[Federal Register Volume 68, Number 30 (Thursday, February 13, 2003)]
[Notices]
[Pages 7384-7385]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-3568]


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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Substance Abuse and Mental Health Services Administration


Substance Abuse Prevention and Treatment Block Grant: Waiver for 
U.S. Territories (Other Than Puerto Rico) of Synar Program Requirements

AGENCY: Substance Abuse and Mental Health Services Administration, HHS.
SUMMARY: In keeping with the Substance Abuse and Mental Health Services 
Administration's (SAMHSA) delegation of authority from the Secretary 
and in compliance with title XIX, subpart II, section 1932(c) and with 
section 1926 of the Public Health Service Act, SAMHSA is issuing the 
following guidance to be used in determining whether to approve a U.S. 
Territory's request for a waiver from the requirements of section 1926 
of the Public Health Service (PHS) Act (the Synar Amendment), and its 
implementing regulations, 45 CFR 96.130.
    This guidance will become effective only at such time that an 
appropriation act for the Department of Health and Human Services (HHS) 
does not contain a prohibition on penalizing the territories under 
section 1926 of the PHS Act that receive less than $1,000,000. (See, 
e.g., section 214 of Departments of Labor Health and Human Services, 
and Education, and Related Agencies Appropriation Act, Pub. L. 107-116 
(Jan. 10, 2002).) SAMHSA, however, is seeking comment from the public 
on this guidance.
    Section 1926 of the Public Health Service (PHS) Act and its 
implementing regulation, require each State, the District of Columbia 
and each U.S. Territory, as a condition for receiving a Substance Abuse 
Prevention and Treatment (SAPT) Block Grant award, to enact and enforce 
laws making illegal the sale or distribution of tobacco products to 
individuals under the age of 18 years. States, the District of Columbia 
and the Territories are also required to annually conduct unannounced 
inspections of tobacco retail outlets to ensure compliance with the 
law. These inspections must be based on a statistically valid random 
sample of retail outlets across the State, the District of Columbia or 
the Territory. Additionally, States, the District of Columbia and 
Territories are required, unless extraordinary circumstances exist, to 
meet negotiated annual retailer violation target rates, and to annually 
submit a report to the Secretary describing their activities to enforce 
the laws and reduce the availability of tobacco products to minors. 
Section 1926 also stipulates that any State, the District of Columbia 
or Territory failing to meet the requirements stated above may receive 
a 40 percent penalty against their SAPT Block Grant.
    Section 1932(c) of the PHS Act authorizes the Secretary, in the 
case of any territory of the United States except Puerto Rico, to waive 
such provisions of this subpart II and subpart III as the Secretary 
determines to be appropriate, * * *'' The reference is to subpart II 
and III of title XIX of the PHS Act which authorize the SAPT Block 
Grant. This discretionary authority extends to section 1926. This 
authority has been delegated by the Secretary to the Administrator of 
SAMHSA. This guidance explains the conditions under which the 
Administrator of SAMHSA, in his discretion, will grant a waiver for any 
Territory other than Puerto Rico from the requirements of section 1926.

DATES: Comments on the guidance must be in writing and should be sent 
to Mr. David Robbins, Acting Director, Division of State and Community 
Systems Development, Center for Substance Abuse Prevention (CSAP), 
Rockwall II Building, Room 930, 5600 Fishers Lane, Rockville, MD 20857, 
by April 14, 2003.

FOR FURTHER INFORMATION CONTACT: Mr. David Robbins, Acting Director, 
Division of State and Community Systems Development, Center for 
Substance Abuse Prevention (CSAP), Rockwall II Building, Room 930, 5600 
Fishers Lane, Rockville, MD 20857. Mr. Robbins may be reached on (301) 
443-2068.

