[Federal Register Volume 76, Number 64 (Monday, April 4, 2011)]
[Notices]
[Pages 18567-18570]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-7875]


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

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: Strategic Prevention Framework State Incentive Grant (SPF SIG) 
Program (OMB No. 0930-0279) --Revision

    SAMHSA's Center for Substance Abuse Prevention (CSAP) is 
responsible for the evaluation instruments of the Strategic Prevention 
Framework State Incentive Grant (SPF SIG) Program. The program is a 
major initiative designed to: (1) Prevent the onset and reduce the 
progression of substance abuse, including childhood and underage 
drinking; (2) reduce substance abuse related problems; and (3) build 
prevention capacity and infrastructure at the State-, territorial-, 
Tribal- and community-levels.
    Five steps comprise the SPF:
    Step 1: Profile population needs, resources, and readiness to 
address the problems and gaps in service delivery.
    Step 2: Mobilize and/or build capacity to address needs.
    Step 3: Develop a comprehensive strategic plan.
    Step 4: Implement evidence-based prevention programs, policies, and 
practices and infrastructure development activities.
    Step 5: Monitor process, evaluate effectiveness, sustain effective 
programs/activities, and improve or replace those that fail.
    An evaluation team is currently implementing a multi-method, quasi-
experimental evaluation of the first two Strategic Prevention Framework 
State Incentive Grant (SPF SIG) cohorts receiving grants in FY 2004 and 
FY 2005. A second evaluation is being conducted with the SPF SIG 
Cohorts III, IV and V. This notice invites comments for revision to the 
protocol for the ongoing cross-site evaluations of the Strategic 
Prevention Framework State Incentive Grant (SPF SIG) (OMB No. 0930-
0279) which expires on 11/30/12. This revision includes three parts:
    (1) Continuation of the use of the previously approved two-part 
Community Level Instrument (CLI Parts I and II) for Cohorts I and II 
and the use of an instrument to assess the sustainability of grantee 
implementation and infrastructure accomplishments which is a 
modification of an instrument used in an earlier phase of the 
evaluation.
    (2) The addition of one more Cohort (Cohort V) which will use the 
previously approved SPF SIG cross-site evaluation instruments. All 
three instruments are modified versions of data collection protocols 
used by Cohorts I and II and have received OMB approval (OMB No. 0930-
0279). The three instruments are:
    a. A Grantee-Level SPF Implementation Instrument,
    b. A Grantee-Level Infrastructure Instrument, and
    c. A two-part Community-Level SPF Implementation Instrument.
    (3) Recalculation of burden numbers for Cohort IV to replace 
estimates that had been based on 20 grantees to reflect the 25 grantees 
actually funded.
    An additional Cohort III, IV, and V evaluation component (i.e., 
participant-level NOMs outcomes) is also included in this submission as 
part of the comprehensive evaluation, however, no associated burden 
from this evaluation activity is being imposed and therefore clearance 
to conduct the activities is not being requested. Specifically, Cohort 
III, IV, and V SPF SIG grantees have been included in the currently OMB 
approved umbrella NOMs application (OMB No. 0930-0230) covering the 
collection of participant-level NOMs

[[Page 18568]]

outcomes by all SAMHSA/CSAP grantees.
    Every attempt has been made to make the evaluation for Cohorts III, 
IV, and V comparable to Cohorts I and II. However, initial resource 
constraints for the Cohorts III, IV, and V evaluation have necessitated 
some streamlining of the original evaluation design. Since the ultimate 
goal is to fund all eligible jurisdictions, there are no control groups 
at the grantee level for Cohorts III, IV, and V. The primary evaluation 
objective is to determine the impact of SPF SIG on the reduction of 
substance abuse related problems, on building State prevention capacity 
and infrastructure, and preventing the onset and reducing the 
progression of substance abuse, as measured by the SAMHSA National 
Outcomes Measures (NOMs). Data collected at the grantee, community, and 
participant levels will provide information about process and system 
outcomes at the grantee and community levels as well as context for 
analyzing participant-level NOMs outcomes.

Grantee-Level Data Collection

 Cohort I and II Continuation

    The Sustainability Interview will be conducted during Phase II of 
the evaluation in 2011 (Cohort I) and 2012 (Cohort II). The interview 
guide is adapted from the Phase I instruments (OMB No. 0930-0279) and 
focuses on State-level prevention capacity and infrastructure in 
relation to the five steps of the SPF process: needs assessment, 
capacity building, strategic planning, implementation of evidence-based 
programs, policies, and practices (EBPPPs), and evaluation/monitoring. 
The interviews will be aimed at understanding the status of the 
prevention infrastructure at the time of the interview, whether the 
status has changed since the previous rounds of interviews (conducted 
in 2007 and 2009), and whether the SPF SIG had any influence on changes 
that might have occurred.

