UPDATED_RFP_283-22-0568 Attachment 1a PWS_11.05.2021.docx

Performance Work Statement (PWS)

PROJECT TITLE: “2023-2027 NATIONAL SURVEY ON DRUG USE AND HEALTH (NSDUH)”

I. Background Information and Contact Objectives

A. Background

1. General Description of NSDUH The mission of the Substance Abuse and Mental Health Services Administration (SAMHSA) of the U.S. Department of Health and Human Services (HHS) is to reduce the impact of substance abuse and mental illness on America’s communities. To accomplish its work, SAMHSA administers a combination of competitive, formula, and block grant programs and data collection activities. Within SAMHSA, the following Centers administer and manage the various programs and data collection activities: The Center for Mental Health Services (CMHS); the Center for Substance Abuse Prevention (CSAP); the Center for Substance Abuse Treatment (CSAT); and the Center for Behavioral Health Statistics and Quality (CBHSQ). Part of CBHSQ’s mission includes the collection, analysis, and dissemination of national and state level behavioral health data on substance use and mental health, related health conditions, the supply and utilization of behavioral health services, the operation of behavioral health services in specialty and primary care facilities, costs of behavioral health care, service utilization, and changes in behavioral health outcomes. The National Survey on Drug Use and Health (NSDUH) is sponsored by SAMHSA and is managed by CBHSQ. NSDUH provides data on the prevalence of substance use and mental illness as required by Section 505 of the Public Health Service Act (42 USC 290aa4). Conducted on a periodic basis from 1971 through 1988, and annually since 1990, NSDUH provides current data on substance use and mental health for the U.S. civilian, non-institutionalized population aged 12 or older. Since 1999 NSDUH has provided data for each State and the District of Columbia. Section 505 of the Public Health Service Act requires that these data must be collected annually.

NSDUH funding comes from the authorization of appropriations found in Section 1935 of the Public Health Service Act. That section permits SAMHSA to obligate five percent of the amounts appropriated for the Substance Abuse Prevention and Treatment (SAPT) Block Grants for technical assistance, data collection, and program evaluation. “Data collection” is defined in this section as those activities that carry out the provisions of Section 505 of the Public Health Service Act, as well as data infrastructure development.

The NSDUH data collection has a multiple applications, including: (1) the epidemiological study of substance use and mental health; (2) the monitoring of substance use and mental health patterns and trends; (3) the identification of licit and illicit substances being used (including those causing/contributing to medical, psychological, or social problems requiring emergency medical care or rehabilitation); (4) the study of the use of health care resources for treatment of substance use and mental health problems; and (5) assisting Federal, State and local agencies in the allocation of resources, and the proper design and implementation of substance abuse prevention, treatment, and rehabilitation programs.

SAMHSA and many other Federal agencies interested in substance use and mental health (e.g., the National Institute on Drug Abuse [NIDA], the Centers for Disease Control and Prevention [CDC], the Office of National Drug Control Policy [ONDCP], the National Institute of Mental Health [NIMH]) use NSDUH data to: (1) design prevention programs, (2) respond to inquiries on the extent of substance use and mental illness, (3) estimate treatment need, (4) study the socioeconomic effects of substance abuse, (5) identify correlates of substance use and mental illness, and (6) evaluate the overall effects that Federal and State programs have on drug demand. NSDUH data provide a useful indicator of individual States’ success at reducing youth substance use. In conjunction with other data sources, the survey provides a means for assessing and improving the outcomes of prevention and treatment services. SAMHSA uses NSDUH data to help identify geographic areas where substance use problems exist and provide assistance to States to help them develop and adopt targeted responses for those problems. In addition, many special requests for statistical information emanate from the White House, Congress, and various State and local government agencies. The survey questionnaire asks for the minimum information necessary to meet the needs of Federal and other policy makers concerned with mental health services and substance use prevention and treatment.

HHS continues to affirm the need for annual NSDUH surveys as essential to the President’s annual National Drug Control Strategy and other Federal objectives related to substance use. NSDUH is the nation’s principal source of national data for the general population on substance use and mental illness; its continuation will ensure that SAMHSA will comply with statutory requirements and Federal, State, and local agencies will have timely data available for release on an annual basis. The ability to respond effectively and efficiently to the continually changing dynamics of the drug culture is critical to sound prevention and treatment strategies.

