Agency Information Collection Activities: Proposed Collection; Comment Request, 19999-20003 [2011-8520]
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announcement located at https://
grants.nih.gov/grants/guide/rfa-files/
RFA–FD–11–002.html. (FDA has
verified the Web site addresses
throughout this document, but FDA is
not responsible for any subsequent
changes to the Web sites after this
document publishes in the Federal
Register.) Persons interested in applying
for a grant may obtain an application at
https://grants.nih.gov/grants/guide/rfafiles/RFA–FD–11–002.html.
For all paper application submissions,
the following steps are required:
• Step 1: Obtain a Dun and Bradstreet
(DUNS) Number
• Step 2: Register With Central
Contractor Registration
Steps 1 and 2, in detail, can be found
at https://www07.grants.gov/applicants/
organization_registration.jsp. After you
have followed these steps, submit paper
applications to: Division of Acquisition
Support and Grants, Office of
Acquisition & Grant Services, 5630
Fishers Lane, Rm. 1079, Rockville, MD
20857, 301–827–7177.
Place: National Institutes of Health, 6100
Executive Boulevard, Rockville, MD 20852
(Telephone Conference Call).
Contact Person: Carla Walls, PhD,
Scientific Review Officer, Division of
Scientific Review, National Institute of Child
Health and Human Development, 6100
Executive Boulevard, Rockville, MD 20892–
9304, (301) 435–6898, wallsc@mail.nih.gov.
(Catalogue of Federal Domestic Assistance
Program Nos. 93.864, Population Research;
93.865, Research for Mothers and Children;
93.929, Center for Medical Rehabilitation
Research; 93.209, Contraception and
Infertility Loan Repayment program, National
Institutes of Health, HHS)
Dated: April 5, 2011.
Jennifer S. Spaeth,
Director, Office of Federal Advisory
Committee Policy.
[FR Doc. 2011–8606 Filed 4–8–11; 8:45 am]
BILLING CODE 4140–01–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Dated: April 6, 2011.
Leslie Kux,
Acting Assistant Commissioner for Policy.
Substance Abuse and Mental Health
Services Administration
[FR Doc. 2011–8513 Filed 4–8–11; 8:45 am]
Agency Information Collection
Activities: Proposed Collection;
Comment Request
BILLING CODE 4160–01–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
National Institutes of Health
srobinson on DSKHWCL6B1PROD with NOTICES
Eunice Kennedy Shriver National
Institute of Child Health & Human
Development; Notice of Closed
Meeting
Pursuant to section 10(d) of the
Federal Advisory Committee Act, as
amended (5 U.S.C. App.), notice is
hereby given of the following meeting.
The meeting will be closed to the
public in accordance with the
provisions set forth in sections
552b(c)(4) and 552b(c)(6), Title 5 U.S.C.,
as amended. The grant applications and
the discussions could disclose
confidential trade secrets or commercial
property such as patentable material,
and personal information concerning
individuals associated with the grant
applications, the disclosure of which
would constitute a clearly unwarranted
invasion of personal privacy.
Name of Committee: National Institute of
Child Health and Human Development
Special Emphasis Panel, Cognitive
Development.
Date: April 27, 2011.
Time: 2:30 p.m. to 4 p.m.
Agenda: To review and evaluate grant
applications.
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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.
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19999
Proposed Project: Unified Application
for the Community Mental Health
Services Block Grant and Substance
Abuse and Prevention Treatment Block
Grant FY 2012–2013 Application
Guidance and Instructions (OMB No.
0930–0168)—Revision
The Substance Abuse and Mental
Health Services Administration
(SAMHSA), is requesting approval from
the Office of Management and Budget
(OMB) for a revision of the 2012 and
2013 Community Mental Health
Services Block Grant (MHSBG) and
Substance Abuse Prevention and
Treatment Block Grant (SAPTBG)
Guidance and Instructions into one
unified block grant application. To
minimize the burden, the two separate
clearances for the block grant
applications will be merged into one.
Currently, the SAPTBG and the
MHSBG differ on a number of their
practices (e.g., data collection at
individual or aggregate levels) and
statutory authorities (e.g., method of
calculating MOE, stakeholder input
requirements for planning, set asides for
specific populations or programs, etc.).
Historically, the Centers within
SAMHSA that administer these Block
Grants have had different approaches to
application requirements and reporting.
To compound this variation, States have
different structures for accepting,
planning, and accounting for the Block
Grants and the Prevention Set Aside
within the SAPTBG. As a result, how
these dollars are spent and what is
known about the services and clients
that receive these funds varies by Block
Grant and by State.
In addition, between 2012 and 2015,
32 million individuals who are
uninsured will have the opportunity to
enroll in Medicaid or private health
insurance. This expansion of health
insurance coverage will have a
significant impact on how State Mental
Health Authorities (SMHAs) and State
Substance Abuse Authorities (SSAs) use
their limited resources. Many
individuals served by these authorities
are funded through Federal Block Grant
funds. SAMHSA proposes that Block
Grant funds be directed toward four
purposes: (1) To fund priority treatment
and support services for individuals
without insurance or who cycle in and
out of health insurance coverage; (2) to
fund those priority treatment and
support services not covered by
Medicaid, Medicare or private insurance
offered through the exchanges and that
demonstrate success in improving
outcomes and/or supporting recovery;
(3) to fund universal, selective and
targeted prevention activities and
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Federal Register / Vol. 76, No. 69 / Monday, April 11, 2011 / Notices
services; and (4) to collect performance
and outcome data to determine the
ongoing effectiveness of behavioral
health prevention, treatment and
recovery support services and to plan
the implementation of new services on
a nationwide basis.
