RFP_283-16-0490_Attach1_PWS_-_Revised_2016.06.06.pdf

RFP No. 283-16-0490, “BHSIS” Attachment 1 – Revised June 6, 2016

PERFORMANCE WORK STATEMENT

PROJECT TITLE: “BEHAVIORAL HEALTH SERVICES INFORMATION SYSTEM (BHSIS)”

I. Background and Objectives.

A. Background Information.

Section 505 of the Public Health Service Act (42.U.S.C. 290aa - 4) requires the Secretary of the Department of Health and Human Services (DHHS), acting through the Administrator of the Substance Abuse and Mental Health Services Administration (SAMHSA), to collect data on substance abuse and mental health treatment services, including:

The number and variety of public and private nonprofit treatment programs, including measures of supply of treatment available.

The number of individuals seeking treatment through such programs, the number and demographic characteristics of individuals receiving such treatment, the percentage of individuals who complete such programs, and the length of time between an individual's request for treatment and the commencement of treatment.

The number of such individuals who return for treatment after the completion of a prior treatment in such programs, and the method of treatment utilized during the prior treatment.

The number of individuals receiving public assistance for such treatment programs;

The costs of the different types of treatment modalities for drug and alcohol abuse and mental disorders and the aggregate relative costs of each such treatment modality provided within a State in each fiscal year;

The number of individuals receiving treatment for alcohol and other drug abuse and mental disorders who have private insurance coverage for the costs of such treatment; and

The number of alcohol and other drug abuse counselors, mental health providers, and other substances abuse treatment personnel employed in public and private treatment facilities.

The collection and reporting of service and program data depend upon the capability of providers and State agencies to collect and report such data, and on the uniformity and standardization of data content within and across data reporters. The major national source of service and program data is the Behavioral Health Services Information System (BHSIS), which is administered by SAMHSA’s Center for Behavioral Health Statistics and Quality (CBHSQ).

The purpose of this contract is to collect, manage, and analyze the data that comprise five (5) BHSIS components and to improve the quality of BHSIS data. BHSIS consists of five (5) inter-related components: (1) the Inventory of Behavioral Health Services (I-BHS); (2) the substance abuse treatment facility survey called the National Survey of Substance Abuse Treatment Services (N-SSATS); (3) the mental health treatment facility survey called the National Mental Health Services Survey (N-MHSS); (4) the Treatment Episode Data Set (TEDS), a collection of substance abuse treatment admissions and discharges to state-funded substance abuse treatment facilities, and (5) the Mental Health-Treatment Episode Data Set (MH-TEDS) and the Mental Health-Client Level Data (MH-CLD), collections of mental health client level data from state-funded mental health treatment service facilities, as well as the Uniform Reporting System (URS) Tables required for Mental Health Block Grant application procedures. This last component represents data collection efforts in coordination with CMHS Mental Health Block Grant program data needs as authorized by section 1911 of title XIX., Part B, Sub part I and III of the Public Health Service Act.

The Inventory of Behavioral Health Services (I-BHS) includes a master list of all organized substance abuse treatment and mental health treatment programs known to CBHSQ. The substance abuse treatment providers in the inventory that are licensed, certified or otherwise recognized by the individual State substance abuse agencies are flagged as “State approved” in the I-BHS file. Other facilities are coded as “non-State approved.” Non-state approved facilities that the state substance abuse agency indicates as legitimate may be coded as “Directory eligible.” For substance abuse treatment facilities, only “State-approved,” “Directory eligible,” federal facilities, or SAMHSA-certified Opioid Treatment Programs may be listed in SAMHSA’s on-line Behavioral Health Treatment Services Locator, https://findtreatment.samhsa.gov and the National Directory of Drug and Alcohol Abuse Treatment Programs. The mental health treatment providers in the inventory that meet specified criteria may be listed in SAMHSA’s on-line Behavioral Health Treatment Services Locator and the National Directory of Mental Health Treatment Programs. The I-BHS is used by SAMHSA and many States as the principal means of identifying treatment providers within the substance abuse and mental health service system. It contains a unique national numbering system for treatment facilities and is continuously updated as CBHSQ is notified about new facilities, closures, mergers, etc. Currently, the I-BHS lists 21,000 active substance abuse treatment facilities (of which 15,000 are State-approved) and 18,000 active mental health treatment facilities. The I-BHS is updated through several mechanisms: (1) State behavioral health agencies may request that facilities be added to or removed from the I-BHS; (2) facilities may request to be added to the I- BHS; (3) the N-SSATS and N-MHSS surveys may identify new facilities to be added; and (4) special “augmentation” efforts to identify new or missing facilities through searches of external provider listings add new facilities. Records for facilities that are currently listed as inactive are also retained in the I-BHS system; no facility is ever physically removed from the I-BHS, it can only be listed as inactive if the facility does not or no longer provides treatment services. Overall, the I-BHS maintains current and historical information on about 85,000 active and inactive treatment, administrative, and other non-treatment facilities.

