[Federal Register Volume 65, Number 24 (Friday, February 4, 2000)]
[Proposed Rules]
[Pages 5474-5476]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-2444]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

45 CFR Part 96

RIN 0930-AA04


Application Deadline for SAPT Block Grant Program

AGENCY:  HHS.

ACTION:  Notice of proposed rule making.

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SUMMARY:  The Substance Abuse and Mental Health Services Administration 
(SAMHSA) (formerly, the Alcohol, Drug Abuse and Mental Health 
Administration (ADAMHA)) has permitted applicants for its Substance 
Abuse Prevention and Treatment (SAPT) Block Grant program to submit an 
application for a grant as late as March 31 of the fiscal year for 
which it is applying. Starting with the fiscal year 2001 applications, 
SAMHSA is proposing a new date for receipt of the applications for SAPT 
Block Grants of October 1 of the fiscal year for which Block Grant 
funding is being requested. However, the deadline for two application 
components required to be submitted by that due date may be extended 
for a limited period, not to extend beyond December 31 of the same 
fiscal year when good cause is demonstrated.

DATES:  Written comments must be received on or before March 20, 2000.

ADDRESSES:  Written comments on the proposed rule must be sent to 
Thomas M. Reynolds, Room 13C-20, Parklawn Bldg., 5600 Fishers Lane, 
Rockville, MD 20857.

FOR FURTHER INFORMATION CONTACT:  Thomas M. Reynolds. (301) 443-0179.

SUPPLEMENTARY INFORMATION: When SAMHSA first implemented the SAPT Block 
Grant program, a primary concern was affording States sufficient time 
to develop the increased information required to apply for a grant 
under this program as compared to the generally less detailed 
application required under the predecessor ADMS Block Grant program 
administered by ADAMHA \1\. This was accomplished by affording States 
the opportunity to delay submitting their applications to as late as 
March 31, fully six months into the fiscal year for which funding is 
requested (See 45 CFR 96.122(d). This relatively late receipt date 
results in insufficient time to administer the SAPT Block Grant program 
in accordance with all the governing provisions of law. This is most 
noted under circumstances calling for the clarification of application 
data and, if necessary, the conduct of hearings related to certain 
adverse decisions needing resolution by the end of the fiscal year. A 
tentative adverse decision requires that the applicant be provided an 
opportunity for a hearing consistent with section 1945(e) of the Public 
Health Service (PHS) Act, and there remains, as a practical matter, 
insufficient time in the fiscal year to provide a hearing, reach a 
final decision, and possibly redistribute withheld funds to the 
remaining applicants as provided by law (see section 1944 of the PHS 
Act).
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    \1\ The ADAMHA Reorganization Act, Pub. L. 102-321 (July 10, 
1992), established SAMHSA as a successor-in-interest to ADAMHA for 
the purpose, inter alia, of administering the services oriented 
functions previously the responsibility of ADAMHA and created two 
block grant programs including the SAPT program (now administered by 
SAMHSA) to replace the ADMS Block Grant program.
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    States are now fully aware of the application requirements and can 
reasonably be expected to respond to an earlier submission date. 
However, if a State determines that it will not be able to submit by 
October 1 either the report as required at 45 CFR 96.130(e) on Synar 
enforcement efforts and State success in reducing youth access to 
tobacco products during the preceding fiscal year, or the information 
on State expenditures during the preceding year as required at 45 CFR 
96.134(d), the State may request an extension of the due date(s) for a 
limited period, not to extend past December 31 of the fiscal year for 
which application is made. The request for the extension must be signed 
by the official with the authority to apply for the grant or the 
Governor, and must be submitted no later than September 1 of the prior 
fiscal year. The extension request must state for which requirement the 
extension is requested; include an explanation of why the State is 
unable to comply with the due date of October 1; state the date of 
submission the State is requesting; and

[[Page 5475]]

discuss whether there are steps the State can take to avoid requiring 
an extension in future years.
    Due date extensions for these requirements shall be granted in 
writing by the SAMHSA official with delegated authority to grant the 
extension.
    The Department considered several alternatives for addressing the 
issue of timely application submission including an inflexible deadline 
without provision for extension, and no change in the current due date 
in recognition of State indications that timely submission of these 
reports can be more difficult for some States than others. It is 
SAMHSA's intent to move the application date to October 1 as proposed 
by this notice unless comments provide compelling reasons to do 
otherwise. Therefore, States should be preparing to submit their 
applications by October 1, 2000 for fiscal year 2001 funding.