States should begin planning now for
FY 2014 when more individuals are
insured. To ensure sufficient and
comprehensive preparation, SAMHSA
will use FY 2012 and 2013 to work with
States to plan for and transition the
Block Grants to these four purposes.
This transition includes fully exercising
SAMHSA’s existing authority regarding
States’ and Jurisdictions’ (subsequently
referred to as ‘‘States’’) use of Block
Grant funds, and a shift in SAMHSA
staff functions to support and provide
technical assistance for States receiving
Block Grant funds as they move through
these changes.
The proposed Mental Health Block
Grant and the Substance Abuse
Prevention and Treatment Block Grant
build on ongoing efforts to reform health
care, ensure parity and provide States
and Territories with new tools, new
flexibility, and state/territory-specific
plans for available resources to provide
their residents the health care benefits
they need. The revised planning section
of the Block Grant application provides
a process for States and Territories to
identify priorities for individuals who
need behavioral health services in their
jurisdictions, develop strategies to
address these needs, and decide how to
expend Block Grant Funds. In addition,
the Planning Section of the Block Grant
requests additional information from
States that could be used to assist them
in their reform efforts. The plan
submitted by each State and Territory
will provide information for SAMHSA
and other federal partners to use in
working with States and Territories to
improve their behavioral health systems
over the next two years as health care
and economic conditions evolve.
Currently, States and Territories are
asked to provide strategies for seventeen
areas that were developed almost
twenty years ago. This new Block Grant
application guides and prompts States
and Territories to consider multiple
populations and program areas that are
likely to be priorities for States and
Territories today, and to consider how
changes in other funding streams that
were not as relevant in prior years might
fit with Block Grant funds today and in
the future.
In addition, the new Block Grant
application provides States and
Territories the flexibility to submit one
rather than two separate Block Grant
applications if they choose. It also
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allows States and Territories to develop
and submit a bi-annual rather than an
annual plan, recognizing that the
demographics and epidemiology do not
often change on an annual basis. These
options may decrease the number of
applications submitted from four in two
years to one.
Over the next several months,
SAMHSA will assist States and
Territories (individually and in smaller
groups) as they develop their Block
Grant applications. While there are
some specific statutory requirements
that SAMHSA will look for in each
submitted application, SAMHSA
intends to approach this process with
the goal of assisting States and
Territories in setting a clear direction for
system improvements over time, rather
than as a simple effort to seek
compliance with minimal requirements.
Consistent with previous
applications, the FY 2012–2013
application has sections that are
required and other sections where
additional information is requested, but
not required. The FY 2012–2013
application requires States to submit a
face sheet, a table of contents, a
behavioral health assessment and plan,
reports of expenditures and persons
served, executive summary, and funding
agreements and certifications. In
addition, SAMHSA is requesting
information on key areas that are critical
to their success to address health reform
and parity. States will continue to
receive their annual grant funding if
they only chose to submit the required
section of their State Plans or choose to
submit separate plans for the MHBG or
SAPTBG. Therefore, as part of this
Block Grant planning process, SAMHSA
is asking States and Territories to
identify their technical assistance needs
to implement the strategies they identify
in their plans for FY 2012 and 2013.
To facilitate an efficient application
process for States in FY 2012–2013,
SAMHSA convened an internal
workgroup to develop the application
for the Block Grant planning section. In
addition, SAMHSA consulted with
representatives from the state mental
health and state substance abuse
authorities to receive input regarding
proposed changes to the Block Grant.
Based on these discussions with States,
SAMHSA is proposing several changes
to the Block Grant programs, discussed
in greater detail below.
Changes to Assessment and Planning
Activities
Under the previous SAPTBG, States
were requested to address seventeen
national goals. Some of these seventeen
goals were population specific (pregnant
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women), while others were service
specific (substance abuse prevention
strategies). The MHSBG required States
to address a set of criterion for children
with serious emotional disturbances and
adults with serious mental illness.
While both Block Grants required States
to do an assessment and plan, they did
not always allow the State or SAMHSA
to obtain an overall picture of the State’s
behavioral health needs and to
incorporate consistent priorities and
planning activities, especially for
individuals with a co-occurring mental
and substance use disorder. States will
be asked to follow a four-step planning
process which consists of: (1) Assessing
the strengths and needs of the service
system; (2) identifying the unmet
service needs and critical gaps within
the current system; (3) prioritize the
State planning activities, and; (4)
develop goals, strategies and
performance indicators.
The revised Block Grant application
requires States to identify and analyze
the strengths, needs, and priorities of
their behavioral health systems. One
important change is that States will be
requested to take into account the
priorities for the specific populations
that are the current focus of the Block
Grants in the context of the changing
health care environment and
SAMHSA’s strategic initiatives. The
focus of SAMHSA’s Block Grant
programs has not changed significantly
over the past 20 years. While many of
these populations originally targeted for
the Block Grants are still a priority,
additional populations have evolving
needs that should be addressed. These
include military families, youth who
need substance use disorder services,
individuals who experience trauma,
increased numbers of individuals
released from correctional facilities, and
lesbian, gay, bi-sexual, transgender and
questioning (LGBTQ) individuals. The
uniform plan required in the Block
Grant application must address the
statutory populations (as appropriate for
each Block Grant) and should address
these other populations.
One population of particular note in
2014 will be the newly-insured. States
should begin planning now for
individuals with low-incomes who are
currently uninsured but will gain health
coverage in 2014 when additional
coverage options are available. Many of
these individuals will be covered by
Medicaid or private insurance in FY
2014, and this will present new
opportunities for behavioral health
systems to expand access and capacity.
In addition, States should identify who
will not be covered after FY 2014, as
well as whose coverage is insufficient
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and how federal funds will be used to
support these individuals who may
need treatment and supports.