The National Survey of Substance Abuse Treatment Services (N-SSATS) is an annual census of all active drug and alcohol abuse treatment facilities listed on the I-BHS inventory. (There are some exclusions, such as treatment units within jails, prisons and other correctional settings, and non-state approved solo practitioners.) The N-SSATS collects information on the location, organization, structure, services and utilization of substance abuse treatment. Data are used for publication in SAMHSA reports, program administration, planning, and policy analysis. In addition, information from the surveys is used to compile and update the on-line Behavioral Health Treatment Services Locator and the National Directory of Drug and Alcohol Abuse Treatment Programs, two (2) widely used resources for referrals to treatment by individuals seeking treatment in their area and by substance abuse professionals for locating appropriate facilities for client referrals. N-SSATS reports on treatment characteristics at the facility level and bi-annually on the number of persons in treatment on the survey reference date or other facility characteristics including workforce characteristics.

The National Mental Health Services Survey (N-MHSS) is a census of all known mental health treatment facilities within the U.S. and territories. While there may be many mental health services that aid in recovery, the N-MHSS only surveys those facilities that provide treatment, not only supportive services.

This survey, previously conducted in 2008 as the National Survey of Mental Health Treatment Facilities (NSMHTF) and in 2010, 2012, 2014, and 2015, as the N-MHSS, collects facility-specific characteristics, such as: location; organizational structure and ownership; types of services and specially-designed programs/services offered; and payment/funding sources. The survey also collects facility caseload data, such as: one day census counts of residents; and aggregated counts of clients by age, gender, race, and ethnicity. Facilities include public and private psychiatric hospitals; non-federal general hospitals with separate psychiatric services; U.S. Department of Veterans Affairs medical centers; residential treatment centers for children; residential treatment centers for adults; freestanding outpatient clinics and partial care programs; and multiservice (non-hospital) mental health facilities. Data from the N-MHSS are used for publication in SAMHSA reports, for program administration, planning, and policy analysis. Additionally, information from the N-MHSS is used to populate/update the Behavioral Health Treatment Services Locator and the National Directory of Mental Health Treatment Services. This Locator is an important resource used by (1) mental health consumers, family members, and the public for locating needed mental health treatment services available in their area, and (2) mental health professionals for locating appropriate facilities for client referrals.

The Treatment Episode Data Set (TEDS) is a repository of national data on clients admitted to substance abuse treatment programs, most of which receive public funding through the state substance abuse agencies.

TEDS obtains demographic and drug history data on individuals admitted to these programs. Each participating state reports a minimum set of data at monthly or quarterly intervals, and may also report supplementary data items that are available. Currently, TEDS receives data on almost 2 million admissions and 2 million discharges reported by over 10,000 facilities to the 50 States, the District of Columbia, and Puerto Rico during each calendar year. Future plans may include expanding information on services within a treatment episode.

The Mental Health Client Level Data (MH-CLD and Mental Health Treatment Episode Data Set (MH- TEDS) are two similar systems that collect national data on clients receiving publically-funded mental health services. MH-CLD consists of two files: Basic Client Information (BCI) and the State Hospital Readmission (SHR). The BCI is client-oriented data file. This means that a client is reported only once in the file (i.e., an unduplicated file) and it reports the most recent available information on client demographics and clinical status during the collection year. The SHR is event-based and thus a client may be reported multiple times in a file depending on the number of time he/she was admitted to the state hospital within the 12-month reporting period. The MH-TEDS is an admissions-based system and is part of the TEDS system. However, variables specific to mental health treatment are required.

The five (5) BHSIS systems are maintained through separate contractual agreements between the current BHSIS contractor and each of the state substance abuse agencies and state mental health authorities. This contract will continue the consolidated management of individual state subcontracts. The separate subcontracts, which are renewed annually with each state, support state activities related to updating the I- BHS, assisting with the annual N-SSATS and N-MHSS surveys, reporting the TEDS admission and discharge data sets, and reporting MH-TEDS/CLD data sets and the URS Tables. Under this contract, the Contractor will be responsible for awarding the individual state subcontracts annually and obtaining the TEDS, MH-TEDS/CLD data files, the URS Tables, and other forms of State input continuously during the contract performance period.

Acronyms

The following acronyms will be used throughout this Performance Work Statement:

AIMS Access and Identity Management System BRC BHSIS Resource Center BGAS Block Grant Application System BHSIS Behavioral Health Services Information System CAMS Contact Agency Management System CATI Computer Assisted Telephone Interview CBHSQ Center for Behavioral Health Statistics and Quality CTS Centralized Technical Support CWMS Crosswalk Management System DEVS Data Extraction and Visualization System DSS Data Submission System

FVS Facility Verification System I-BHS Inventory of Behavioral Health Services IQRS I-BHS Quick Retrieval System IT Information Technology MH-CLD Mental Health Client Level Data MH-TEDS Mental Health Treatment Episode Data Set NOMS National Outcome Measures N-MHSS National Mental Health Services Survey N-SSATS National Survey of Substance Abuse Treatment Services OMB Office of Management and Budget OTP Opioid Treatment Program PTS Payment Tracking System SAPTBG Substance Abuse Prevention and Treatment Block Grant STSS State TEDS Submission System TDMS TEDS Data Management System TEDS Treatment Episode Data Set URS Uniform Reporting System WEB-BGAS Web-based Block Grant Application System