Cohort III, IV, and V Revision

    Two Grantee-level Instruments (GLI) were developed to gather 
information about the infrastructure of the grantee's overall 
prevention system and collect data regarding the grantee's efforts and 
progress in implementing the Strategic Prevention Framework 5-step 
process. Both instruments are modified versions of the grantee-level 
interview protocols used in the SPF SIG Cohort I and II Cross-Site 
Evaluation and have received OMB clearance for use with Cohorts III and 
IV (OMB No. 0930-0279). The total burden imposed by the original 
interview protocols has been reduced by restructuring the format of the 
original protocol, deleting several questions and replacing the 
majority of open-ended questions with multiple-choice-response 
questions. The Infrastructure Instrument will capture data to assess 
infrastructure change and to test the relationship of this change to 
outcomes. The Strategic Prevention Framework Implementation Instrument 
will be used to assess the relationship between SPF implementation and 
change in the NOMs. Information for both surveys will be gathered by 
the grantees' evaluators twice over the life of the SPF SIG award.
    Based on the current 16 grantees funded in Cohort III, and 25 
funded in Cohort IV, and 10 funded in Cohort V, the estimated annual 
burden for grantee-level data collection is displayed below in Table 1. 
The burden estimates for the GLIs are based on the experience in the 
Cohort I and II SPF SIG evaluation as reported in the original OMB 
submission (OMB No. 0930-0279), less the considerable reduction in 
length of these instruments implemented by the Cohort III, IV, and V 
evaluation team.

Community-Level Data Collection (Continuation and Revision)

Cohort I and II Continuation

    The Community-level Instrument (CLI) is a two part, Web-based 
survey for capturing information about SPF SIG implementation at the 
community level (originally submitted as an addendum to OMB No. 0930-
0279). Part I of this instrument was developed to assess the progress 
of communities as they implement the Strategic Prevention Framework 
(SPF), and Part II was developed to gather descriptive information 
about the specific interventions being implemented at the community 
level and the populations being served including the gender, age, race, 
ethnicity, and number of individuals in target populations. Each SPF 
SIG funded community will complete a separate Part II form for each 
intervention they implement.
    The CLI (Parts I and II) was designed to be administered two times 
a year (every six months) over the course of the SPF SIG Cohort I and 
II initiative. Four rounds of data were collected under the current OMB 
approval period and the Cohorts I and II cross-site evaluation team 
plans to collect additional rounds once this request for a revision is 
approved. Data from this instrument will allow CSAP to assess the 
progress of the communities in their implementation of both the SPF and 
prevention-related interventions funded under the initiative. The data 
may also be used to assess obstacles to the implementation of the SPF 
and prevention-related interventions and facilitate mid-course 
corrections for communities experiencing implementation difficulties.
    The estimated annual burden for community-level data collection is 
displayed below in Table 1. Note that the total burden reflects the 443 
communities that have received SPF funds from their respective Cohort I 
and Cohort 2 States. Burden estimates are based on pilot respondents' 
feedback as well as the experience of the survey developers reported in 
the original OMB submission (OMB No. 0930-0279). Additionally, an 
individual community's burden may be lower than the burden displayed in 
Table 1 because all sections of the Community-level Instrument (parts I 
and II) may not apply for each reporting period as community partners 
work through the SPF steps and only report on the step-related 
activities addressed. Note also that some questions will be addressed 
only once and the responses will be used to pre-fill subsequent 
surveys.

Cohort III, IV, and V (Revision)

    The Community-Level Instrument to be completed by Cohort III, IV, 
and V funded subrecipient communities is a modified version of the one 
in use in the SPF SIG Cohorts I and II Cross-Site Evaluation and use of 
these modified instruments has been approved by OMB for Cohorts III and 
IV (OMB No. 0930-0279). The total burden imposed by the original 
instrument was reduced by reorganizing the format of the original 
instrument, optimizing the use of skip patterns, and replacing the 
majority of open-ended questions with multiple-choice-response 
questions.
    Part I of the instrument will gather information on the 
communities' progress implementing the five SPF SIG steps and efforts 
taken to ensure cultural competency throughout the SPF SIG process. 
Subrecipient communities receiving SPF SIG awards will be required to 
complete Part I of the instrument annually. Part 2 will capture data on 
the specific prevention intervention(s) implemented at the community 
level. A single prevention intervention may be comprised of a single 
strategy or a set of multiple strategies. A Part II instrument will be 
completed for each prevention intervention strategy implemented during 
the specified reporting period. Specific questions will be tailored to 
match the type of prevention intervention strategy implemented (e.g.,

[[Page 18569]]