Economic Impact

    This rule does not have cost implications for the economy of $100 
million or otherwise meet the criteria for a major rule under Executive 
Order 12291, and therefore does not require a regulation impact 
analysis. Further, this regulation will not have a significant impact 
on a substantial number of small entities, and therefore does not 
require a regulatory flexibility analysis under the Regulatory 
Flexibility Act of 1980.

Federalism Impact

    This regulation would require States to submit their applications 
for Substance Abuse Prevention and Treatment Block Grant funds by 
October 1 of the fiscal year for which they are seeking funds. States 
in the past have had until March 31 to submit the application. This 
late due date (March 31) does not give the agency sufficient time to 
carry out its responsibilities under the law.
    SAMHSA consulted with the State organizations in the development of 
legislative proposals concerning the application due date and in the 
crafting of this NPRM. Most States indicated that they have become 
familiar with the application and that it would not be an undue 
hardship on them to meet this new requirement if there can be an 
extension until December 31 with regard to both maintenance of effort 
and Synar information. Since proposed Section 96.122(d) allows for such 
an extension with regard to these elements of the applications, we do 
not believe that there is a significant Federalism impact.

Regulatory Evaluation

    This proposal is not a significant regulatory action under Section 
3(f) of the Executive Order 12866 and does not require an assessment of 
the potential costs and benefits under Section 6(a)(3) of that Order 
and so has been exempted from review by the Office of Management and 
Budget under that Order.

Paperwork Reduction Act of 1995

    This proposed rule contains information collections which are 
subject to review by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (the PRA)(44 U.S.C. 3507(d)). The 
title, description and respondent description of the information 
collections are shown in the following paragraphs with an estimate of 
the annual reporting and recordkeeping burden. Included in the estimate 
is the time for reviewing instructions, searching existing data 
sources, gathering and maintaining the data needed, and completing and 
reviewing the collection of information.
    Title: Application Deadline for SAPT Block Grant Program
    Description: The Secretary is proposing to issue regulations to 
change the receipt date of SAPT Block Grant applications starting with 
the Federal Fiscal Year (FY) 2001 from March 31 to October 1. All 
elements of the application reporting requirements would be due October 
1. However, States may request an extension of time for reporting State 
expenditures necessary to determine compliance with the Maintenance of 
Effort (MOE) requirement and/or to submit required Synar information 
for a period up to December 31. This change will allow HHS to review 
grant applications and make grant awards to all States earlier in the 
fiscal year. It will also provide additional time for sufficient 
planning in the event of any penalty actions that may be required, 
while recognizing the inability of some States to report the MOE and 
Synar data prior to December 31.
    Description of Respondents: State and tribal governments.
    Response burden estimate: Information collection language for the 
current rule is approved by OMB under control number 0930-0165 (Synar 
reporting requirements on youth access to tobacco) and control number 
0930-0162 (for all other aspects of the annual application). The 
Substance Abuse Prevention and Treatment Block Grant uniform 
application format for FY 2000-FY 2002 is approved by OMB under control 
number 0930-0080. None of the specifics of these reporting requirements 
are being changed. Only the due date of the uniform application is 
impacted by this proposed rule.
    At present, approximately half of all eligible block grant 
applicants routinely submit their uniform application for block grant 
funds on or before September 30 of the fiscal year preceding the fiscal 
year for which they are applying for funds. Approximately one half of 
all eligible applicants submit their uniform applications between 
October 1 and March 31 of the fiscal year for which block grant funds 
are being made available.
    SAMHSA recognizes that the earlier receipt date will have an impact 
on the applicants, particularly those that have typically submitted 
their uniform application after September 30. Since the contents of the 
uniform application are not changing, it is difficult to estimate the 
additional response burden and associated costs for the first year of 
this change of receipt date (no additional burden is estimated for this 
change for future years). Therefore, a nominal response burden for each 
applicant of one hour is provided. In addition, it is conservatively 
assumed that all applicants will request an extension of the MOE and 
Synar reporting, and one hour is estimated for preparation of such a 
request.
    Thus, for the first year of implementation, total response burden 
is estimated at 120 hours. For subsequent years, the burden estimate is 
60 hours. Comments on these estimates are invited.