B. Objectives.

This task order includes the following broadly-defined domains or responsibilities:

Planning and designing N-SSATS data collection instruments and procedures;

Planning and designing N-MHSS data collection instruments and procedures;

Conducting annual N-SSATS data collection;

Conducting annual N-MHSS data collection;

Processing and cleaning I-BHS, TEDS, N-SSATS, N-MHSS, MH-TEDS/CLD, and URS data from

States and providers;

Devising new file structures and data elements prior to file construction;

Producing the annual National Directory of Drug and Alcohol Abuse Treatment Programs and the annual National Directory of Mental Health Treatment Services, and maintaining the on-line Treatment Facility Locator at https://findtreatment.samhsa.gov;

Maintaining the BHSIS Web server, which provides Internet access to the BHSIS home page at http://wwwBHSIS.samhsa.gov/BHSIS2/index.htm;

Producing analytic files, public-use data files, and annual data reports from N-SSATS, N-MHSS, TEDS MH-TEDS/CLD, and URS;

Providing support for responses to special data tabulation requests;

Producing special analytic reports involving one or more of the data sets, or other related data;

Planning and arranging meetings with State substance abuse and mental health data staff across the country;

Providing technical assistance to the States on BHSIS data-related projects;

See the chart provided in Section II.A. below for a further breakdown and inter-relationships of the tasks and performance periods.

This Performance Work Statement (PWS) includes activities related to the computer software programming and operational support necessary to run the existing I-BHS and TEDS/MH-TEDS/CLD components of

BHSIS.

The Contractor shall be responsible for maintaining and enhancing the software that has been developed for maintaining an up-to-date I-BHS system and for processing TEDS/MH-TEDS/CLD admission and update/discharge records. The TEDS/MH-TEDS subsystems to be supported also include the STSS and the new Data Submission System (DSS), currently in the testing phase. The BHSIS DSS manages the receipt and processing of Treatment Episode Data Set (TEDS) submissions and the Mental Health Treatment Episode Data Set (MH-TEDS) from the various State Substance Abuse and State Mental Health agencies.

The DSS is a web-based system for use by the States for crosswalking, pre-editing, submitting, and visualizing TEDS/MH-TEDS data to the contractor, currently in the testing stage. Until the DSS is fully adopted by all states, the Crosswalk Management System (CWMS) which manages the data element crosswalks into TEDS submitted by the States, and the State TEDS Submission System (STSS) a web-based system for use by states in pre-editing and submitting TEDS data to the Contractor shall be maintained. The underlying database systems are ORACLE based; the front-end user interfaces are open source.

The I-BHS system maintains a list of all substance abuse and mental health treatment facilities known to SAMHSA, including information on their directors, addresses, and the history of changes that they have undergone in status and services. Substance abuse treatment facilities may be approved by the states for inclusion in the Locator/Directory. Substance abuse treatment facilities that are non-state-approved (i.e., facilities that are not monitored by State substance abuse agencies – primarily private for-profit facilities) are included, but are not eligible to be listed in the Locator/Directory. Mental health treatment facilities that are licensed are listed in the Locator/Directory. Information from this system is used by TEDS/MH-TEDS and as the list for the N-SSATS and N-MHSS surveys.

The primary function of the TEDS/MH-TEDS system is to load, edit, and store the data received from the States. Reports are generated to inform the States of errors or inconsistencies in their data. Once a month, data are extracted from the TEDS system and reformatted into SAS admission and discharge data files for further analysis. Once a quarter, admission and discharge records for the same treatment episode are linked using selected key data items.

The primary function of the MH-CLD system is to load, edit, and store the mental health client-level data received from the states. As data are submitted annually, errors or inconsistencies in data are corrected annually. URS tables are completed by the states and are used primarily for block grant applications.

II. Services to be Performed.

A. Summary Table of Specific Requirements

The following table outlines the general duties of the contract by task.

TASK

ORDER

YEAR

I-BHS

N-SSATS

N-MHSS

TEDS/M

H-TEDS

MH-CLD

URS

TABLES

1: 9/16/16- 6/15/17

Build systems

Implement augmentation, Assume full responsibility for routine operations 10/01/16 Conduct 2017 survey (reference date 3/17) responsibility for routine operations 10/01/16

Conduct 2017 survey

4/17)

Build systems

Assume full responsibi lity for routine operations 10/01/16 responsibilit y for routine

10/01/16

2: 6/16/17- 6/15/18

Assume full responsibility for routine operations 06/16/17 Implement augmentation

Prepare 2018 SA directory Prepare 2018 MH directory

Continue routine operations

Conduct 2018 survey

3/18)

Continue routine operations Conduct 2018 survey

4/18)