SAMHSA is also encouraging SMHAs
and SSAs to develop and submit a
combined plan to address a number of
other common areas, including bidirectional integration of behavioral
health and primary care services,
provision of recovery support services
and a combined plan for the provision
of services for individuals with cooccurring mental and substance use
disorders. These combined plans should
be included in a State’s application (for
those states submitting one Block Grant
application). For States that submit
separate Block Grant applications, these
combined plans for these activities
should be included in both the State
MHSBG and SAPTBG applications.
The new Block Grant application
requires States to follow the following
planning steps:
• Step One: Assess the strengths and
needs of the service system to address
the specific populations. This will
include a description of the organization
of the current public system, the roles
of the state, county, and localities in the
provision of service and the ability of
the system to address diverse needs.
• Step Two: Identify the unmet
service needs and critical gaps within
the current system. Included in this step
is the identification of data sources used
to determine the needs and gaps for the
populations identified as a priority.
• Step Three: Prioritize State
planning activities. Given the
information in Step 2, the States will
prioritize the target populations as
appropriate for each Block Grant as well
as other priority populations as
determined by the State.
• Step Four: Develop goals, strategies
and performance indicators. For each of
the priorities identified in Step 3, the
state will identify at least one goal,
strategies to reach that goal, and the
performance indicators to be examined
over the next two years.
In addition to the planning steps,
States are requested to provide the
following information:
• Information on the Use of Block
Grant Dollars for Block Grant
Activities—States should project how
Block Grant funds will be used to
provide services for the target
populations or areas identified in their
plans for States that have a combined
MHSBG and SAPTBG application.
SAMHSA encourages States to use
MHSBG and SAPTBG funds to support
their or other agencies’ efforts to
develop reimbursement strategies that
support innovation. For example, States
could use Block Grant funds to support
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various demonstration projects through
other federal programs (Medicaid, HUD,
Veterans Affairs). The new Block Grant
application asks States to describe their
overall reimbursement approach for
services purchased with MHSBG and
SAPTBG funds. States must identify the
reimbursement methodology proposed
for each service, prevention and
emotional health development strategy,
and system improvement. States are
requested to project their expenditures
under the MHSBG and the SAPTBG for
treatment and support services.
• Information on Activities that
Support Individuals in Directing the
Services—In the new Block Grant
application, States are asked to provide
information regarding policies and
programs that allow individuals with
mental illness and/or substance use
disorder to direct their own care.
• Information on Data and
Information Technology—SAMHSA is
requesting States to provide unique
client-level encounter data for specific
services that are purchased with Block
Grant funds. States will be requested to
complete the service utilization table in
the Reporting Section of the
Application. States should provide
information on the number of
unduplicated individuals by each
service purchased with Block Grant
Funds. If the State is currently unable to
provide unique client level data for any
part of its behavioral health system, the
State is requested to describe in the
Block Grant application their plan,
process, resources needed and timeline
for developing such capacity.
• Description of State’s Quality
Improvement Reporting—States have
been reporting the program performance
monitoring activities to include the use
of independent peer review to improve
the quality and appropriateness of
treatment services delivered by
providers receiving funds from the
block grant (See 42 U.S.C. 300x–53(a)
and 45 CFR 96.136), States are asked to
attach their current quality
improvement plan to their Block Grant
application.
• Description of State’s Consultation
with Tribes—SAMHSA is required by
the 2009 Memorandum on Tribal
Consultation to submit plans on how it
is to engage in regular and meaningful
consultation and collaboration with
tribal officials in the development of
Federal policies that have Tribal
implications. SAMHSA is requesting
that States provide a description of how
they consulted with Tribes in their
State. This description should indicate
how concerns of the Tribes were
addressed in the State Block Grant
plan(s). States shall not require any
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Tribe to waive its sovereign immunity
in order to receive funds or in order for
services to be provided for Tribal
members on Tribal lands.
• Description of State’s Service
Management Strategies—SAMHSA,
similar to other public and private
payers of behavioral health services,
seeks to ensure that services purchased
under the Block Grant are provided to
individuals in the right scope, amount
and duration. The Block Grant
application asks States to describe the
processes that they will employ over the
next planning period to identify trends
in over/underutilization of SAPTBG or
MHSBG funded services. They must
also describe the strategies that they will
deploy to address these utilization
issues. SAMHSA is also requesting the
States to describe the resources needed
to implement utilization management
strategies and the timeframes for
implementing these strategies.
• Development of State Dashboards—
An important change to the
administration of the MHSBG and
SAPTBG is the creation of State
dashboards on key performance
indicators. National dashboard
indicators will be based on outcome and
performance measures that will be
developed by SAMHSA in FY 2011. For
FY 2012, States will be requested to
identify a set of state-specific
performance measures for this incentive
program. In addition, SAMHSA will
identify several national indicators to
supplement the state-specific measures
for the incentive program. The State, in
consultation with SAMHSA, will
establish a baseline in the first year of
the planning cycle and identify the
thresholds for performance in the
subsequent year. The State will also
propose the instrument used to measure
the change in performance for the
subsequent year. The State dashboards
will be used to determine if States
receive an incentive based on
performance. SAMHSA is considering a
variety of incentive options for this
dashboard program and will solicit
input from the States on the options.
• Information of State’s Suicide
Prevention Plan—As an attachment to
the Block Grant application(s), States
are requested to provide the most recent
copy of their suicide prevention plan.
While this is not a required plan,
SAMHSA is interested in knowing the
strategies that State’s are proposing to
address suicide prevention. If a State
does not have a suicide prevention plan
or if it has not been updated in the past
three years States are requested to
describe when they will create or
update their plan.
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• Identification of Technical
Assistance Needs—States are requested
to describe the data and technical
assistance needs identified by the State
during the process of developing this
plan that will be needed or helpful to
implement the proposed plan.
