFORMATION CONTACT: Please contact the Office of Policy and Program Development at (301) 594–4300 for any questions regarding this PIN. Dated: September 14, 2007. Elizabeth M. Duke, Administrator. [FR Doc. E7–18560 Filed 9–19–07; 8:45 am] BILLING CODE 4165–15–P DEPARTMENT OF HEALTH AND HUMAN SERVICES Substance Abuse and Mental Health Services Administration Agency Information Collection Activities: Submission for OMB Review; Comment Request Periodically, the Substance Abuse and Mental Health Services Administration (SAMHSA) will publish a summary of information collection requests under OMB review, in compliance with the Paperwork Reduction Act (44 U.S.C. Chapter 35). To request a copy of these documents, call the SAMHSA Reports Clearance Officer on (240) 276–1243. 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 jlentini on PROD1PC65 with NOTICES 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 ..................................................... VerDate Aug<31>2005 17:58 Sep 19, 2007 Jkt 211001 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 FY 1994. 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. PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 53781 E:\FR\FM\20SEN1.SGM 20SEN1 53782 Federal Register / Vol. 72, No. 182 / Thursday, September 20, 2007 / Notices TABLE 1.—SAPT BG SET-ASIDE PROVISIONS a—Continued Category Set-aside provision Prohibition of sale of tobacco to individuals under age of 18 (Synar amendment). 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. Maintenance of effort (MOE) for State expenditures. Administrative expenses ..................................... 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 substance abuse treatment services. GOAL #2: Spending on primary prevention programs. 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. jlentini on PROD1PC65 with NOTICES 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. VerDate Aug<31>2005 17:50 Sep 19, 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)). 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)). PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\20SEN1.SGM 20SEN1 Federal Register / Vol. 72, No. 182 / Thursday, September 20, 2007 / Notices 53783 TABLE 2.—FEDERAL GOALS FOR THE SUBSTANCE ABUSE PREVENTION AND TREATMENT BLOCK GRANT—Continued GOAL #15: Improving the quality and appropriateness of treatment services. 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). GOAL #16: Protecting patient records from in- The State agrees to ensure that the State has in effect a system to protect patient records appropriate disclosure. 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 CFR part 54 The State agrees to ensure that the State has in effect a system to comply with 42 CFR part Charitable Choice Provisions and Regulations. 54 (see 42 CFR 54.8(c)(4) and 54.8(b)) Charitable Choice Provisions and Regulations). jlentini on PROD1PC65 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 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 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 VerDate Aug<31>2005 17:50 Sep 19, 2007 Jkt 211001 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., Web Block Grant Application System (BGAS), 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 and implementing regulations. The evaluation will cover the following domains: The State SAPT BG planning process, Federal review of SAPT BG applications including annual reports, progress reports and intended use plans, 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 SAPT BG 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 PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 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 Single State Agency (SSA) for substance abuse services within State government, degree of SSA partnership with other State agencies and community organizations, and amount of Statefunded 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 SAPT BG Program, the data collection activities are more extensive (and time intensive) than would be expected of a E:\FR\FM\20SEN1.SGM 20SEN1 53784 Federal Register / Vol. 72, No. 182 / Thursday, September 20, 2007 / Notices 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 80 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. The SSA 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 inperson and web-based surveys for the Federal and State staff stakeholders and Technical Reviewers, Synar Reviewers. TABLE 3.—ESTIMATED REPORTING BURDEN OF INTERVIEWS AND WEB-BASED SURVEYS Number of respondents Respondents Average hours per interview/ survey Estimated total burden (hours) 3 3 3 3 3 3 1.5 180 180 180 180 180 180 52.5 60 60 60 60 60 60 35 Subtotal ..................................................................................................................... 395 Web-based Interviews: Technical Reviewers ........................................................................................................ State Prevention and Synar System Reviewers .............................................................. 15 30 Subtotal ..................................................................................................................... 45 .......................... 45 Total ................................................................................................................... jlentini on PROD1PC65 with NOTICES 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 ...................................................................................... 440 .......................... 1,177 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. Written comments and recommendations concerning the proposed information collection should be sent by October 22, 2007 to: SAMHSA Desk Officer, Human Resources and Housing Branch, Office of Management and Budget, New Executive Office Building, Room 10235, Washington, DC 20503; due to potential delays in OMB’s receipt and processing of mail sent through the U.S. Postal Service, respondents are encouraged to VerDate Aug<31>2005 17:50 Sep 19, 2007 Jkt 211001 1,132 1 1 15 30 submit comments by fax to: 202–395– 6974. DEPARTMENT OF HOMELAND SECURITY Dated: September 12, 2007. Elaine Parry, Acting Director, Office of Program Services. [FR Doc. E7–18555 Filed 9–19–07; 8:45 am] Transportation Security Administration BILLING CODE 4162–20–P PO 00000 [Docket No. TSA–2006–24191; USCG–2007– 27415] Transportation Worker Identity Credential (TWIC) Biometric Reader Specification and TWIC Contactless Smart Card Application Transportation Security Administration; United States Coast Guard; DHS. ACTION: Notice of availability. AGENCY: SUMMARY: The Department of Homeland Security, through the U.S. Coast Guard (Coast Guard) and the Transportation Security Administration (TSA), announces the availability of the Frm 00033 Fmt 4703 Sfmt 4703 E:\FR\FM\20SEN1.SGM 20SEN1

Agencies

[Federal Register Volume 72, Number 182 (Thursday, September 20, 2007)]
[Notices]
[Pages 53781-53784]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-18555]


-----------------------------------------------------------------------

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Agency Information Collection Activities: Submission for OMB 
Review; Comment Request

    Periodically, the Substance Abuse and Mental Health Services 
Administration (SAMHSA) will publish a summary of information 
collection requests under OMB review, in compliance with the Paperwork 
Reduction Act (44 U.S.C. Chapter 35). To request a copy of these 
documents, call the SAMHSA Reports Clearance Officer on (240) 276-1243.

