[Federal Register Volume 74, Number 154 (Wednesday, August 12, 2009)]
[Notices]
[Pages 40599-40602]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-19291]


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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: Evaluation of 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. This notice invites comments for revision to the protocol for 
the ongoing cross-site evaluation for the Strategic Prevention 
Framework State Incentive Grant (SPF SIG) (OMB No. 0930-0279) which 
expires on 09/30/09. This revision includes two parts:
    (1) Continuation of the use of the previously approved two-part

[[Page 40600]]

Community Level Instrument (CLI parts I and II) for Cohorts I and II.
    (2) The use of three additional instruments to support the SPF SIG 
Cohorts III and IV Cross-site Evaluation. All three instruments are 
modified versions of data collection protocols used by Cohorts I and 
II. 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.
    An additional Cohort III and IV 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 and IV 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 outcomes by all SAMHSA/CSAP 
grantees.
    Every attempt has been made to make the evaluation for Cohorts III 
and IV comparable to Cohorts I and II. This notification reflects some 
streamlining of the original evaluation design. 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. The Grantee-Level 
Infrastructure and Implementation Instruments (Cohorts III and IV) and 
the Community-Level part I and part II (Cohorts I, II, III, and IV) 
Instruments are included in an OMB review package and are the main 
focus of this announcement.

Grantee-Level Data Collection (Cohort III and IV 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 (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 an 
estimated 20 to be funded in Cohort IV 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 and IV 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 are being 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 359 
communities that have received SPF funds from their respective Cohort I 
States and 86 communities that have received SPF funds from their 
respective Cohort II 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 and IV Revision

    The Community-Level Instrument to be completed by Cohort III and IV 
funded subrecipient communities is a modified version of the one in use 
in the SPF SIG Cohorts I and II Cross-Site Evaluation (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

[[Page 40601]]

during the specified reporting period. Specific questions will be 
tailored to match the type of prevention intervention strategy 
implemented (e.g., 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 and IV evaluation team. The total burden 
assumes an average of 15 community-level subrecipients per grantee 
(n=36 Grantees) for a total of 540 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 and IV--New)

    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 and IV 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. The estimated 
average annual burden of 5,620.8 hours is based on the completion of 
the Community Level-Instrument (CLI parts I and II) for Cohorts I and 
II and the Grantee-level Instruments (GLI) and the Community-Level 
Instrument (CLI) for Cohorts III and IV.

                           Table 1--Estimates of Annualized Hour Burden to Respondents
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                                                    Burden per                        No. of
        Instrument type            Respondent        response         No. of       responses per   Total burden
                                                      (hrs.)        respondents     respondent        (hrs.)
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Grantee-Level Burden Cohort 1
Total/Average Burden Over 1     Grantee.........               1              21               2              42
 Reporting Year.
Community-Level Burden Cohort
 1
CLI Part 1....................  Community.......            2.17             359               2         1,558.0
CLI Part 2....................  Community.......            2.17             359               6         4,674.2
Review of Past Responses......  Community.......             2.5             359               2         1,795.0
Total/Average Burden Over 1     Community.......  ..............  ..............  ..............         8,027.2
 Reporting Year.
Grantee-Level Burden Cohort 2
Total Burden Over 2 Reporting   Grantee.........               1               5               4              20
 Years.
Average Annual Burden.........  Grantee.........  ..............  ..............  ..............              10
Community-Level Burden Cohort
 2
CLI Part 1....................  Community.......            2.17              86               4           746.5
CLI Part 2....................  Community.......            2.17              86              12         2,239.4
Review of Past Responses......  Community.......             2.5              86               4           860.0
Total Burden Over 2 Reporting   Community.......  ..............  ..............  ..............         3,845.9
 Years.
Average Annual Burden.........  Community.......  ..............  ..............  ..............         1,923.0
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                                          Total Burden Cohorts 1 and 2
----------------------------------------------------------------------------------------------------------------
Total Burden Over 2 Reporting   Grantee.........  ..............  ..............  ..............              62
 Years.
Community.....................  ................  ..............  ..............  ..............        11,873.1
Average Annual Burden.........  Grantee.........  ..............  ..............  ..............              31
Community.....................  ................  ..............  ..............  ..............         5,936.6
Grantee-Level Burden Cohorts 3
 and 4
GLI Infrastructure &            Grantee.........            4.75              36               2           342.0
 Implementation Instruments
 (Reporting Years 1-4).
CLI Part I, 1-20: Community     Grantee.........             1.5              36               1            54.0
 Contact Information
 (Reporting Year 1).
CLI Part I, 1-20: Community     Grantee.........            0.25              36               3            27.0
 Contact Information
 (Reporting Years 2-4).
Total Burden Over 4 Reporting   Grantee.........  ..............  ..............  ..............           423.0
 Years.
Average Annual Burden.........  Grantee.........  ..............  ..............  ..............          105.75

[[Page 40602]]

 
Community-Level Burden Cohorts
 3 and 4
CLI Part I, 21-172: Community   Community.......               3             540               1          1620.0
 SPF Activities (Reporting
 Year 1).
CLI Part II (Reporting Year 1)  Community.......            0.75             540               6         2,430.0
CLI Part I, 21-172: Community   Community.......            0.75             540               3           1,215
 SPF Activities (Reporting
 Years 2-4).
CLI Part II (Reporting Years 2- Community.......             0.5             540              18         4,860.0
 4).
Total burden Over 4 Reporting   Community.......  ..............  ..............  ..............        10,125.0
 Periods.
 Average Annual Burden........  Community.......  ..............  ..............  ..............        2,531.25
----------------------------------------------------------------------------------------------------------------
                                            Total Burden All Cohorts
----------------------------------------------------------------------------------------------------------------
Total Burden Over 4 Reporting   Grantee.........  ..............  ..............  ..............           485.0
 Years.
                                Community.......  ..............  ..............  ..............        21,998.1
Average Annual Burden.........  Grantee.........  ..............  ..............  ..............           121.3
                                Community.......  ..............  ..............  ..............         5,499.6
                                Overall.........  ..............  ..............  ..............         5,620.8
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    Written comments and recommendations concerning the proposed 
information collection should be sent by September 11, 2009 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: August 6, 2009.
Elaine Parry,
Director, Office of Program Services.
[FR Doc. E9-19291 Filed 8-11-09; 8:45 am]
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