NSDUH is a survey of the civilian non-institutionalized population of the United States. Households are sampled using a stratified, multi-stage area probability design. Data collection is facilitated through the use of personal, in-home interviews and web survey. A household screening procedure is used to determine respondent eligibility to participate in a voluntary 65-minute interview. Each in-person interview consists of both interviewer-administered and self-administered questions (the latter method is used to increase confidentiality of information). Web interviews are entirely self-administered. Both modes of the interview incorporate several procedures to ensure that respondents’ privacy will be protected. As part of the process for obtaining informed consent, respondents are provided with a document, which includes information on Section 501(n) of the Public Health Service Act and the protection that it affords. Specifically, Section 501(n) states that respondents’ answers will only be used for research and analysis and cannot be used for any other purpose (see Children’s Health Act of 2000, became Public Law 106-310 on October 17, 2000, page 70 of 146, paragraph titled: “(n) Limitation on the Use of Certain Information”). This information was incorporated into the interviewing materials beginning with the 2001 survey. Prior to 2001, a certificate of confidentiality was used for this purpose.

On November 9, 2006, the Office of Management and Budget (OMB) designated SAMHSA’s Office of Applied Studies (OAS) (now CBHSQ) as a Federal statistical unit. As a result, CBHSQ is required to follow the Confidential Information Protection and Statistical Efficiency Act of 2002 (CIPSEA) implementation guidelines established by OMB for use by all statistical agencies and units in the Federal government. Various NSDUH materials that are read to, or by, the respondent, including the lead letter, study description, and question and answer brochure, have been revised to incorporate the CIPSEA language. These revised materials were fully implemented in the 2008 NSDUH.

CIPSEA, included as Title V in the E-Government Act of 2002 (became Public Law 107-347 on December 17, 2002), provides a uniform set of confidentiality protections to all individually identifiable data collected for statistical purposes under a pledge of confidentiality. Under CIPSEA, penalties are imposed for willfully disclosing information to a person or agency not entitled to receive it; unlawful disclosure could be considered a Class E felony with up to five (5) years imprisonment or fines not to exceed $250,000.

2. Use of NSDUH to Collect Information on Mental Health Because mental health problems and substance use are correlated, SAMHSA determined that NSDUH is an appropriate survey to include questions on mental health status and utilization of mental health services. Including questions on mental health status – in conjunction with questions on substance use, treatment for substance use, and mental health services – greatly enhances SAMHSA’s ability to describe the co-occurrence and treatment of substance use and mental health problems in the U.S.

Public Law No. 102-321, the Alcohol, Drug Abuse, and Mental Health Administration Reorganization Act of 1992, established a block grant for U.S. States to fund community mental health services for adults with serious mental illness (SMI). The law required States to include prevalence estimates in their annual applications for block grant funds. This legislation also required the Substance Abuse and Mental Health Services Administration (SAMHSA) to develop an operational definition of SMI. SAMHSA defined SMI as persons aged 18 or older who currently or at any time in the past year have had diagnosable mental, behavioral, or emotional disorder (excluding developmental and substance use disorders) of sufficient duration to meet diagnostic criteria specified within the 4th edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM-IV) (American Psychiatric Association [APA], 2013) that has resulted in serious functional impairment, which substantially interferes with or limits one or more major life activities. SAMHSA plans to update the definition of SMI to align with the DSM-5 during the next contract cycle.

3. Use of NSDUH Data to Satisfy Federal Goals and Priorities

a. SAMHSA Strategic Plan In order to achieve its mission, SAMHSA has identified five priority areas to better meet the behavioral health care needs of individuals, communities, and service providers. The five priority areas are:

· Combating the Opioid Crisis through the Expansion of Prevention, Treatment, and Recovery Support Services.

· Addressing Serious Mental Illness and Serious Emotional Disturbances.

· Advancing Prevention, Treatment, and Recovery Support Services for Substance Use.

· Improving Data Collection, Analysis, Dissemination, and Program and Policy Evaluation.

· Strengthening Health Practitioner Training and Education.

SAMHSA’s work is guided by five core principles that are being infused throughout the Agency’s activities. The five core principles are:

· Supporting the adoption of evidence-based practices.

· Increasing access to the full continuum of services for mental and substance use disorders.

· Engaging in outreach to clinicians, grantees, patients, and the American public.

