2011-2013 SAPT Block 2011-2013 SAPT Block GrantGrant

Cheryl Gallagher, MACheryl Gallagher, MATeam Leader, Division of State and Community AssistanceTeam Leader, Division of State and Community Assistance

Hal Krause, MPA, MScHal Krause, MPA, MScPublic Health AnalystPublic Health Analyst

Center for Substance Abuse TreatmentCenter for Substance Abuse TreatmentSubstance Abuse and Mental Health Service AdministrationSubstance Abuse and Mental Health Service Administration

Why were these changes Why were these changes implemented?implemented?• SAPT Block Grant Application is up for SAPT Block Grant Application is up for

renewal – August 2010 expirationrenewal – August 2010 expiration

• Changes are minimal and will Changes are minimal and will implement three-year planning cycle, implement three-year planning cycle, State Plan Model State Plan Model

• Congress, NASADAD and CSAT are Congress, NASADAD and CSAT are invested in redesign to three-year invested in redesign to three-year plan (public health or MCH-like model) plan (public health or MCH-like model)

Planning, Program priorities and

Targeted activities

Implementation

Integration of: Needs Assessment data

Performance dataSocial indicator data, etc.

Evaluation(performance data)

Public Health Planning Model

Plan

Do

Study

Act

Historical Context – application Historical Context – application Re-Design WorkRe-Design Work

Implemented in January 2009Implemented in January 2009

2010, 2007, 2005 and 2002 NASADAD QA2010, 2007, 2005 and 2002 NASADAD QA

Opportunity for State/NASADAD Product to EmergeOpportunity for State/NASADAD Product to Emerge

Timelines for Approval Impacted Consensus ProcessTimelines for Approval Impacted Consensus Process

OMB package still at OMBOMB package still at OMB

The opportunity for revising The opportunity for revising the Block Grant could not be the Block Grant could not be missed missed Reauthorization envisions substantial Reauthorization envisions substantial

revisionrevision

FY 2011- 2013 3-year Plan is FrameworkFY 2011- 2013 3-year Plan is Framework

Most requirements are specified in Most requirements are specified in legislation and/or regulation; w/o legislation and/or regulation; w/o reauthorization or regulatory change, reauthorization or regulatory change, these must be retainedthese must be retained

ProcessProcess

Draft for Public Comment

External input

Internal RequirementsTimelines

PHS Act

42 CFR Part 96

Program Interests

NASADAD PDWG Wkgp.

NASADAD QA Process

Individual States

Other Stakeholders

SAMHSA Response to comments

HHS Review

OMB Review

Final Uniform Application

Changes:Changes:

• Configure Application to be more user-friendly, more like a Configure Application to be more user-friendly, more like a State Plan. State Plan.

• Improve Application OrganizationImprove Application Organization

• Reduce burden where possible – e.g. deleted Form 12Reduce burden where possible – e.g. deleted Form 12

• Compliance to Statute and regulatory requirements is Compliance to Statute and regulatory requirements is documented in Section IIIdocumented in Section III

• During preparations for eventual reauthorization, move During preparations for eventual reauthorization, move forward with three year plan to reduce 2012 and 2013 forward with three year plan to reduce 2012 and 2013 State plan writing, needs assessment and identification of State plan writing, needs assessment and identification of State priorities.State priorities.

• Provide more clear guidance. Reference to previous form Provide more clear guidance. Reference to previous form numbers provided in all form directions.numbers provided in all form directions.

ChangesChangesAddedAdded• Three year plan narratives [Three year plan narratives [State Plan and Federal Goals]State Plan and Federal Goals] • Addition of State Priorities Form 7 (up to 12; not rank Addition of State Priorities Form 7 (up to 12; not rank

ordered)ordered)• Narrative content guidance (in response to request for Narrative content guidance (in response to request for

examples or additional guidance e.g. see Notes, Federal examples or additional guidance e.g. see Notes, Federal Goals) Goals)

• Added References to Old Form Numbers in Forms and Added References to Old Form Numbers in Forms and InstructionsInstructions

RemovedRemoved• Deleted Form 12Deleted Form 12• Do not need to resubmit Year 2 and 3, Section II, 3-year Do not need to resubmit Year 2 and 3, Section II, 3-year

Plan narratives and Section III, Intended Use Narrative Plan narratives and Section III, Intended Use Narrative (only updates as necessary)(only updates as necessary)

ChangedChanged• Form P12-15 instruction table added to clarify timeframes Form P12-15 instruction table added to clarify timeframes

for datafor data

Items to be corrected in Items to be corrected in Final Final • Section III – added narrative requirement, Section III – added narrative requirement,

to be moved to State plan narrative pps. to be moved to State plan narrative pps. 45 45 -->--> 24 24

• Section III – Forms 8a & 8b are 12 month Section III – Forms 8a & 8b are 12 month reports not 24 months p. 68reports not 24 months p. 68

• Section IVb – new timetable added RE Section IVb – new timetable added RE forms 12a-15 p. 139forms 12a-15 p. 139

• Section IVb – forms 12a-15 instructions on Section IVb – forms 12a-15 instructions on time periods time periods

• FY 2011 budget data need updatingFY 2011 budget data need updating

Section ISection I

• Same Format and Content as before:Same Format and Content as before:– Face Page (Form 1); pps. 5 and 6Face Page (Form 1); pps. 5 and 6– Table of Contents (Form 2); pps. 7-11Table of Contents (Form 2); pps. 7-11– Funding Agreements/Certifications Funding Agreements/Certifications

(Form 3, Certifications, SF-LLL and (Form 3, Certifications, SF-LLL and Assurances) pps. 12-22; SF-LLL does Assurances) pps. 12-22; SF-LLL does not need to be completed if no lobbying not need to be completed if no lobbying is undertakenis undertaken

Section IISection II• Planning Planning pps. 23-24pps. 23-24

– The State is to develop a 3-year plan: a The State is to develop a 3-year plan: a Narrative (up to five pages) describing:Narrative (up to five pages) describing:• Sub-state planning and needs assessment Sub-state planning and needs assessment

practicespractices• Definition of sub-State planningDefinition of sub-State planning• Data collection practicesData collection practices• Council composition, if any existCouncil composition, if any exist• Monitoring processesMonitoring processes• SEOW and use of analytic information for SEOW and use of analytic information for

prevention and treatment goalsprevention and treatment goals• Prevention specificsPrevention specifics

Section II (cont.)Section II (cont.)