Prevention Education, Community-based Processes, and Environmental). 
Information collected on each strategy will include date of 
implementation, numbers of groups and participants served, frequency of 
activities, and gender, age, race, and ethnicity of population served/
affected. Subrecipient communities' partners receiving SPF SIG awards 
will be required to update Part II of the instrument a minimum of every 
six months.
    The estimated annual burden for specific segments of the community-
level data collection is displayed in Table 1. The burden estimates for 
the CLIs are based on the experience in the Cohort I and II SPF SIG 
evaluation as reported in the original OMB submission (OMB No. 0930-
0279), less the considerable reduction in length of these instruments 
implemented by the Cohort III, IV, and V evaluation team. The total 
burden assumes an average of 15 community-level subrecipients per 
grantee (n=51 Grantees) for a total of 765 community respondents, 
annual completion of the CLI Part I, a minimum of two instrument 
updates per year for the CLI Part II, and an average of three distinct 
prevention intervention strategies implemented by each community during 
a 6-month period. Additionally, some questions will be addressed only 
once and the responses will be used to pre-fill subsequent updates.

Participant-Level Data Collection (Cohort III, IV, and V--Continuation)

    Participant-level change will be measured using the CSAP NOMs Adult 
and Youth Programs Survey Forms already approved by OMB (OMB No. 0930-
0230). Subrecipient communities will have the opportunity to select 
relevant measures from the CSAP NOMs Adult and Youth Programs Survey 
Forms based on site-specific targeted program outcomes and may 
voluntarily select additional outcome measures that are relevant to 
their own initiatives. Cohort III, IV, and V SPF SIG grantees have been 
included in the currently OMB approved umbrella NOMs application (OMB 
No. 0930-0230) covering all SAMHSA/CSAP grantees, therefore no 
additional burden for this evaluation activity is being imposed and 
clearance to conduct the activities is not being requested.

Total Estimates of Annualized Hour Burden

    Estimates of total and annualized reporting burden for respondents 
by evaluation cohort are displayed below in Table 1. Overall summaries 
appear in Table 2. The estimated average annual burden of 5,773 hours 
is based on the completion of the Community Level-Instrument (CLI Parts 
I and II) and Sustainability Interview for Cohorts I and II, and the 
Grantee-level Instruments (GLI) and the Community-Level Instrument 
(CLI) for Cohorts III, IV, and V.

                           Table 1--Estimates of Annualized Hour Burden to Respondents
----------------------------------------------------------------------------------------------------------------
                                               Burden                  No. of
                                                 per       No. of     responses    Total      Hourly     Total
       Instrument type           Respondent   response  respondents      per       burden   wage cost  hour cost
                                               (hrs.)                respondent    (hrs.)
----------------------------------------------------------------------------------------------------------------
Cohorts 1 and 2 Grantee-Level
 Burden
    CLI Grantee Level Input..  Grantee......      1             26            2      52.0      $42.00     $2,184
    Sustainability Interview.  Grantee......      1.5           26            1      39.0       42.00      1,638
                              ----------------------------------------------------------------------------------
        Total Burden.........  Grantee......      2.5           26            3      91.0       42.00      3,822
    Average Annual Burden      Grantee......  ........          26   ..........      22.8       42.00        956
     Over 4 Reporting Periods.
Cohorts 1 and 2 Community-
 Level Burden
    CLI Part I...............  Community....      2.17         443            2   1,922.6       32.00     61,523
    CLI Part II..............  Community....      2.17         443            8   7,690.5       32.00    246,095
    Review of Past Responses.  Community....      2.5          443            2   2,215.0       32.00     70,880
                              ----------------------------------------------------------------------------------
        Total Burden.........  Community....      6.84         443           12  11,828.1       32.00    378,498
    Average Annual Burden      Community....  ........         443   ..........   2,957.0       32.00     94,625
     Over 4 Reporting Periods.
Grantee-Level Burden Cohort 3
    GLI Infrastructure         Grantee......      2.50          16            1      40.0       42.00      1,680
     Instrument.
    GLI Implementation         Grantee......      2.25          16            1      36.0       42.00      1,512
     Instrument.
    CLI Part I, 1--20:         Grantee......      0.25          16            1       4.0       42.00        168
     Community Contact
     Information--Updates.
                              ----------------------------------------------------------------------------------
        Total Burden.........  Grantee......  ........  ...........  ..........      80.0       42.00      3,360
    Average Annual Burden      Grantee......  ........  ...........  ..........      20.0       42.00        840
     Over 4 Reporting Periods.
Community-Level Burden Cohort
 3
    CLI Part I, 21-172:        Community....      0.75         240            1     180         32.00      5,760
     Community SPF
     Activities--Updates.
    CLI Part II--Updates.....  Community....      0.5          240            6     720         32.00     23,040
                              ----------------------------------------------------------------------------------
        Total burden.........  Community....  ........  ...........  ..........     900         32.00     28,800
    Average Annual Burden      Community....  ........  ...........  ..........     225         32.00      7,200
     Over 4 Reporting Periods.
Grantee-Level Burden Cohort 4
    GLI Infrastructure         Grantee......      2.50          25            1      62.5       42.00      2,625
     Instruments.
    GLI Implementation         Grantee......      2.25          25            2     112.5       42.00      4,725
     Instruments.
    CLI Part I, 1-20:          Grantee......      1.5           25            1      37.5       42.00      1,575
     Community Contact
     Information--Initializat
     ion.
    CLI Part I, 1-20:          Grantee......      0.25          25            3      18.75      42.00        787
     Community Contact
     Information--Updates.
                              ----------------------------------------------------------------------------------
        Total Burden.........  Grantee......  ........  ...........  ..........     231.25      42.00      9,712
    Average Annual Burden      Grantee......  ........  ...........  ..........      57.8       42.00      2,428
     Over 4 Reporting Periods.
Community-Level Burden Cohort
 4