· Collecting, analyzing, and disseminating data to inform policies, programs, and practices.

· Recognizing that the availability of mental health and substance use disorder services are integral to everyone’s health opportunities (see http://www.samhsa.gov/about-us/strategic-initiatives ).

b. Department of Health and Human Services Priorities An objective for the Secretary of the Department of Health and Human Services (DHHS) is to “Reduce the impact of mental and substance use disorders through prevention, early intervention, treatment, and recovery support.” The Department is expanding prevention, screening, and early identification of serious mental illness and substance abuse through the following strategies:

· Apply a public health approach for preventing opioid misuse, opioid addiction, and opioid overdose deaths including through promoting safer prescribing practices

· Educate and empower individuals and communities, including partnerships with Tribes and faith-based and community organizations, to recognize the signs of serious mental illness and substance abuse to encourage screening and identification of such problems

· Ensure early screening of children and youth to identify those with or at risk for serious emotional disturbance or substance use disorders, and expand access to integrated mental health or substance use disorder services

· Increase screening for depression, suicide risk, substance use, dementia, and other behavioral disorders in schools, emergency departments, and inpatient and outpatient settings

· Encourage healthcare providers’ use of screening and brief intervention approaches for alcohol, opioid, and other substance use disorders to reduce consequences of risky behavior, including effects of harmful substance use in pregnancy

· Support adoption of other evidence-based prevention strategies, including environmental strategies and community capacity/mobilization strategies, to prevent substance misuse and substance use disorders

· Prevent suicides and suicide attempts by expanding evidence-based approaches for adults and youth and helping State, Tribal, local, and territorial governments and communities take advantage of the best available evidence to prevent suicide https://www.hhs.gov/about/strategic-plan/strategic-goal-2/index.html

c. Healthy People 2030 Objectives NSDUH will continue to be a critical data source for many “Healthy People (HP) 2030” objectives. Examples of specific 2030 objectives that use NSDUH data are provided below (see: https://health.gov/healthypeople/objectives-and-data/data-sources-and-methods/data-sources/national-survey-drug-use-and-health-nsduh ).

· Increase the proportion of adolescents who have an adult they can talk to about serious problems (AH‑03)

· Increase the proportion of adults with serious mental illness who get treatment (MHMD‑04)

· Increase the proportion of adults with depression who get treatment (MHMD‑05)

· Increase the proportion of adolescents with depression who get treatment (MHMD‑06)

· Increase the proportion of people with substance use and mental health disorders who get treatment for both (MHMD‑07)

· Increase abstinence from alcohol among pregnant women (MICH‑09)

· Increase abstinence from illicit drugs among pregnant women (MICH‑11)

· Increase the proportion of people with a substance use disorder who got treatment in the past year (SU‑01)

· Reduce the proportion of adolescents who drank alcohol in the past month (SU‑04)

· Reduce the proportion of adolescents who used drugs in the past month (SU‑05)

· Reduce the proportion of adolescents who used marijuana in the past month (SU‑06)

· Reduce the proportion of adults who used drugs in the past month (SU‑07)

· Reduce the proportion of adults who use marijuana daily or almost daily (SU‑08)

· Reduce the proportion of people under 21 years who engaged in binge drinking in the past month (SU‑09)

· Reduce the proportion of people aged 21 years and over who engaged in binge drinking in the past month (SU‑10)

· Reduce the proportion of people who misused prescription drugs in the past year (SU‑12)

· Reduce the proportion of people who had alcohol use disorder in the past year (SU‑13)

· Reduce the proportion of people who had marijuana use disorder in the past year (SU‑14)

· Reduce the proportion of people who had drug use disorder in the past year (SU‑15)

· Reduce the proportion of people who used heroin in the past year (SU‑16)

· Reduce the proportion of people who started using heroin in the past year (SU‑17)

· Reduce the proportion of people who had opioid use disorder in the past year (SU‑18)

· Reduce the proportion of people who misused prescription opioids in the past year (SU‑19)

· Reduce the proportion of people who started misusing prescription opioids in the past year (SU‑20)

· Eliminate cigarette smoking initiation in adolescents and young adults (TU‑10)

The following links contain additional information on HP2030 objectives for specific topics using NSDUH data:

Tobacco Use:

https://health.gov/healthypeople/objectives-and-data/browse-objectives/tobacco-use