Prepare quarterly

NOMS

files and summary tables beginning 6/16/17 Prepare quarterly

NOMS

files/tables

Assume full responsibi lity for responsibilit y for routine operations Prepare

2017 URS

Tables

3: 6/16/18- 6/15/19

Implement augmentation

Prepare 2019 SA directory Prepare 2019 MH directory

Continue routine operations

Obtain OMB approval Conduct 2019 survey

3/19) operations Conduct 2019 survey

4/19) operations Prepare quarterly operations Prepare

2018 URS

Tables

4: 6/16/19- 6/15/20

Implement augmentation

Prepare 2020 SA directory Prepare 2020 MH directory

Continue routine operations

Conduct 2020 survey

3/20) operations Obtain OMB approval Conduct 2020 survey

4/20) operations Prepare quarterly operations Prepare

2019 URS

Tables

5: 6/16/20- 6/15/21

Prepare 2021 SA directory Prepare 2021 MH directory

Continue operations Prepare quarterly operations Prepare

2020 URS

Tables

LOCATOR

FILES /

REPORTS /

DOCUMENTATI

ON

CROSS-

CUTTING

PROJECTS

STATE DATA

AGREEMENT

S

SPECIAL

PROJEC

TS

1: 9/16/16- 6/15/17

Build systems Build systems

Arrange meetings/ other crosscutting activities Assume full responsibility for routine

01/16/17

Build systems

Conduct special projects and analyses

2: 6/16/17- 6/15/18

Continue routine

Prepare 2017 NSSATS report and files Prepare 2017 NMHSS report and files Prepare 2016 TEDS-A reports and files Prepare

2015TEDS-D

Report and files Prepare 2016 MH client reports and files

Begin management of State agreements on 06/16/17 operations

3: 6/16/18- 6/15/19

Prepare 2018 and files Prepare 2018 NMHSS report and files Prepare 2017 TEDS-A reports and files Prepare

2016TEDS-D

Report and files Prepare 2017MH

LOCATOR

FILES /

REPORTS /

DOCUMENTATI

ON

CROSS-

CUTTING

PROJECTS

STATE DATA

AGREEMENT

S

SPECIAL

PROJEC

TS

4: 6/16/19- 6/15/20

Prepare 2019 and files Prepare 2019 NMHSS report and files Prepare 2018 TEDS-A reports and files Prepare

2017TEDS-D

Report and files Prepare 2018MH operations

5: 6/16/20- 6/15/21

Continue routine operations

Participate in transition

Prepare 2020 NSSATS report and files Prepare 2020 NMHSS report and files Prepare 2019 TEDS-A reports and files Prepare

2018TEDS-D

Report and files Prepare 2019MH client reports and files Participate in transition

Continue routine operations

Participate in transition

Continue routine operations Participate in transition

Continue routine operations Participate in transition

B. Specific Requirements.

The Contractor shall fulfill the objectives of this task order by performing the following tasks:

TASK I: Project Management

Project management is defined as internal Contractor management activities as well as all forms of communication between the Contractor and SAMHSA, to include the following activities:

Subtask A - Coordination, Planning, and Quality Control.

The Contractor shall develop and implement methods to ensure that project tasks and subtasks are coordinated so that work progresses in an orderly, efficient manner. The Contractor shall also develop and implement a method for planning future project activities so that tasks are completed within expected time frames and budgets. The Contractor shall also implement quality control procedures to monitor and evaluate the quality of the products that will be delivered.

Subtask B - Management Meetings and Communications.

1. The Contractor shall meet with the COR and other individuals designated by the COR for their technical expertise and substantive interest in the project. These meetings shall be held at designated intervals during the course of the project (up to six meetings per year) in the Washington, D.C. area and onsite at the Contractor’s facility. The first meeting shall be held within 14 days of the CED. The purpose of the meetings shall be to review the progress of work, specific deliverables, and future plans under the task order. One (1) week after the meetings, the Contractor shall submit minutes of the meeting, via email, to the COR for review and approval. The minutes shall include a synopsis of presentations/discussions and a listing of all decisions made at the meeting.

2. In addition to these periodic meetings, the Contractor shall participate in formal conference calls with the COR, as frequently as once a week, to review progress, identify problems, and discuss possible solutions to problems. The Contractor shall submit conference call notes to the COR and other designated staff via email, listing all discussions and decisions made during the call, within two (2) days after the conference call.

3. It is anticipated that less formal communications between the CBHSQ staff and the Contractor shall also occur as needed.

4. In consultation with the COR, the Contractor shall develop and maintain a “BHSIS

Documentation” internal, password protected website, making available to BHSIS Contractor staff, the COR, and other designated SAMHSA staff contract documents, reports, minutes, and materials developed under the contract, or for the use of this contract, as well as historical documentation that will be provided by the COR. These documents and materials shall be arranged by BHSIS activity.

The Contractor shall update the website as new documents and materials are completed. In consultation with the COR, the Contractor is responsible to grant and deny access to users of the website.

Subtask C - Project Tracking.

The Contractor shall track routine and special initiatives by means of spread sheets or other means mutually agreed upon by the COR and the Contractor. The spread sheet(s) shall list by task, individual projects or deliverables, date added, lead person assigned to the project/deliverable, expected completion date, and comments on progress, and other information as requested by the COR. The Contractor shall update the spread sheet on a weekly basis with new updates indicated by highlighting or other mutually agreed upon methods and submit it to the COR by e-mail. The list shall be divided into a task-completed section and a task-in-process section.