• Process for Comment on State
Plan—Current statute requires that, as a
condition of the funding agreement for
the grant, States will provide
opportunity for the public to comment
on the State plan. In the application,
States are asked to describe their efforts
and procedures to obtain public
comment on the State plan.
• Description of Processes to Involve
Individuals and Families—In the Block
Grant application States are requested to
describe their efforts to actively engage
individuals and families in developing,
implementing and monitoring the State
mental health and substance abuse
systems.
• Description of the Use of
Technology—Interactive
Communication Technologies (ICTs) are
more frequently being used to deliver
various health care services. In the
Block Grant application, States are
requested to provide information on
their use or planned use of ICTs.
• Process for Obtaining Support of
State Partners—The success of a State’s
MHSBG and SAPTBG will rely heavily
on the strategic partnership that SMHAs
and SSAs have or will develop with
other health, social services, education
and other State and local governmental
entities. States are requested to identify
these partners in their Block Grant
application and describe the roles they
will play in assisting the State to
implement the priorities identified in
the plan. SAMHSA is requesting States
to provide a letter of support indicating
agreement with the description of their
role and collaboration with the SSA
and/or SMHA and other State agencies
(e.g. State education authorities, the
State Medicaid agency, etc.)
• Description of State Behavioral
Health Advisory Council—Each State is
required to establish and maintain a
State advisory council for services for
individuals with a mental disorder.
SAMHSA strongly encourages States to
expand and use the same council to
advise and consult regarding issues and
services for persons with or at risk of
substance abuse and substance use
disorders as well.
Other Changes
States will be allowed to submit a
joint plan for the Mental Health Services
Block Grant and the Substance Abuse
and Prevention and Treatment Block
Grant.
States will no longer be required to
submit an annual plan. The new
application allows States to submit a
two-year plan for FY 2012 and 2014.
Although the statutory dates for
submitting the Block Grant application,
plan and annual report remain
unchanged, SAMHSA requests that the
MHSBG and SAPTBG applications be
submitted on the same date. In addition,
the dates for submitting the plans have
been changed to better comport with
most States fiscal and planning years
(July 1st through June 30th of the
following year). More information can
be found in the application overview.
Also, the dates States are requested to
submit the annual reports have been
changed for the SAPTBG. These annual
reports will be due on the same date as
the reports for the MHSBG, December
1st. Opting not to submit the block grant
application, plan and annual report on
the same date for the SAPTBG as the
MHSBG will not affect State funding in
any way (amount or timeliness of
payment).
Various reporting requirements for
narrative descriptions have been deleted
and included as a table or as an
assurance to confirm compliance. In
addition SAMHSA is requesting States
to provide more detailed information on
block grant expenditures (Table 5 in the
reporting section).
Estimates of Annualized Hour Burden
The estimated annualized burden for
the unified application is 37,429 hours.
Burden estimates are broken out in the
following tables showing burden
separately for Year 1 and Year 2. Year
1 includes the estimates of burden for
the unified application and annual
reporting. Year 2 includes the estimates
of burden for the application update and
annual reporting. The reporting burden
remains constant for both years.
TABLE 1—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 1
Burden/
response
(hours)
Responses/
respondents
Application element
Number respondents
Total burden
Application Burden:
Yr One Plan (separate submissions) ........
Yr One Plan (combined submission .........
30 (CMHS); 30 (SAPT) .................................
30 ..................................................................
1
1
282
282
16,920
8,460
Application Sub-total ..........................
60 ..................................................................
........................
........................
25,380
Reporting Burden:
MHBG Report ...........................................
URS Tables ...............................................
SAPTBG Report ........................................
Table 5 ......................................................
59 ..................................................................
59 ..................................................................
60 1 ................................................................
15 2 ................................................................
1
1
1
1
186
35
186
4
10,974
2,065
11,160
60
Reporting Subtotal .............................
60 ..................................................................
........................
........................
24,259
Total ............................................
119 ................................................................
........................
........................
49,639
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1 Redlake
2 Only
Band of the Chippewa Indians from MN receives a grant.
15 States have a management information system to complete Table 5.
TABLE 2—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 2
Number
respondents
Application element
Responses/
respondents
Application Burden:
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Burden/
response
(hours)
Total burden
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Federal Register / Vol. 76, No. 69 / Monday, April 11, 2011 / Notices
TABLE 2—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 2—Continued
Number
respondents
Application element
Burden/
response
(hours)
Responses/
respondents
Total burden
Yr Two Plan ..............................................................................................
24
1
40
960
Application Sub-total .........................................................................
24
........................
........................
960
Reporting Burden:
MHBG Report ...........................................................................................
URS Tables ..............................................................................................
SAPTBG Report .......................................................................................
Table 5 ......................................................................................................
59
59
60
15
1
1
1
1
186
35
186
4
10,974
2,065
11,160
60
Reporting Subtotal .............................................................................
60
........................
........................
24,259
Total ...........................................................................................
119
........................
........................
25,219
The total annualized burden for the
application and reporting is 37,429
hours (49,639 + 25,219 = 74,858/2 years
= 37,429).
The link to access the block grant
application is https://www.Samhsa.gov/
grants/blockgrant.
Send comments to Summer King,
SAMHSA Reports Clearance Officer,
Room 8–1099, One Choke Cherry Road,
Rockville, MD 20857 or e-mail a copy to
summer.king@samhsa.hhs.gov. Written
comments should be received within 60
days of this notice.
Dated: April 5, 2011.
Elaine Parry,
Director, Office of Management, Technology
and Operations.
[FR Doc. 2011–8520 Filed 4–8–11; 8:45 am]
BILLING CODE 4162–20–P
DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
[Docket No. FR–5478–N–02]
Privacy Act of 1974: Notice of New
System of Records, Integrated
Disbursement & Information System
(IDIS) System
Department of Housing and
Urban Development.