Substance Use:

https://health.gov/healthypeople/objectives-and-data/browse-objectives/drug-and-alcohol-use

Mental Health and Mental Disorders:

https://health.gov/healthypeople/objectives-and-data/browse-objectives/mental-health-and-mental-disorders

Adolescent Health:

https://health.gov/healthypeople/objectives-and-data/browse-objectives/adolescents

d. National Recovery Month The latest NSDUH findings are generally released in coordination with National Recovery Month activities held every September (http://www.recoverymonth.gov/). Data from NSDUH provides the latest national estimates of substance use and mental health indicators. Please consult the latest release of 2019 NSDUH findings from September 11, 2020 at this link: (https://www.samhsa.gov/newsroom/press-announcements/202009110221) for more information.

B. Contract Objectives

Maintain Data Comparability

The main objective of this contract is to continue the collection, analysis, and reporting of data on the incidence and prevalence of substance use and mental disorders at the national and state level for the 2023 through 2027 survey years. The data collected should be comparable across the years for the duration of the contract unless necessary changes to the survey preclude comparability. Any breaks in trends shall be with the explicit approval of the government COR.

Services to be Performed

The performance period of this contract shall be approximately 95 months (7 years, 11 months) from November 2021 through September 2029. It includes the data collection activities described below.

The Contractor shall account for project funding necessary to meet all requirements specified in Section 3, including but not limited to activities supporting IT security and privacy, Section 508 compliance, and web content development, management, and migration.

i. Independently, and not as an agent of the Government, the Contractor shall furnish the necessary personnel, labor, equipment, software, services, materials, and supplies except as otherwise noted specifically herein to perform the work set forth below.

ii. All work under this contract will be monitored by the COR.

II. BASE SURVEY 1: 2023 NATIONAL SURVEY ON DRUG USE AND HEALTH (NSDUH)

MAIN STUDY TASKS 1-10 AND OPTIONAL TASKS 1 THROUGH 3

TASK 1: Project Management, Reporting and Formal Meetings

Project management is defined as internal Contractor management activities not specific to any given task defined in the PWS, as well as all forms of interaction and communication between the Contractor and SAMHSA that is not specific to any task defined in the PWS. Any internal Contractor communication or communication between the Contractor and SAMHSA specific to a task defined in the PWS shall be considered part of that task and charged to the contract appropriately.

1. Monthly Progress Reports - The Contractor shall submit a letter-type monthly progress report to the COR and the Contracting Officer by the fifteenth (15th) business day of each month for the previous month (DELIVERABLE 1). The progress report must include a description of the following: (1) all activities performed for each task during the month; (2) problems encountered and proposed or enacted solutions; (3) plans for the upcoming month; (4) a listing of all requests for information and assistance that were completed and a listing of outstanding requests for information; (5) a brief discussion of the expenditure of funds; (6) a statement that indicates the percentage of the funds that have been expended; (7) a list of “significant” problems encountered, (8) a brief summary of progress toward meeting the performance goals, and (9) a statement as to whether the contract will be completed in accordance with the time frame specified in the delivery schedule and within the budgeted amount.

Other Monthly Reports

a. The Contractor shall submit to the COR a monthly Cost-to-Complete (CTC) report in an Excel document by the fifteenth (15th) business day of each month (DELIVERABLE 2). The CTC report must include monthly booked costs, forecasted costs, and budget variance across the entire life of the contract and broken down by survey year and project tasks. The specific format of the CTC report shall be discussed with the COR after award of the contract.

b. On a monthly basis, SAMHSA submits to the Office of Management and Budget (OMB) an Earned Value Management (EVM) report. To assist with that reporting, the Contractor shall submit to the COR a monthly Excel document with appropriate EVM data (DELIVERABLE 3). This document shall be submitted to the COR no later than the twentieth (20th) business day of each month. The specific format of the EVM data to be included in the monthly Excel document shall be discussed with the COR after award of the contract.