Subtask D - Monthly Progress Report.

By the 10th day of the second contract month (or other fixed date mutually agreed upon by the COR and the Contractor), and monthly thereafter, the Contractor shall submit a “Monthly Progress Report” to the COR.

The report should be brief, contain both narrative and table/chart formats (when appropriate), be signed by the Contractor’s project manager, and address the following specifics for each task:

1. Contract number, title and year of project, reporting period covered, Contractor’s current name, address, and telephone number;

2. Summary of significant accomplishments, and results obtained, etc.;

3. Indicate current or anticipated problems which may impede performance and schedules, to include proposed corrective actions;

4. State the goals for the next month and provide a brief discussion of significant work to be performed. Address the goals stated from the prior months, and briefly address to what extent each goal has been met, with an explanation for any goals not met;

5. Indicate status of overall progress, particularly any problems affecting deadlines for deliverables.

The critical nature of certain deadlines may require greater consideration than a monthly report can provide. Therefore, at the first indication that a deliverable may be in jeopardy, a verbal and/or email alert of the problem shall be communicated to the COR;

6. Summary of personnel time in hours for the last month by task (or major subtask, if more appropriate) and estimated percent of total time expended;

7. Chart of costs by task (or major subtask if more appropriate) for the month and cumulative total in a format designated by the COR; in addition, the report shall comment on the expenditure of funds in any month that deviates from the expected expenditure. Each quarter, the cumulative total for each task shall be addressed relative to the planned budget. Negative reports shall be included.

8. Financial status table, in a format designated by the COR, that displays for each year of the task order by core task order technical tasks, State subcontracts, and optional tasks, the funds to date that have been obligated, expended, committed, projected to be expended. Since the contract is considered “severable,” no funds shall be carried over from previous years.

9. Appropriate EVMS information or data (see Deliverable in Section C.1C.I). The specific format of the EVMS data to be included in the monthly report shall be discussed with the COR after award of the contract. Submission of EVMS data will support SAMHSA’s Earned Value Management (EVM) report to the Office of Management and Budget (OMB).

10. A monthly listing of Internet “hits” to electronic media on Contractor hosted webpages shall be included, by document/file or other Internet address link.

Subtask E – Authorization to Operate (ATO).

1. The contractor shall help prepare and maintain OMB required forms and other paperwork (e.g., OMB’s

Exhibit 300s and Exhibit 53) involved in major IT investments (see Deliverable in Section C.1C.I).

2. Within four (4) weeks after the CED, the Contractor shall create and submit draft system’s Privacy Impact Assessments, Entity Relationship Diagrams, Physical and Logical diagrams, information types along with data types and related relationship diagrams for the data that is being stored, processed and transmitted within the system.

3. Within four (4) weeks after the CED, the Contractor shall meet with the COR and Chief Information Security Officer at a Privacy and Security Kick Off meeting to plan an implementation schedule that attains an ATO prior to system entering the production stage. (This meeting can be held virtually.)

4. The contractor is responsible for submitting all required materials 30 days prior to the ATO anniversary date for review by the SAMHSA Security team, and contractor must follow SAMHSA continuous monitoring schedule.

Note: Contractor is advised that the data residing within this system should be categorized as “MODERATE” and must obtain Authorization to Operate (ATO) before system gets deployed into the production environment. Please see SAMHSA Division of Technology Requirements section C.4.E for more ATO details.

TASK II: Operate and Maintain the Inventory of Behavioral Health Services (I-BHS)

Subtask A - Connectivity for I-BHS Operations.

The Contractor shall provide the necessary hardware and software required to operate the I-BHS system.

Subtask B - Full I-BHS Operations.

1. During Year 1 of the contract, the Contractor shall, either using the software that has been developed and used by the incumbent contractor or an alternative with equal or better functionality, build and test the systems necessary for full I-BHS operations. A report of the testing shall be submitted to the COR at 6 months and monthly thereafter until year 2. The report should be brief, contain both narrative and table/chart formats (when appropriate), and be signed by the Contractor’s project manager.

2. Beginning in Year 2 of the contract, the Contractor shall be responsible for continuously updating the I-BHS, based on information received from a variety of sources (e.g., CBHSQ, State behavioral health agencies, facilities, surveys, augmentation procedures, etc.). The Contractor shall provide updated Locator information to keep the Locator current. The Contractor shall be responsible for quality control, preparation of special queries, data entry, and generating reports and data files as requested by the COR. The Contractor shall also be responsible for responding to e-mail queries sent through the Locator’s feedback mechanism. A monthly accounting report of I-BHS facilities shall be submitted to the COR. This monthly accounting shall separate substance abuse facilities from mental health facilities. Substance abuse facilities shall be further separated by state approved and non-state approved status.

3. The Contractor shall operate a toll-free telephone line to facilitate communication between State representatives regarding updates to the I-BHS. The service shall be available to callers between the hours of 8:00 a.m. and 6:00 p.m., Eastern Time, Monday through Friday, with the exception of Federal holidays.

4. The Contractor shall maintain and update, as necessary, the operations manual. Recommendations for modifications shall be submitted to the COR for approval.