[[Page 18570]]

 
    CLI Part I, 21-172:        Community....      3            375            1   1,125         32.00     36,000
     Community SPF
     Activities--Initializati
     on.
    CLI Part II--              Community....      0.75         375            6   1,687.5       32.00     54,000
     Initialization.
    CLI Part I, 21-172:        Community....      0.75         375            3     843.75      32.00     27,000
     Community SPF
     Activities--Updates.
    CLI Part II--Updates.....  Community....      0.5          375           18   3,375         32.00    108,000
                              ----------------------------------------------------------------------------------
        Total burden.........  Community....  ........  ...........  ..........    7031.25      32.00    225,000
    Average Annual Burden      Community....  ........  ...........  ..........   1,757.8       32.00     56,250
     Over 4 Reporting Periods.
Grantee-Level Burden Cohort 5
    GLI Infrastructure         Grantee......      2.5           10            2      50         42.00      2,100
     Instruments.
    GLI Implementation         Grantee......      2.25          10            2      45         42.00      1,890
     Instruments.
    CLI Part I, 1-20:          Grantee......      1.5           10            1      15.0       42.00        630
     Community Contact
     Information--Initializat
     ion.
    CLI Part I, 1-20:          Grantee......      0.25          10            3       7.5       42.00        315
     Community Contact
     Information--Updates.
                              ----------------------------------------------------------------------------------
        Total Burden.........  Grantee......  ........  ...........  ..........     117.5       42.00      4,935
    Average Annual Burden      Grantee......  ........  ...........  ..........      29.4       42.00      1,234
     Over 4 Reporting Periods.
Community-Level Burden Cohort
 5
    CLI Part I, 21-172:        Community....      3            150            1     450         32.00     14,400
     Community SPF
     Activities--Initializati
     on.
    CLI Part II--              Community....      0.75         150            6     675         32.00     21,600
     Initialization.
    CLI Part I, 21-172:        Community....      0.75         150            3     337.5       32.00     10,800
     Community SPF
     Activities--Updates.
    CLI Part II--Updates.....  Community....      0.5          150           18   1,350         32.00     43,200
                              ----------------------------------------------------------------------------------
        Total burden.........  Community....  ........  ...........  ..........   2,812.5       32.00     90,000
     Average Annual Burden     Community....  ........  ...........  ..........     703.12      32.00     22,500
     Over 4 Reporting Periods.
----------------------------------------------------------------------------------------------------------------


                                        Table 2--Annualized Summary Table
----------------------------------------------------------------------------------------------------------------
                                               Burden
                                                per        No. of      No. of     Total     Hourly    Total hour
                                Respondent    response  respondents  responses   burden   wage cost      cost
                                               (hrs.)                            (hrs.)
----------------------------------------------------------------------------------------------------------------
                                            Total Burden All Cohorts
----------------------------------------------------------------------------------------------------------------
Average Annual Burden.......  Grantee......       1.44          77       90.25     129.9     $42.00       $5,455
                              Community....       1.04        1208    5,424      5,643        32.00      180,576
                              Overall......       1.05        1285    5,514.25   5,773    .........      186,031
----------------------------------------------------------------------------------------------------------------

    Written comments and recommendations concerning the proposed 
information collection should be sent by May 4, 2011 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: 202-395-7285.

    Dated: March 25, 2011.
Elaine Parry,
Director, Office of Management, Technology and Operations.
[FR Doc. 2011-7875 Filed 4-1-11; 8:45 am]
BILLING CODE 4162-20-P