2. Meetings with Contractor - The Contractor shall meet with the COR within five (5) business days of the CED to discuss and resolve general issues, as well as specific priorities based on SAMHSA's current data needs. Conference calls between SAMHSA project principals and the Contractor’s Project Director and principals shall be held once per week, as needed, for the purpose of discussing the status of each phase of the project. In addition to weekly conference calls, formal management meetings between SAMHSA project principals and the Contractor’s Project Director and principals shall be held at twice per year (roughly every 6 months). These management meetings shall each be one full day and will convene at SAMHSA. Special topic meetings may be convened either the day before or the day after the management meeting. Special topic meetings may also be held independently of the management meetings in accordance with the COR. All special topic meetings shall be held on an as-needed basis and only include the SAMHSA project principals and Contractor principals directly involved with the specific topic being discussed. The Contractor shall document minutes at each management and special topics meeting and provide the minutes to SAMHSA.

3. Expert Consultant Meetings - The Contractor shall convene up to two 2-day formal meetings during this survey phase that addresses survey methodological issues of interest to SAMHSA. Participants shall include pertinent Contractor and SAMHSA program staff, and up to 15 consultants selected from Federal, State and local governments, private industry, and academia (number contingent upon agenda) to provide expert advice on a particular topic of interest that may arise. Contractors must consult with COR before selecting the consultants for approval. The meetings shall be held in the Washington, D.C. metropolitan area. Any necessary meeting materials will be specified by the COR and shall be prepared by the Contractor. A verbatim transcript of each meeting shall be provided to the COR (if requested). Summary transcripts or detailed meeting summaries, including recommended actions, shall be provided to all participants for review and comment. Upon receipt of any revisions/corrections, final summary transcripts shall be similarly distributed (DELIVERABLE 4).

The Contractor shall contract with up to 12 consultants and convene one 2-day Technical Expert Panel (TEP) meeting during this survey phase, with appropriate Contractor and SAMHSA staff, to provide expert advice on selected survey methodological issues as they arise (issues and date of meetings will be determined by the COR). Any necessary meeting materials will be specified by the COR and shall be prepared by the Contractor. The Contractor shall provide transcription services (if requested) and produce a detailed summary of each meeting (DELIVERABLE 5). Please note that the 12 consultants discussed here shall represent a standing committee of experts to provide advice on a wide variety of survey methodological topics.

Data Classification Note: Based upon preliminary review of the SOW the data residing within this system should be categorized as a “Moderate” and must obtain Authorization to Operate (ATO) before system gets deployed into the production environment. Please see Security and Privacy Requirements section ‘B’ for example deliverables for the ATO.

TASK 2: Instrument Assessment and Development

Using information provided by the COR and the SAMHSA instrumentation team:

1. The Contractor shall develop, in final form, electronic (CAPI/ACASI) survey data collection instruments (i.e., questionnaire and screening interview based on current SAMHSA requirements; e.g., separate English and Spanish versions of the questionnaire, separate web and in-person as needed, etc.). The instruments have been designed to maximize respondent cooperation and confidentiality, and the language of the questionnaire has been made appropriate for the target population. The Contractor shall prepare and submit the CAPI/ACASI software, installed in field equipment (e.g., laptops and screening computers), to the COR and SAMHSA staff for evaluation. The COR shall inform the Contractor the number of required units to submit. The Contractor shall submit the CAPI/ACASI software for the laptop, and an electronic version of the CAI specifications. The Contractor shall also submit the screening software along with the electronic version of the screening specifications. Copies of the draft version of the 2023 CAI specifications (English only) shall be submitted to SAMHSA, as well as highlighted copies of the final English and Spanish versions of the 2023 CAI specifications and highlighted copies of the final screening interview specifications (DELIVERABLE 6). The highlighting shall be done in a shade of gray and indicate text that has been modified from the previous year. Each copy must have a table of contents and be double-sided, tabbed, and spiral-bound. In addition, a section shall be included in each copy that contains a summary of changes between 2022 and 2023.

Changes may be made to questions in the 2023 field and web questionnaire. Other changes may include revisions to resolve errors or inconsistencies found in the 2022 questionnaire administered the previous year. Screening software may require modification to account for changes in the sample design and/or methodological considerations. Only the non-core portion of the questionnaire is generally subject to modification (i.e., questions necessary for the production of prevalence estimates for essential substance use measures are collectively referred to as the "core" component of the questionnaire and are rarely modified in order to ensure validity of trend data). If any additional major changes are required, proposed revisions will be provided to the Contractor by the COR. The Contractor shall revise/modify the module(s), as necessary, in preparation for laboratory testing. In consultation with SAMHSA program staff, the Contractor shall conduct cognitive laboratory testing, revise the questions/module(s) based on laboratory results, and submit the draft module(s) in CAPI/ACASI format to the COR for approval and final submission (as a part of DELIVERABLE 6).