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       Not less than 35 percent of SAPT BG
 activities regarding alcohol.  funding*.
Prevention and treatment       Not less than 35 percent of SAPT BG
 activities regarding other     funding*.
 drugs.
Primary prevention programs..  Not less than 20 percent of SAPT BG
                                funding.
Pregnant women and women with  Not less than amount equal to expenditure
 dependent children.            in FY 1994.
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.

[[Page 53782]]

 
Prohibition of sale of         State must enforce law against sale of
 tobacco to individuals under   tobacco to underage individuals to
 age of 18 (Synar amendment).   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)    State will maintain funding at no less
 for State expenditures.        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 grant funds
 substance abuse treatment      to maintain a continuum of substance
 services.                      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   The State agrees to spend not less than
 primary prevention programs.   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)).
GOAL 3: Spending on   The State agrees to expend not less than
 services for pregnant women    an amount equal to the amount expended
 and children.                  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     The State agrees to provide treatment to
 for intravenous drug abusers.  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 through
 services for people in         arrangements with other public or
 substance abuse treatment.     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         Designated States agree to provide
 intervention services for      treatment for persons with substance
 HIV for people in substance    abuse problems with an emphasis on
 abuse treatment.               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   Designated States agree to provide for
 for recovering substance       and encourage the development of group
 abusers.                       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         The State agrees to continue to have in
 efforts to reduce the          effect a State law that makes it
 availability of tobacco        unlawful for any manufacturer, retailer,
 products.                      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 each
 admission of pregnant women    pregnant woman be given preference in
 to substance abuse treatment.  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     The State agrees to improve the process
 process for referring          in the State for referring individuals
 individuals to substance       to the treatment modality that is most
 abuse treatment.               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 continuing
 education for employees at     education for the employees of
 substance abuse prevention     facilities which provide prevention
 and/or treatment facilities.   activities or treatment services (or
                                both) (see 42 U.S.C. 300x-28(b) and 45
                                CFR 96.132(b)).
GOAL 12:              The State agrees to coordinate prevention
 Coordination of services.      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        The State agrees to submit an assessment
 assessment by State and        of the need for both treatment and
 locality.                      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     The State agrees to ensure that no
 that needles and syringes      program funded through the block grant
 are not provided for illegal   will use funds to provide individuals
 drug use.                      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)).

[[Page 53783]]

 
GOAL 15: Improving    The State agrees to assess and improve,
 the quality and                through independent peer review, the
 appropriateness of treatment   quality and appropriateness of treatment
 services.                      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   The State agrees to ensure that the State
 patient records from           has in effect a system to protect
 inappropriate disclosure.      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   The State agrees to ensure that the State
 with 42 CFR part 54            has in effect a system to comply with 42
 Charitable Choice Provisions   CFR part 54 (see 42 CFR 54.8(c)(4) and
 and Regulations.               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 
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., Web Block 
Grant Application System (BGAS), 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 and implementing regulations. 
The evaluation will cover the following domains: The State SAPT BG 
planning process, Federal review of SAPT BG applications including 
annual reports, progress reports and intended use plans, 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 SAPT BG 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 Single State 
Agency (SSA) for substance abuse services 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 SAPT 
BG Program, the data collection activities are more extensive (and time 
intensive) than would be expected of a

[[Page 53784]]

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 80 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. 
The SSA 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 and Technical Reviewers, Synar Reviewers.

                    Table 3.--Estimated Reporting Burden of Interviews and Web-Based Surveys
----------------------------------------------------------------------------------------------------------------
                                                                                 Average hours
                          Respondents                              Number of     per interview/  Estimated total
                                                                  respondents        survey       burden (hours)
----------------------------------------------------------------------------------------------------------------
In-person Interviews:
    State Substance Abuse Prevention and Treatment Agency                   60              3              180
     Commissioner.............................................
    State Planners............................................              60              3              180
    State Data Analysts.......................................              60              3              180
    State Prevention Lead.....................................              60              3              180
    State Treatment Lead......................................              60              3              180
    Additional State Staff....................................              60              3              180
    Federal SAPT Block Grant Staff............................              35              1.5             52.5
���������������������������������������������������������������
        Subtotal..............................................             395  ...............          1,132
���������������������������������������������������������������
Web-based Interviews:
    Technical Reviewers.......................................              15              1               15
    State Prevention and Synar System Reviewers...............              30              1               30
                                                               -------------------------------------------------
        Subtotal..............................................              45  ...............             45
���������������������������������������������������������������
            Total.............................................             440  ...............          1,177
----------------------------------------------------------------------------------------------------------------

    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.
    Written comments and recommendations concerning the proposed 
information collection should be sent by October 22, 2007 to: SAMHSA 
Desk Officer, Human Resources and Housing Branch, Office of Management 
and Budget, New Executive Office Building, Room 10235, Washington, DC 
20503; due to potential delays in OMB's receipt and processing of mail 
sent through the U.S. Postal Service, respondents are encouraged to 
submit comments by fax to: 202-395-6974.

    Dated: September 12, 2007.
Elaine Parry,
Acting Director, Office of Program Services.
[FR Doc. E7-18555 Filed 9-19-07; 8:45 am]
BILLING CODE 4162-20-P