5. The Contractor shall produce computer-generated provider listings and electronic files to be used by States and the CBHSQ in connection with the N-SSATS and N-MHSS surveys and in response to other special requests. The Contractor shall maintain an electronic file of the I-BHS extract for the N-SSATS and N-MHSS survey mailing lists.

6. The Contractor shall produce address label files for SAMHSA mailings. Assume up to 5 such requests each year.

7. The Contractor shall maintain and update listings of State Substance Abuse Agency Directors, State Mental Health Agency Directors, State I-BHS representatives, N-SSATS representatives, N-MHSS representatives, TEDS representatives, and State BHSIS Data Plan Managers, and State Opioid Treatment Authorities (SOTAs).

Subtask C - Augmentation of I-BHS.

CBHSQ conducts annual “augmentation” efforts to identify new or missing facilities in the I-BHS through periodic searches of external provider listings to add new facilities. Each year of the contract, the Contractor shall develop, for review and approval by the COR, a detailed written plan and schedule for a combined substance treatment facility, substance abuse/mental health treatment facilities and mental health treatment facility augmentation effort for the I-BHS. After approval, the Contractor shall implement the plan in each year of the contract. The annual augmentation shall include, but is not limited to, the following:

1. The Contractor will be provided by CBHSQ detailed information regarding the operations and software utilized in conducting the augmentation. The Contractor shall develop a working knowledge of this material in preparation for the implementation of the augmentation calls as early as November 2016;

2. The Contractor shall identify and assess any additional relevant files or other sources and assess their appropriateness for identifying treatment facilities not in the I-BHS; gain access to the relevant files; match acquired files against the current I-BHS facility files for identification of missing facilities; and document the matching passes and file management. Currently, the sources for the augmentation include the N-SSATS, the N-MHSS, AHA, ABI, and various mental health associations;

3. The Contractor shall review the most recent augmentation form and the augmentation procedures and make recommendations for modifications needed to improve the identification of new substance abuse treatment facilities and mental health treatment facilities. The Contractor shall assess, modify, and refine the computer assisted telephone interviewing (CATI) version of the augmentation screener, and test and demonstrate the CATI procedures and instrument to the satisfaction of the COR before implementation;

4. The Contractor shall develop formal training materials for a training session for CATI interviewers and, following approval by the COR, conduct the training. The training shall be conducted at the Contractor’s facilities and the Contractor is responsible for any travel arrangements and costs associated with assembling interviewers at the training site;

5. Using CATI methodology, the Contractor shall conduct the screening calls, keeping accurate and complete accounting of the matching and screening process;

6. The Contractor shall record all CATI calls for quality control. These tapes (and transcription) shall be made available to the COR upon request.

7. After completing screening interviews, the Contractor shall determine which newly identified treatment facilities are unique and which are duplicates of facilities already on the I-BHS, and add the unique facilities to the I-BHS with the appropriate origin code, whether substance abuse or mental health;

8. Following completion of the augmentation activities, the Contractor shall prepare and submit two

(2) reports on augmentation activities: (1) a methodological report describing the approach taken, lists searched, matching procedures, etc.; and (2) a data report presenting augmentation outcomes including separate entries for substance abuse treatment facilities and mental health treatment facilities. Following COR review and approval of draft reports, electronic versions of final reports shall be submitted in a format specified by the COR.

9. The Contractor shall explore alternative methods of data collection for the augmentation screener that can facilitate updates to the list of facilities to be included in the N-SSATS or the N-MHSS.

TASK III: Conduct the National Survey of Substance Abuse Treatment Services (N-SSATS)

The N-SSATS is conducted every year. The full cycle of planning, obtaining clearances, pretesting, data collection, data processing, and data analysis, however, spans a period of approximately three (3) years. N- SSATS is conducted on an annual basis alternating between the fielding of a locator/special topics (Version B) survey in even-numbered years with the fielding of a locator/client counts (Version A) survey in odd-numbered years. Both versions of N-SSATS shall collect statistical data on the numbers, characteristics, and services of substance abuse treatment facilities, nationwide and shall be used to provide an update to the substance abuse treatment facility portion of the Behavioral Health Treatment Services Locator/Directory. Version A N-SSATS shall collect additional statistical data on facility characteristics and on the numbers and characteristics of persons served. The Version B N-SSATS shall collect additional data of topics of special interest, for example, workforce characteristics. Full cycles of the 2017, 2018, 2019, 2020 surveys shall be conducted under this task order (Version A in 2017 and 2019 and Version B in 2018 and 2020) and will include the subtasks outlined below with work beginning in year 1 of the contract.

Subtask A - N-SSATS Preparation and Data Collection.

1. Within three (3) weeks of contract award and by July 1st of succeeding year, the Contractor shall develop and submit to the COR for approval, a schedule for initiating and completing each of the N-SSATS activities described in this task.

2. The Contractor shall review the web-based, mail, and CATI questionnaires and procedures used in the previous year’s N-SSATS and submit written recommendations to the COR for revisions for the upcoming year. The Contractor should assume that the N-SSATS questionnaires will undergo substantial revisions every three years, prior to the request for renewed OMB approval. Minor revisions in format and adjustments to wording that do not require OMB approval may be made in between OMB approvals.