Field administration of the instruments shall not exceed an average time of 65 minutes for the questionnaire, and approximately five (5) minutes for household screening.

Other associated interviewer materials, including all interviewer training and reference materials, shall be prepared and furnished by the Contractor (e.g., area sample maps, advance letters to prospective respondents, interviewer manual) in sufficient numbers to satisfy survey needs. Interview materials should reflect required Federal policy regarding confidentiality and informed consent issues. Pill images shall be updated, as necessary, to ensure inclusion of all major prescription drugs of abuse. A complete set of materials used by field interviewers shall be sent to the COR (DELIVERABLE 7).

2. OMB Clearance Package - The Contractor shall produce and submit to the COR a “NSDUH OMB 60-Day Notice” (DELIVERABLE 8) and a "NSDUH OMB Clearance Package" (DELIVERABLE 9). The clearance package must include a supporting statement and a complete set of exhibits (e.g., lead letter, question and answer brochure, pill card, controlled access package and other documents as specified by the COR). Prior to initiating work on the supporting statement, the Contractor shall coordinate with the COR to review current requirements and policies. The Contractor shall prepare the entire OMB package in electronic format that is compatible with OMB’s Information Request, Review and Approval System (ICRAS). Formatting specifics will be provided by the COR.

3. Field Test - The Contractor shall conduct a methodological field test on 2,000 respondents during the data collection year of this phase. A detailed protocol for this field test shall be developed cooperatively between SAMHSA program staff and Contractor personnel for inclusion in the respective NSDUH OMB package, as time permits (DELIVERABLE 10). The field test will collect data related to recalibrating the estimate(s) of mental illness using DSM-5 criteria. If possible, these field tests will be embedded into the clearance package for the main study. If a separate OMB Package is required due to unavoidable delays in developing field test specifications, a field test-specific OMB package shall be prepared approximately seven (7) months prior to the planned date of field test implementation (DELIVERABLE 11). A final data file and codebook shall be prepared nine (9) months after the end of data collection (DELIVERABLE 12). A field test report shall be prepared and delivered after end of data collection. The report shall include pertinent analyses and findings resulting from the field test (DELIVERABLE 13).

4. Context Effects Reports - The Contractor shall produce up to two context effects reports; a “6-Month Context Effects Report” (DELIVERABLE 14) and a “12-Month Context Effects Report” (DELIVERABLE 15).

6-Month Context Effects report: The need for this report will be discussed with the COR prior to its creation. The report will give details on the effects of the changes to the questionnaire (e.g., question wording and placement) on estimates using variables following the changes and other relevant variables. The Contractor shall include background information, tables, results of analyses, and recommendations. The specifics, particularly in regard to the analysis plan, and format of the reports shall be discussed with the COR. Weighted data from the first six months of data collection shall be used.

12-Month Context Effects report: The need for this report will be discussed with the COR prior to its creation. The report will give details on the effects of the changes to the questionnaire (e.g., question wording and placement) on estimates using variables following the changes and other relevant variables. The Contractor shall include background information, tables, results of analyses, and recommendations. The specifics, particularly in regard to the analysis plan, and format of the reports shall be discussed with the COR. Weighted data from the entire year of data collection shall be used.

TASK 3: Sample Design and Selection

1. Overall Design The NSDUH sample design will result in the production of national, state, and substate level substance use and mental disorder prevalence estimates. The national annual target sample size shall be 68,460 representing the number of completed interviews. The Contractor shall include all 50 states, District of Columbia, and Puerto Rico in the sample. Other U.S. territories may be phased in at a later date. In summary, the NSDUH sample design shall consist of the following steps:

a. Stratify each State into strata,

b. Select census tracts within strata,

c. Select census block groups within census tracts,

d. Select segments within sampled census block groups,

e. Count and list (i.e., field enumerate) addresses of dwelling units within each sampled segment using e-listing and ABS,

f. Select a sample of dwelling units within sampled segments,

g. Conduct a short screening at each sampled dwelling unit to determine the number of persons and their demographic characteristics (see Task 6)

h. Based on specific target age group allocations, select 0, 1, or 2 persons within each selected dwelling unit.