ACTION: Notice of a new System of
Records, Integrated Disbursement &
Information System (IDIS).
AGENCY:
IDIS is an existing grant
management system used currently by
grantees of seven formula grant
programs managed by CPD. The first
four are Community Development Block
Grant (CDBG), HOME Investment
Partnerships (HOME), Emergency
Shelter Grants (ESG), and Housing
Opportunities for Persons with AIDS
formula (HOPWA) programs. IDIS also
supports three special grants established
by the 2009 American Recovery and
srobinson on DSKHWCL6B1PROD with NOTICES
SUMMARY:
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Reinvestment Act (ARRA) including
Tax Credit Assistance Program (TCAP),
Community Development Block GrantRecovery (CDBG–R), and Homelessness
Prevention & Rapid Re-housing Program
(HPRP). All these grant programs have
requirements that must be met.
Collecting information to determine if
each program’s money was spent on
eligible activities also verify that these
grantees are complying with all the
statutory regulations in using grant
funds.
Effective Date: This proposal
shall become effective May 11, 2011,
unless comments are received on or
before that date which would result in
a contrary determination.
Comment Due Date: May 11, 2011.
ADDRESSES: Office of Community
Planning and Development, 451 7th
Street, SW., Washington, DC 20410.
FOR FURTHER INFORMATION CONTACT:
Donna Robinson-Staton, Departmental
Privacy Officer, 451 Seventh Street,
SW., Room 2256, Washington, DC
20410, Telephone Number (202) 402–
8047. For more information: Robert T.
Brever, Community Planning and
Development, 451 7th Street, SW.,
Room 7224, Washington, DC 20410,
Telephone Number (202) 402–8138. A
telecommunications device for hearingand speech-impaired persons (TTY) is
available at 1–800–877–8339 (Federal
Information Relay Services). (This is a
toll-free number.)
SUPPLEMENTARY INFORMATION:
Title 5 U.S.C. section 552a(e)(4) and
(11) provide that the public be given a
30-day period in which to comment on
the proposed new system. The Office of
Management and Budget (OMB), which
has oversight responsibilities under the
Act, requires a 30-day period in which
to conclude its review of the system.
Therefore, please submit any comments
by March 31, 2011. In accordance with
DATES:
PO 00000
Frm 00053
Fmt 4703
Sfmt 4703
5 U.S.C. 552a(r) and OMB Cir. A–130,
the Department has provided a report to
OMB and the Congress on the proposed
modification.
Dated: March 31, 2011.
Jerry E. Williams,
Chief Information Officer.
HUD/H–8
SYSTEM NAME:
Integrated Disbursement &
Information System (IDIS).
SYSTEM LOCATION:
Online at https://www.hud.gov/offices/
cpd/systems/idis/idis.cfm.
Physically located at HUD
Headquarters.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Beneficiaries under the HOME
program’s Homebuyers, Homeowner
Rehab, and Rental activities.
CATEGORIES OF RECORDS IN THE SYSTEM:
The names of the owners of the
buildings by address, the income
category, and racial characteristics are
collected for the Home program.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Statute: HOME Investment
Partnerships Act—Title II Cranston
Gonzalez National Affordable Housing
Act Public Law 101–625; Home
Regulations 24 CFR part 92; PRA OMB
Control 2506–0171.
PURPOSES:
IDIS is an existing grants management
system used currently by grantees of
seven formula grant programs managed
by CPD. The first four are Community
Development Block Grant (CDBG),
HOME Investment Partnerships
(HOME), Emergency Shelter Grants
(ESG), and Housing Opportunities for
Persons with AIDS formula (HOPWA)
programs. IDIS also supports three
E:\FR\FM\11APN1.SGM
11APN1
]]>Agencies
[Federal Register Volume 76, Number 69 (Monday, April 11, 2011)]
[Notices]
[Pages 19999-20003]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-8520]
-----------------------------------------------------------------------
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: Unified Application for the Community Mental Health
Services Block Grant and Substance Abuse and Prevention Treatment Block
Grant FY 2012-2013 Application Guidance and Instructions (OMB No. 0930-
0168)--Revision
The Substance Abuse and Mental Health Services Administration
(SAMHSA), is requesting approval from the Office of Management and
Budget (OMB) for a revision of the 2012 and 2013 Community Mental
Health Services Block Grant (MHSBG) and Substance Abuse Prevention and
Treatment Block Grant (SAPTBG) Guidance and Instructions into one
unified block grant application. To minimize the burden, the two
separate clearances for the block grant applications will be merged
into one.
Currently, the SAPTBG and the MHSBG differ on a number of their
practices (e.g., data collection at individual or aggregate levels) and
statutory authorities (e.g., method of calculating MOE, stakeholder
input requirements for planning, set asides for specific populations or
programs, etc.). Historically, the Centers within SAMHSA that
administer these Block Grants have had different approaches to
application requirements and reporting. To compound this variation,
States have different structures for accepting, planning, and
accounting for the Block Grants and the Prevention Set Aside within the
SAPTBG. As a result, how these dollars are spent and what is known
about the services and clients that receive these funds varies by Block
Grant and by State.
In addition, between 2012 and 2015, 32 million individuals who are
uninsured will have the opportunity to enroll in Medicaid or private
health insurance. This expansion of health insurance coverage will have
a significant impact on how State Mental Health Authorities (SMHAs) and
State Substance Abuse Authorities (SSAs) use their limited resources.