3. In consultation with the COR and designated CBHSQ staff, representatives of the States and other data users, the Contractor shall develop, revise and pretest the N-SSATS questionnaire, including web-based and mail versions. Pretesting may include focus groups, trial completion of questionnaires with telephone debriefing of respondents or other methods. Two (2) weeks after pretesting is completed, the Contractor shall submit to the COR a Pretest Report and recommendations for final questionnaire. Every three years, prior to a request for renewed OMB approval, the Contractor shall conduct a “major” pretest with a sample size of 150-200 facilities.

This pretest will require its own OMB approval. In the years between OMB approvals, the pretests must be conducted in such a way that OMB approval is not required (i.e., the same set of questions cannot be administered to more than nine (9) respondents).

4. OMB approval for the N-SSATS data collection expires on December 31, 2018, before the initiation of the 2019 N-SSATS. Therefore, OMB approval must be renewed before the start of the 2019 N-SSATS survey. It is anticipated that a new OMB approval will be obtained by CBHSQ in late 2018, to allow initiation of the 2019 N-SSATS survey on schedule in 2019. The Contractor shall have primary responsibility for preparation of any additional materials that might be needed to complete the final OMB clearance process. OMB clearance shall be obtained prior to programming and printing of the 2019 N-SSATS beginning approximately in January 2019. The Contractor shall also have prime responsibility for initial preparation of any OMB clearance submissions for renewals and revisions during the subsequent years of this task order. The COR will provide a complete copy of the submission for the currently approved instruments and procedures. A period of at least 150 days must be allowed for the initial public comment period and the DHHS and OMB reviews.

5. The Contractor shall collaborate with substance abuse agency staff designated as the N-SSATS and

I-BHS contacts in each State and Territory, and shall maintain an up-to-date listing of these contacts on the BHSIS Resource Center at https://bhsisresourcecenter.smdi.com/ and the BHSIS project website at http://wwwdasis.samhsa.gov/dasis2/index.htm . The Contractor shall work closely with the state N-SSATS and federal contacts to solicit state letters of support for the survey (to be included in the survey packets mailed to respondents), obtain assistance in non-response follow up, and seek state input on other facility-related issues. The Contractor shall provide states with lists of non-responding facilities after the second survey packet mailing (see below.) If requested by States, the Contractor shall provide mailing labels for the non-responding facilities.

6. The Contractor shall operate a toll-free telephone line and e-mail address to facilitate communication between the Contractor and the States and to serve as a “helpline” for facilities to use when they have questions about or problems with responding to the N-SSATS.

7. The Contractor shall be responsible for creating and maintaining an N-SSATS information website, displaying definitions for terms in the questionnaire, frequently asked questions, etc., for use by N- SSATS respondents. The current website can be accessed at http://info.nssats.com during the active data collection period.

8. The Contractor shall develop a web-based version of the N-SSATS questionnaire and associated instructions and procedures for informing facilities of this response option. The web-based version of the questionnaire shall have data that does not typically change from year to year pre-filled with the previous year’s data so that the respondent need only verify correctness of data (or change where necessary.) As many variables as possible shall be pre-filled. The Contractor shall be responsible for maintaining the website and the security of the data, receiving responses and assuring their security, and providing assistance to facilities choosing the web option. The survey data received via the web shall be subject to the same editing and processing procedures as data received by mail, although as many edits as possible should be built into the web-based instrument.

9. The Contractor shall be responsible for reproduction of the N-SSATS questionnaire and supplying, developing and/or reproducing other materials to be included in the survey packet (e.g., State letters of support, advance letter and cover letter, survey fact sheet, web instruction sheet, postage-paid return envelope, etc). The Contractor shall also develop, subject to COR’s review and approval, a plan for imprinting facility mailing information and other facility identifiers on the questionnaire.

The questionnaire shall be printed in a format that permits scanning of completed questionnaires onto CD-ROM.

10. The Contractor shall develop respondent letters and paper questionnaires in Spanish for facilities operating in Spanish-speaking areas. The Contractor shall also provide bilingual interviewers for the CATI mode of the survey and assist with the helpline.

11. The Contractor shall be responsible for mailing the survey packets to each of the N-SSATS eligible treatment facilities on the I-BHS. The first mailing shall be timed so that facilities receive the questionnaire on or about the last working day of March of each contract year. To encourage facilities to respond primarily by web, the first two mailings need not include a printed version of the questionnaire; however, instructions on how to request a printed copy and instructions on how to review/download a preview version of the printed copy shall be included in the mailings. The Contractor, in conjunction with the COR, shall determine the timing of a second mailing. The Contractor, in conjunction with the COR, shall determine the timing of a third mailing and shall include a printed version of the questionnaire, as well as all other materials as indicated in #9 above. All mailing costs shall be paid from contract funds, including postage, envelopes, printing, processing and handling, etc. (The Government will not provide franked, postage-paid envelopes, nor shall any burden for return postage be placed on facilities). All questionnaire mailings will use first class postage. Any special, targeted mailings to increase response rates of select groups of respondents may use priority postage.