The NSDUH sample was redesigned in 2014 where changes were made to the state and age group allocations and cluster sizes among other changes. More details can be found at http://www.samhsa.gov/data/sites/default/files/NSDUHmrbSampleExperience2014.pdf Information used in the determination of the 2014 sample redesign can be found at https://www.samhsa.gov/data/sites/default/files/NSDUH-MethodSummDefs2014/NSDUH-MethodSummDefs2014.pdf

Target Population The target population for NSDUH is the U.S. civilian, non-institutionalized population aged 12 years old or older. The non-institutional population includes both housing units and group quarters units (collectively called dwelling units). Housing units include but are not limited to: single family houses, condominiums, apartments, mobile homes or trailers, seasonal residences, vacant houses intended for occupancy, and residential units under construction. Group quarters units include but are not limited to: rooming houses, college dormitories, fraternity and sorority houses, homeless shelters, halfway houses, migratory workers camps, and retirement residences that do not include nursing care, medical care, or psychiatric care by staff members. Nursing homes, correctional institutions, mental institutions, and hospitals are excluded from the target population. Active duty military personnel are also excluded; however, family members or persons not on active duty, but living at the same address, may be eligible. Details on housing unit and group quarters unit eligibility can be found section 3.2 of the Field Interviewer Manual at https://www.samhsa.gov/data/sites/default/files/reports/rpt23261/NSDUHmrbFIManual2020.pdf

Sampling Frame Construction of the NSDUH sampling frame shall be based on a hybrid address-based sampling (ABS) and Field Enumeration (FE) design. The hybrid ABS/FE design is the ABS supplemented with the FE. The ABS list consists of predetermined lists of locatable city style addresses based on the computerized delivery sequence (CDS) and stat files maintained by the U.S. Postal service. This list is also supplemented with Check for Housing Units Missed (CHUM) frame-linking procedure to identify and record DU’s that are not on ABS list and address coverage enhancement (ACE).

Field Enumeration (FE) will be retained in segments where ABS coverage is expected to be low. The hybrid ABS use the ABS frame in areas with high coverage, field Enumeration (FE) in areas with low coverage, and areas with middle coverage would use the ABS frame with enhancement. the hybrid frame should provide approximately 100 percent coverage of the target population (at least 90% ABS required). Implementation and construction of the hybrid sampling frame plan must be presented to SAMHSA for approval before the implementation.

Field Listing The field listing will be based in part on the use of 2020 decennial census data along with any relevant data from the American Community Survey or other relevant data sources. The NSDUH sampling frame will consist of an area frame where each sampled segment (defined as the primary sampling unit) will be field enumerated resulting in a listing of addresses or descriptions. Segments are defined as a group of contiguous or near contiguous census blocks or census block groups that result in the minimum number of dwelling units needed to obtain the required number of completed interviews in a given calendar quarter. If there are additional dwelling units provided by the screening respondent that are within the sampled dwelling unit or on the property and were not field enumerated during the original construction of the sampling frame, then they shall be given a chance of selection into the sample.

Stratification Since the NSDUH design requires estimates for the 50 States, the District of Columbia, and Puerto Rico, State (including D.C. and Puerto Rico) shall be defined as the first layer of stratification. Within each State, the second layer of stratification shall be geographic areas called state sampling regions. Each state sampling region shall be a collection of census tracts or other geographic areas that, as a group, span the entire land area of the State. To facilitate interviewer access to dwelling units within state sampling regions, mountain ranges, rivers, and other potential “difficult to travel” areas shall be used in defining state sampling region boundaries. The construction of state sampling regions shall insure that sufficient sample is located in large populated areas as well as in geographically diverse areas across the state. Specifically, each state sampling region within a state shall contain the same size population, where size is a composite measure based on the disproportionate allocation across age groups. The actual geographic size can vary greatly. This helps ensures an efficient allocation of sample across each state. The number of state sampling regions for each state is provided in Table 3.1 in the “No. of Strata” column. Please note that state sampling regions are not the same as substate regions discussed elsewhere. Substate regions are defined by state officials responsible for substance abuse and mental health programs according to their needs and sometimes change dramatically over time according to changing requirements.