SUPPLEMENTARY INFORMATION: U.S. Territories have faced many challenges 
in meeting the Synar legislative and regulatory requirements. 
Specifically, cultural issues have created significant challenges for 
the conduct of tobacco outlet inspections to assess the youth tobacco 
access rates within each of the U.S. Territories, as required by the 
Synar legislation. For example, in some Territories it is customary for 
individuals under the age of 18 to buy provisions, including tobacco, 
for their elders. In others, it is considered inappropriate to ask a 
person's age for

[[Page 7385]]

any reason, even as part of a retail transaction. Additionally, the 
Territories are predominately comprised of small community centers 
within islands. Family loyalties toward merchants and the fear of 
community ostracism increase the difficulty of recruiting youth for 
retail outlet inspections. Ensuring youth safety is also a significant 
concern when retailer inspections are combined with enforcement. 
Territories report that maintaining the anonymity of youth inspectors 
is extremely difficult, if not impossible, in many of these small 
communities. Youth inspectors have been threatened, verbally harassed, 
and even injured as a result of their participation in the inspections.
    In addition to cultural barriers to the conduct of inspections, 
accessibility to tobacco outlets often presents significant human and 
resource challenges for the U.S. Territories. Many Territories include 
outlying islands with very small populations. In order to conduct 
compliance inspections in these outlying areas, travel by boat and 
overnight stays are often required. Such travel is often costly and 
requires staff to work substantial numbers of hours to complete the 
required work. These logistical issues further burden the process of 
complying with the Synar legislative and regulatory requirements. 
Currently, a Territory must commit significant resources toward the 
development, implementation, and analysis of the survey of tobacco 
retail outlets across the Territory, as well as the conduct of law 
enforcement activities for violators of a Territory's youth tobacco 
access control law. Given that eligible Territories receive relatively 
small SAPT Block Grant awards (between $85,919 and $756,531), SAMHSA 
believes that resources expended directly toward the implementation of 
broader tobacco prevention and control programming would be more 
productive for obtaining the overall goal of the Synar program--
reducing the use of tobacco products by youth.
    Waiver Criteria: The Administrator of SAMHSA, in his discretion, 
will grant a waiver to any eligible Territory if:
    [sbull] A waiver is requested by the eligible Territory at the same 
time it submits its application for SAPT funds;
    [sbull] The waiver request is signed by the chief executive officer 
of the Territory in question;
    [sbull] The request contains a comprehensive tobacco prevention and 
control program acceptable to the Administrator; and
    [sbull] The Territory in question agrees to submit to the 
Administrator an annual report on its progress in implementing the 
plan.
    A waiver may be granted for up to three years during which period 
the Territory in question will be obligated to submit an annual 
progress report. However, a waiver may be withdrawn as determined 
appropriate by the Administrator of SAMHSA if the territory fails to 
submit an annual report or if the progress is determined to be 
unsatisfactory by the Administrator of SAMHSA. If that should occur, 
the territory will be required to once again abide by the legislative 
and regulatory requirements of Synar.
    SAMHSA recommends that Territories include the following in their 
comprehensive tobacco prevention and control plans:
    [sbull] Public education including information regarding the health 
consequences of tobacco use, and the problem of youth access to 
tobacco. Public education may include media campaigns.
    [sbull] Education and training for retail store owners, managers, 
and sales clerks on the health consequences of tobacco use and the 
problem of youth access to tobacco.
    [sbull] Distribution of culturally sensitive educational materials.
    [sbull] Community mobilization, which may occur through the 
formation of community-based coalitions. To be effective, such 
community coalitions shall support the Territorys capacity to reduce 
youth use of tobacco products by involving youth in tobacco issues, and 
by gaining support of the community to reduce a minor's access to 
tobacco products.
    [sbull] Environmental strategies including proposals to change or 
enforce Territorial laws and policies to support efforts to reduce 
youth use of tobacco products. Examples of possible policy initiatives 
may include, but not be limited to, encouraging clean indoor air 
policies, increasing tobacco taxes, or formally supporting youth 
tobacco cessation programs.

    Dated: January 6, 2003.
Charles G. Curie,
Administrator, Substance Abuse and Mental Health Services 
Administration.
[FR Doc. 03-3568 Filed 2-12-03; 8:45 am]
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