12. The Contractor shall develop, subject to COR’s review and approval, procedures for maximizing mail and web questionnaire response rates. These procedures may include postcards, e-mails, faxes, special mailings, and reminder telephone calls. The Contractor shall develop and implement a system for tracking these contacts.

13. The Contractor shall develop, subject to COR’ s review and approval, procedures for administering the N-SSATS questionnaire via CATI to facilities that have failed to respond by mail or by web.

The Contractor shall be responsible for all aspects of CATI data collection, including (1) questionnaire development and programming, and (2) interviewer training materials and formal interviewer training. The Contractor shall conduct at least two (2) interviewer debriefings - one shortly after CATI data collection has started to identify problems that need to be fixed, and another after data collection has concluded. The Contractor shall submit a written summary of each debriefing to the COR.

14. The Contractor shall be responsible for locating, contacting, and collecting data from the facilities, including follow-up with initial non-respondents, within a six to seven (6-7)-month field period.

The Contractor shall be responsible for calculating the survey response rate achieved during the this field period. For this purpose, response rate shall be defined as the number of useable responses, divided by the number of facilities on the initial N-SSATS list frame, minus the number of facilities determined to be closed on the survey reference date, minus the number of facilities determined to be otherwise ineligible on the survey reference date, plus the number of “new” facilities identified during the survey and for which data was received.

15. The Contractor shall develop, subject to the COR’s approval, a detailed system for tracking and monitoring questionnaire status throughout all stages of the survey process. The tracking system shall produce a status report for weekly submission to the COR that summarizes response rates by State. The status report shall present the following variables (at a minimum) for each State and each Federal agency which owns/operates facilities: (1) number of survey packets mailed, (2), number of additional facilities added during the course of the survey fielding (3) number of facilities completing the paper questionnaire, web questionnaire and CATI interview, (4) number of facilities closed, (5) number of refusals, etc. For CATI contacts, additional outcomes shall be tracked (e.g., non-working numbers, answering machines). The tracking system shall be made accessible to editors and CATI interviewers so that they can readily check on the status of networked facilities.

16. The Contractor shall develop and implement a system for transmitting information from returned

N-SSATS questionnaires, the web version, and the CATI version which have changes made to the facility information (director’s name, facility name, location and mailing addresses, phone numbers, etc.) to I-BHS staff so that the I-BHS can be updated. This shall occur on a flow basis.

17. Prior to the programming of the web version of the questionnaire, the Contractor shall develop and implement, subject to COR’ s review and approval, manual editing specifications and a listing of critical data items. These specifications and critical data items shall be implemented into the web and CATI versions of the questionnaire. For the paper version of the questionnaire, critical items that are blank, incomplete or answered inconsistently must be resolved during the editing process with phone calls or e-mails to the respondent.

18. The Contractor shall develop and implement, subject to COR’ s review and approval, a formal training program for editors and associated staff working on all aspects of the survey. The Contractor shall conduct at least two (2) editor debriefings – one shortly after editing has started to identify problems that need to be fixed, and another later in the editing period. The Contractor shall submit a written summary of each debriefing to the COR. These debriefings may be combined with the CATI debriefings.

19. After editing has commenced, the Contractor shall submit to the COR, on a weekly basis, an editing status report that indicates (1) the number of questionnaires for which editing is completed, (2) the number requiring edit call backs, (3) the number of call backs resolved, (4) the average time per edited questionnaire and callback, (5) total call back/edit hours, (6) number sent for data entry (keying), and (7) number for which data entry has been completed. Data on edits and call backs shall be reported separately for mail and web questionnaires.

20. Within two (2) months after compilation of the merged data file (see below) the Contractor shall submit for COR review and approval, a report on the operational aspects of conducting the annual N-SSATS. The report must include a copy of all materials produced in connection with the survey, such as advance letters, a copy of the mail questionnaire and other components of the survey packet; letters, emails, faxes or copies of other contacts with respondents, an electronic version of the CATI questionnaire; the content of each screen from the web questionnaire; edit specifications and editor training manuals; CATI training manuals; machine cleaning specifications; CATI and editor debriefings; and a description of the procedures used. The report must also include a description of problems encountered and recommendations for procedures that should be maintained, modified or substantially redesigned.

21. The Contractor shall explore (and implement, subject to the approval of the COR) alternative methods of data collection for the N-SSATS that can reduce facility burden and expand the options for responding to the survey. Examples may include, but are not restricted to: scalable/mobile version of N-SSATS allowing completion via smartphone or tablet, or other options taking into consideration the advances in technology.

Subtask B - N-SSATS Data Processing

1. The Contractor shall enter and clean the data in order to produce a data file. The machine cleaning specifications shall be reviewed and approved by the COR prior to implementation. The Contractor shall provide listings of responses that are outliers (unusually large or small numbers) or inconsistent with other responses that were unable to be resolved through callbacks and shall make recommendations for handling each case. Codes shall be developed to distinguish “true zeroes” from missing data and to distinguish “refusals” from “don’t knows.” All “other” responses shall be entered and coded.