Many individuals served by these authorities are funded through Federal
Block Grant funds. SAMHSA proposes that Block Grant funds be directed
toward four purposes: (1) To fund priority treatment and support
services for individuals without insurance or who cycle in and out of
health insurance coverage; (2) to fund those priority treatment and
support services not covered by Medicaid, Medicare or private insurance
offered through the exchanges and that demonstrate success in improving
outcomes and/or supporting recovery; (3) to fund universal, selective
and targeted prevention activities and
[[Page 20000]]
services; and (4) to collect performance and outcome data to determine
the ongoing effectiveness of behavioral health prevention, treatment
and recovery support services and to plan the implementation of new
services on a nationwide basis.
States should begin planning now for FY 2014 when more individuals
are insured. To ensure sufficient and comprehensive preparation, SAMHSA
will use FY 2012 and 2013 to work with States to plan for and
transition the Block Grants to these four purposes. This transition
includes fully exercising SAMHSA's existing authority regarding States'
and Jurisdictions' (subsequently referred to as ``States'') use of
Block Grant funds, and a shift in SAMHSA staff functions to support and
provide technical assistance for States receiving Block Grant funds as
they move through these changes.
The proposed Mental Health Block Grant and the Substance Abuse
Prevention and Treatment Block Grant build on ongoing efforts to reform
health care, ensure parity and provide States and Territories with new
tools, new flexibility, and state/territory-specific plans for
available resources to provide their residents the health care benefits
they need. The revised planning section of the Block Grant application
provides a process for States and Territories to identify priorities
for individuals who need behavioral health services in their
jurisdictions, develop strategies to address these needs, and decide
how to expend Block Grant Funds. In addition, the Planning Section of
the Block Grant requests additional information from States that could
be used to assist them in their reform efforts. The plan submitted by
each State and Territory will provide information for SAMHSA and other
federal partners to use in working with States and Territories to
improve their behavioral health systems over the next two years as
health care and economic conditions evolve.
Currently, States and Territories are asked to provide strategies
for seventeen areas that were developed almost twenty years ago. This
new Block Grant application guides and prompts States and Territories
to consider multiple populations and program areas that are likely to
be priorities for States and Territories today, and to consider how
changes in other funding streams that were not as relevant in prior
years might fit with Block Grant funds today and in the future.
In addition, the new Block Grant application provides States and
Territories the flexibility to submit one rather than two separate
Block Grant applications if they choose. It also allows States and
Territories to develop and submit a bi-annual rather than an annual
plan, recognizing that the demographics and epidemiology do not often
change on an annual basis. These options may decrease the number of
applications submitted from four in two years to one.
Over the next several months, SAMHSA will assist States and
Territories (individually and in smaller groups) as they develop their
Block Grant applications. While there are some specific statutory
requirements that SAMHSA will look for in each submitted application,
SAMHSA intends to approach this process with the goal of assisting
States and Territories in setting a clear direction for system
improvements over time, rather than as a simple effort to seek
compliance with minimal requirements.
Consistent with previous applications, the FY 2012-2013 application
has sections that are required and other sections where additional
information is requested, but not required. The FY 2012-2013
application requires States to submit a face sheet, a table of
contents, a behavioral health assessment and plan, reports of
expenditures and persons served, executive summary, and funding
agreements and certifications. In addition, SAMHSA is requesting
information on key areas that are critical to their success to address
health reform and parity. States will continue to receive their annual
grant funding if they only chose to submit the required section of
their State Plans or choose to submit separate plans for the MHBG or
SAPTBG. Therefore, as part of this Block Grant planning process, SAMHSA
is asking States and Territories to identify their technical assistance
needs to implement the strategies they identify in their plans for FY
2012 and 2013.
To facilitate an efficient application process for States in FY
2012-2013, SAMHSA convened an internal workgroup to develop the
application for the Block Grant planning section. In addition, SAMHSA
consulted with representatives from the state mental health and state
substance abuse authorities to receive input regarding proposed changes
to the Block Grant. Based on these discussions with States, SAMHSA is
proposing several changes to the Block Grant programs, discussed in
greater detail below.
Changes to Assessment and Planning Activities
Under the previous SAPTBG, States were requested to address
seventeen national goals. Some of these seventeen goals were population
specific (pregnant women), while others were service specific
(substance abuse prevention strategies). The MHSBG required States to
address a set of criterion for children with serious emotional
disturbances and adults with serious mental illness. While both Block
Grants required States to do an assessment and plan, they did not
always allow the State or SAMHSA to obtain an overall picture of the
State's behavioral health needs and to incorporate consistent
priorities and planning activities, especially for individuals with a
co-occurring mental and substance use disorder. States will be asked to
follow a four-step planning process which consists of: (1) Assessing
the strengths and needs of the service system; (2) identifying the
unmet service needs and critical gaps within the current system; (3)
prioritize the State planning activities, and; (4) develop goals,
strategies and performance indicators.
The revised Block Grant application requires States to identify and
analyze the strengths, needs, and priorities of their behavioral health
systems. One important change is that States will be requested to take
into account the priorities for the specific populations that are the
current focus of the Block Grants in the context of the changing health
care environment and SAMHSA's strategic initiatives. The focus of
SAMHSA's Block Grant programs has not changed significantly over the
past 20 years. While many of these populations originally targeted for
the Block Grants are still a priority, additional populations have
evolving needs that should be addressed. These include military
families, youth who need substance use disorder services, individuals
who experience trauma, increased numbers of individuals released from
correctional facilities, and lesbian, gay, bi-sexual, transgender and
questioning (LGBTQ) individuals. The uniform plan required in the Block
Grant application must address the statutory populations (as
appropriate for each Block Grant) and should address these other
populations.
One population of particular note in 2014 will be the newly-
insured. States should begin planning now for individuals with low-
incomes who are currently uninsured but will gain health coverage in
2014 when additional coverage options are available. Many of these
individuals will be covered by Medicaid or private insurance in FY
2014, and this will present new opportunities for behavioral health
systems to expand access and capacity. In addition, States should
identify who will not be covered after FY 2014, as well as whose
coverage is insufficient
[[Page 20001]]
and how federal funds will be used to support these individuals who may
need treatment and supports.