• Public Comment process (p. 24) Public Comment process (p. 24)

• Criteria for allocating funds (pps. 25-26)Criteria for allocating funds (pps. 25-26)

• Needs Assessment Summary (Forms 4 and Needs Assessment Summary (Forms 4 and 5; formerly 8 and 9) (pps. 26-30)5; formerly 8 and 9) (pps. 26-30)

• How Your State… (up to 3 page needs How Your State… (up to 3 page needs assessment narrative) (p. 31)assessment narrative) (p. 31)

Section II (cont.)Section II (cont.)

• Intended Use Plan Budget (Form 6; Intended Use Plan Budget (Form 6; formerly Form 11) pps. 31-33formerly Form 11) pps. 31-33

• Detailed primary prevention (Forms 6a Detailed primary prevention (Forms 6a and 6b, formerly 11a and 11b) pps. 34-38and 6b, formerly 11a and 11b) pps. 34-38

• Resource Development (Form 6c, formerly Resource Development (Form 6c, formerly Form 11c) p. 39Form 11c) p. 39

• Purchasing Services Checklist p. 40Purchasing Services Checklist p. 40• Methods for Determining Prices p. 41Methods for Determining Prices p. 41• Program performance monitoring p. 42Program performance monitoring p. 42• Form 7; State PrioritiesForm 7; State Priorities

Section III – Federal GoalsSection III – Federal Goals• How Federal Substance Abuse Funds are used/to be usedHow Federal Substance Abuse Funds are used/to be used

• ““Notes”Notes” provide addtl. guidance on specific information that the provide addtl. guidance on specific information that the State may wish to include in these narratives. State may wish to include in these narratives. Guidelines not Guidelines not requirements.requirements.

• Goal 1 is altered to clarifies this goal is not exclusive to treatment Goal 1 is altered to clarifies this goal is not exclusive to treatment services. States should describes the continuum of all prevention services. States should describes the continuum of all prevention and treatment services. p. 47and treatment services. p. 47

• Goal 2 provides more information on IOM model pps. 47-49Goal 2 provides more information on IOM model pps. 47-49

• Goals 3, 4, 6, 7, 9, 15, and 17 have incorporated previous Goals 3, 4, 6, 7, 9, 15, and 17 have incorporated previous “attachment” requirements related to these Goals. Other goals are “attachment” requirements related to these Goals. Other goals are same as in prior years. pps. 49-59same as in prior years. pps. 49-59

• Additional Instruction Section remains for State to identify any Additional Instruction Section remains for State to identify any waivers to be requested. pps. 60-61waivers to be requested. pps. 60-61

Section III (cont.)Section III (cont.)

• Substance Abuse Agency Spending ReportSubstance Abuse Agency Spending Report Form 8 (formerly Form 4) pps. 62-65Form 8 (formerly Form 4) pps. 62-65

• Primary Prevention and Resource Development Checklists 8a, Primary Prevention and Resource Development Checklists 8a, 8b, and 8c (formerly 4a, 4b, and 4c) pps. 68-698b, and 8c (formerly 4a, 4b, and 4c) pps. 68-69

• Entity Inventory Form 9 (formerly Form 6) pps. 71-75Entity Inventory Form 9 (formerly Form 6) pps. 71-75

• Prevention Strategy Report Form 9a (formerly form 6a) pps. Prevention Strategy Report Form 9a (formerly form 6a) pps. 76-7976-79

• Service Utilization Data Forms 10a and 10b (formerly Forms 7a Service Utilization Data Forms 10a and 10b (formerly Forms 7a and 7b) pps. 80-85. and 7b) pps. 80-85. Form 10b has an added cell to capture Form 10b has an added cell to capture persons served outside of the levels of care listed on Form 10a.persons served outside of the levels of care listed on Form 10a.

• Maintenance of Effort, HIV, TB, and Women’s Base and Maintenance of Effort, HIV, TB, and Women’s Base and Expenditure Tables pps. 86-93Expenditure Tables pps. 86-93

Sections IVa and IVbSections IVa and IVb

• Treatment section remains as in FY 2010Treatment section remains as in FY 2010

• Prevention Section adds clarifications Prevention Section adds clarifications around content and timelinesaround content and timelines

Treatment Section IVa pps. 96-123 Treatment Section IVa pps. 96-123

Prevention Section IVb pps. 125-174Prevention Section IVb pps. 125-174

AppendixAppendix

• A Updated SPO Lists A Updated SPO Lists p.175p.175

• BB Updated AIDS/HIV Information Updated AIDS/HIV Information p.183p.183

– Budget data based on President’s Budget data based on President’s Budget RequestBudget Request

Next Steps:Next Steps:

OMB FRN ClearanceOMB FRN Clearance

Response to Comments and OMB 30 day Response to Comments and OMB 30 day additional review periodadditional review period

BGAS “Draft” workspace for States to begin BGAS “Draft” workspace for States to begin data entry, solicitation letter; June 20thdata entry, solicitation letter; June 20th

New OMB Clearance: Target July 31, 2010 New OMB Clearance: Target July 31, 2010