                                             Annual Reporting Burden
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                                                                          Responses
               45 CFR Citation and Purpose                   No. of          per        Hours per    Total hours
                                                           respondents   respondent     response
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96.122(d) Due date for annual report....................            60             1             1            60
96.122(d) Extension requests associated with MOE and                60             1             1            60
 Synar..................................................
      Total.............................................            60  ............  ............           120
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[[Page 5476]]

    As required by section 3507(d) of the PRA, the Secretary has 
submitted a copy of this proposed rule to OMB for its review. Comments 
on the information collection requirements are specifically solicited 
in order to: (1) Evaluate whether the proposed collection of 
information is necessary for the proper performance of HHS functions, 
including whether the information will have practical utility; (2) 
evaluate the accuracy of the HHS estimate of the burden of the proposed 
collection of information, including the validity of the methodology 
and assumptions used; (3) enhance the quality, utility, and clarity of 
the information to be collected; and (4) minimize the burden of the 
collection of information on those who are to respond, including the 
use of appropriate automated, electronic, mechanical, or other 
technological collection techniques or other forms of information 
technology.
    OMB is required to make a decision concerning the collection of 
information contained in these proposed regulations between 30 and 60 
days after publication of this document in the Federal Register. 
Therefore, a comment to OMB is best assured of having its full effect 
if OMB receives it within 30 days of publication. This does not affect 
the deadline for the public to comment to HHS on the proposed 
regulations.
    Organizations and individuals desiring to submit comments on the 
information collection requirements should direct them to the Office of 
Information and Regulatory Affairs, OMB. (address above).

List of Subjects in 45 CFR Part 96

    Administrative practice and procedure, Grant programs--health, 
Health care.

    Dated: January 31, 2000.
Donna E. Shalala,
Secretary.

    For the reasons set forth in the preamble, the Department proposes 
to amend Subpart L of Part 96 of Title 45 of the Code of Federal 
Regulations as follows:

PART 96--BLOCK GRANTS

Subpart L--Substance Abuse Prevention and Treatment Block Grant

    1. The authority citation for Subpart L of Part 96 continues to 
read as follows:


    Authority:  42 U.S.C. 300x-21 to 300x-35 and 300x-51 to 300x-64.

    2. Section 96.122 (d) is revised to read as follows:


Sec. 96.122  Application content and procedure.

* * * * *
    (d) The application (in substantial compliance with the statutory 
and regulatory provisions for the Block Grant) shall for fiscal years 
through fiscal year 2000, be submitted no later than March 31 of the 
fiscal year for which the State is applying. Beginning with the fiscal 
year 2001 application, all required components for a complete 
application must be submitted no later than October 1 of the fiscal 
year for which Block Grant funding is being requested. The submission 
date for the report required by Sec. 96.130(e) to be submitted with the 
application and/or the information required by Sec. 96.134(b) may be 
extended for good cause shown in a request signed by the official 
authorized to apply for the Block Grant funding on behalf of the State, 
or the Governor. The State should request an extension for only the 
amount of time necessary. In no event will an extension be granted past 
December 31 of the fiscal year for which application is made. All 
requests to extend the due date must be submitted no later than 
September 1 of the prior fiscal year and addressed to the same address 
as specified for the grant application. Extension requests must state 
for which requirement an extension is sought, the date of submission 
sought, why the State is unable to meet the October 1 due date, and 
discuss if there are steps the State will be able to take to avoid 
requiring an extension in future years, or if not, why not. Extension 
requests complying with these requirements will be acted upon no later 
than September 20 of the fiscal year prior to the year for which 
application is to be made. Due date extensions regarding the 
Sec. 96.130(e) report and regarding the Sec. 96.134(d) information 
shall only be granted in writing. In order for an applicant to have 
complied with the requirements of section 1932(a)(1) of the Public 
Health Service Act (42 U.S.C. 300x-32(a)(2)), it is necessary that the 
components of the application have been submitted by the date indicated 
or as extended pursuant to the above.
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[FR Doc. 00-2444 Filed 2-1-00; 10:25 am]
BILLING CODE 4162-20-P