SAMHSA is also encouraging SMHAs and SSAs to develop and submit a
combined plan to address a number of other common areas, including bi-
directional integration of behavioral health and primary care services,
provision of recovery support services and a combined plan for the
provision of services for individuals with co-occurring mental and
substance use disorders. These combined plans should be included in a
State's application (for those states submitting one Block Grant
application). For States that submit separate Block Grant applications,
these combined plans for these activities should be included in both
the State MHSBG and SAPTBG applications.
The new Block Grant application requires States to follow the
following planning steps:
Step One: Assess the strengths and needs of the service
system to address the specific populations. This will include a
description of the organization of the current public system, the roles
of the state, county, and localities in the provision of service and
the ability of the system to address diverse needs.
Step Two: Identify the unmet service needs and critical
gaps within the current system. Included in this step is the
identification of data sources used to determine the needs and gaps for
the populations identified as a priority.
Step Three: Prioritize State planning activities. Given
the information in Step 2, the States will prioritize the target
populations as appropriate for each Block Grant as well as other
priority populations as determined by the State.
Step Four: Develop goals, strategies and performance
indicators. For each of the priorities identified in Step 3, the state
will identify at least one goal, strategies to reach that goal, and the
performance indicators to be examined over the next two years.
In addition to the planning steps, States are requested to provide
the following information:
Information on the Use of Block Grant Dollars for Block
Grant Activities--States should project how Block Grant funds will be
used to provide services for the target populations or areas identified
in their plans for States that have a combined MHSBG and SAPTBG
application. SAMHSA encourages States to use MHSBG and SAPTBG funds to
support their or other agencies' efforts to develop reimbursement
strategies that support innovation. For example, States could use Block
Grant funds to support various demonstration projects through other
federal programs (Medicaid, HUD, Veterans Affairs). The new Block Grant
application asks States to describe their overall reimbursement
approach for services purchased with MHSBG and SAPTBG funds. States
must identify the reimbursement methodology proposed for each service,
prevention and emotional health development strategy, and system
improvement. States are requested to project their expenditures under
the MHSBG and the SAPTBG for treatment and support services.
Information on Activities that Support Individuals in
Directing the Services--In the new Block Grant application, States are
asked to provide information regarding policies and programs that allow
individuals with mental illness and/or substance use disorder to direct
their own care.
Information on Data and Information Technology--SAMHSA is
requesting States to provide unique client-level encounter data for
specific services that are purchased with Block Grant funds. States
will be requested to complete the service utilization table in the
Reporting Section of the Application. States should provide information
on the number of unduplicated individuals by each service purchased
with Block Grant Funds. If the State is currently unable to provide
unique client level data for any part of its behavioral health system,
the State is requested to describe in the Block Grant application their
plan, process, resources needed and timeline for developing such
capacity.
Description of State's Quality Improvement Reporting--
States have been reporting the program performance monitoring
activities to include the use of independent peer review to improve the
quality and appropriateness of treatment services delivered by
providers receiving funds from the block grant (See 42 U.S.C. 300x-
53(a) and 45 CFR 96.136), States are asked to attach their current
quality improvement plan to their Block Grant application.
Description of State's Consultation with Tribes--SAMHSA is
required by the 2009 Memorandum on Tribal Consultation to submit plans
on how it is to engage in regular and meaningful consultation and
collaboration with tribal officials in the development of Federal
policies that have Tribal implications. SAMHSA is requesting that
States provide a description of how they consulted with Tribes in their
State. This description should indicate how concerns of the Tribes were
addressed in the State Block Grant plan(s). States shall not require
any Tribe to waive its sovereign immunity in order to receive funds or
in order for services to be provided for Tribal members on Tribal
lands.
Description of State's Service Management Strategies--
SAMHSA, similar to other public and private payers of behavioral health
services, seeks to ensure that services purchased under the Block Grant
are provided to individuals in the right scope, amount and duration.
The Block Grant application asks States to describe the processes that
they will employ over the next planning period to identify trends in
over/underutilization of SAPTBG or MHSBG funded services. They must
also describe the strategies that they will deploy to address these
utilization issues. SAMHSA is also requesting the States to describe
the resources needed to implement utilization management strategies and
the timeframes for implementing these strategies.
Development of State Dashboards--An important change to
the administration of the MHSBG and SAPTBG is the creation of State
dashboards on key performance indicators. National dashboard indicators
will be based on outcome and performance measures that will be
developed by SAMHSA in FY 2011. For FY 2012, States will be requested
to identify a set of state-specific performance measures for this
incentive program. In addition, SAMHSA will identify several national
indicators to supplement the state-specific measures for the incentive
program. The State, in consultation with SAMHSA, will establish a
baseline in the first year of the planning cycle and identify the
thresholds for performance in the subsequent year. The State will also
propose the instrument used to measure the change in performance for
the subsequent year. The State dashboards will be used to determine if
States receive an incentive based on performance. SAMHSA is considering
a variety of incentive options for this dashboard program and will
solicit input from the States on the options.
Information of State's Suicide Prevention Plan--As an
attachment to the Block Grant application(s), States are requested to
provide the most recent copy of their suicide prevention plan. While
this is not a required plan, SAMHSA is interested in knowing the
strategies that State's are proposing to address suicide prevention. If
a State does not have a suicide prevention plan or if it has not been
updated in the past three years States are requested to describe when
they will create or update their plan.
[[Page 20002]]
Identification of Technical Assistance Needs--States are
requested to describe the data and technical assistance needs
identified by the State during the process of developing this plan that
will be needed or helpful to implement the proposed plan.
Process for Comment on State Plan--Current statute
requires that, as a condition of the funding agreement for the grant,
States will provide opportunity for the public to comment on the State
plan. In the application, States are asked to describe their efforts
and procedures to obtain public comment on the State plan.
Description of Processes to Involve Individuals and
Families--In the Block Grant application States are requested to
describe their efforts to actively engage individuals and families in
developing, implementing and monitoring the State mental health and
substance abuse systems.
Description of the Use of Technology--Interactive
Communication Technologies (ICTs) are more frequently being used to
deliver various health care services. In the Block Grant application,
States are requested to provide information on their use or planned use
of ICTs.
Process for Obtaining Support of State Partners--The
success of a State's MHSBG and SAPTBG will rely heavily on the
strategic partnership that SMHAs and SSAs have or will develop with
other health, social services, education and other State and local
governmental entities. States are requested to identify these partners
in their Block Grant application and describe the roles they will play
in assisting the State to implement the priorities identified in the
plan. SAMHSA is requesting States to provide a letter of support
indicating agreement with the description of their role and
collaboration with the SSA and/or SMHA and other State agencies (e.g.
State education authorities, the State Medicaid agency, etc.)
Description of State Behavioral Health Advisory Council--
Each State is required to establish and maintain a State advisory
council for services for individuals with a mental disorder. SAMHSA
strongly encourages States to expand and use the same council to advise
and consult regarding issues and services for persons with or at risk
of substance abuse and substance use disorders as well.
Other Changes
States will be allowed to submit a joint plan for the Mental Health
Services Block Grant and the Substance Abuse and Prevention and
Treatment Block Grant.
States will no longer be required to submit an annual plan. The new
application allows States to submit a two-year plan for FY 2012 and
2014.
Although the statutory dates for submitting the Block Grant
application, plan and annual report remain unchanged, SAMHSA requests
that the MHSBG and SAPTBG applications be submitted on the same date.
In addition, the dates for submitting the plans have been changed to
better comport with most States fiscal and planning years (July 1st
through June 30th of the following year). More information can be found
in the application overview.
Also, the dates States are requested to submit the annual reports
have been changed for the SAPTBG. These annual reports will be due on
the same date as the reports for the MHSBG, December 1st. Opting not to
submit the block grant application, plan and annual report on the same
date for the SAPTBG as the MHSBG will not affect State funding in any
way (amount or timeliness of payment).
Various reporting requirements for narrative descriptions have been
deleted and included as a table or as an assurance to confirm
compliance. In addition SAMHSA is requesting States to provide more
detailed information on block grant expenditures (Table 5 in the
reporting section).
Estimates of Annualized Hour Burden
The estimated annualized burden for the unified application is
37,429 hours. Burden estimates are broken out in the following tables
showing burden separately for Year 1 and Year 2. Year 1 includes the
estimates of burden for the unified application and annual reporting.
Year 2 includes the estimates of burden for the application update and
annual reporting. The reporting burden remains constant for both years.
Table 1--Estimates of Application and Reporting Burden for Year 1
----------------------------------------------------------------------------------------------------------------
Burden/
Application element Number respondents Responses/ response Total burden
respondents (hours)
----------------------------------------------------------------------------------------------------------------
Application Burden:
Yr One Plan (separate submissions) 30 (CMHS); 30 (SAPT).... 1 282 16,920
Yr One Plan (combined submission.. 30...................... 1 282 8,460
-------------------------------------------------------------------------
Application Sub-total......... 60...................... .............. .............. 25,380
----------------------------------------------------------------------------------------------------------------
Reporting Burden:
MHBG Report....................... 59...................... 1 186 10,974
URS Tables........................ 59...................... 1 35 2,065
SAPTBG Report..................... 60 \1\.................. 1 186 11,160
Table 5........................... 15 \2\.................. 1 4 60
-------------------------------------------------------------------------
Reporting Subtotal............ 60...................... .............. .............. 24,259
-------------------------------------------------------------------------
Total..................... 119..................... .............. .............. 49,639
----------------------------------------------------------------------------------------------------------------
\1\ Redlake Band of the Chippewa Indians from MN receives a grant.
\2\ Only 15 States have a management information system to complete Table 5.
Table 2--Estimates of Application and Reporting Burden for Year 2
----------------------------------------------------------------------------------------------------------------
Burden/
Application element Number Responses/ response Total burden
respondents respondents (hours)
----------------------------------------------------------------------------------------------------------------
Application Burden:
[[Page 20003]]
Yr Two Plan................................. 24 1 40 960
---------------------------------------------------------------
Application Sub-total................... 24 .............. .............. 960
----------------------------------------------------------------------------------------------------------------
Reporting Burden:
MHBG Report................................. 59 1 186 10,974
URS Tables.................................. 59 1 35 2,065
SAPTBG Report............................... 60 1 186 11,160
Table 5..................................... 15 1 4 60
---------------------------------------------------------------
Reporting Subtotal...................... 60 .............. .............. 24,259
---------------------------------------------------------------
Total............................... 119 .............. .............. 25,219
----------------------------------------------------------------------------------------------------------------
The total annualized burden for the application and reporting is
37,429 hours (49,639 + 25,219 = 74,858/2 years = 37,429).
The link to access the block grant application is https://www.Samhsa.gov/grants/blockgrant.
Send comments to Summer King, SAMHSA Reports Clearance Officer,
Room 8-1099, One Choke Cherry Road, Rockville, MD 20857 or e-mail a
copy to summer.king@samhsa.hhs.gov. Written comments should be received
within 60 days of this notice.
Dated: April 5, 2011.
Elaine Parry,
Director, Office of Management, Technology and Operations.
[FR Doc. 2011-8520 Filed 4-8-11; 8:45 am]
BILLING CODE 4162-20-P