2. State Sample – As stated above, the Contractor shall include all 50 states, the District of Columbia and Puerto Rico in the sample and other U.S. territories may phase in a later date. The total sample shall be approximately 4,560 completed interviews in California; 3,300 completed interviews each in Texas, New York, and Florida; 2,400 completed interviews each in Illinois, Pennsylvania, Ohio, and Michigan; 1,500 completed interviews each in Georgia, North Carolina, New Jersey, and Virginia; and 960 completed interviews in each of the remaining 42 states, the District of Columbia, and Puerto Rico. The total number of completed interviews shall be distributed within five (5) age groups as shown in Table 3.1. This design may be subject to change based on costs, change in precision levels, or other considerations. Final determinations of all sample design specifications shall be made in consultation with the COR.

Table 3.1 – Target Annual Sample Sizes (Completed Interviews), Number of Strata, and Segment Sizes by State and Age Group

1. Expected number of interviews per segment.

Hawaii Sample Special consideration shall be given to the sample allocation in Hawaii to ensure that Kauai County obtains a minimum of 200 completed interviews over a three-year period. In addition, the total state sample shall be distributed among the four counties (Hawaii, Honolulu, Kauai, and Maui) so that the expected precision at the state level is similar to the expected precision in other states with similar sample sizes. No sample design or data collection activities shall include Kalawao County which is coextensive with the Kalaupapa National Historical Park.

3 Precision of National Estimates – Based on the parameters shown in Table 3.1, national-level target relative standard errors for the eleven (11) key measures by the specified demographic domains shown below shall be determined. SAMHSA based the selection of these outcome measures on an assessment of how the data are used and what estimates are important for policymakers. Domains such as pregnant women, American Indian or Alaska Native, and aged 50 or older were chosen based on the importance of maintaining precision of estimates in those subgroups compared with earlier years. Terms provided in parenthesis below represent the variable name on the 2008-2014 NSDUH public-use data files.

Key Measures

1. Past month alcohol use (ALCMON). Had at least one drink in the past 30 days. Ages 12+, 12-20, and 50+ and age 12+ for Asian or Pacific Islander, American Indian or Alaska Native, and pregnant women;

11. Past year major depressive episode (AMDEYR). Age 18+.

4. Selection of More Than One Person per Household - The NSDUH sample design shall ensure that all households with two (2) or more eligible residents have a known non-zero probability of selection for any pair of residents, regardless of their age group. Prior to sample implementation, the expected pair sample yield by five (5) age groups (12-17, 18-25, 26-34, 35- 49, and 50+) shall be discussed with the PO.

5. Sample Design Plan and Report - The Contractor shall prepare and submit a "Sample Design Plan" which includes a complete description of the sample design, the procedures for implementing the design (e.g., counting and listing, household and respondent selection, etc.), the sampling frame files, sample files, and programs used to create the sampling frame and the sample (DELIVERABLE 16). Upon implementation of the plan, the Contractor shall prepare and submit a "Sample Design Report" (DELIVERABLE 17) in both confidential (if necessary, to prevent disclosure of any sensitive information such as segment identification numbers and locations) and public use versions.

6. Quarterly Data Collection and Half-Year Estimates - The sample shall be allocated for collection on a calendar quarterly basis in order to smooth out data collection activities across the year and to minimize seasonality of yearly estimates. Quarterly prevalence estimates are not required, except as part of a special ad hoc analysis; however, screening and interviewing response rates (see Task 6) shall be maintained on a quarterly basis. Weighted prevalence estimates based on the first half-year of data shall be required (see Task 7). The geographic dispersion of the sample should be similar across quarters.

7. Sample Selection - The Contractor shall implement the sample design according to the methods described in the Sample Design Plan (see Task 3.5) approved by the COR. This task will specifically include information on the selection of census tracks, census block groups within census tracts, and segments within census block groups, the preparation of materials and maps needed for counting and listing addresses, the selection of households to be screened, and the preparation of field assignments for interviewers.

Selection of Census Tracts, Census Block Groups, and Segments Segments that crossed census tract boundaries made merging to new decennial census data difficult; thus, to the extent possible, each segment shall be formed and selected within a single selected census tract and single census block group within census tract. To facilitate variance estimation, each stratum shall consist of two (2) selected segments per calendar quarter.

Selection of persons Select a sufficient sample of persons in order to achieve the number of completed interviews specified in Table 3.1 for each of the five (5) age groups.

Interviewer Workload All interviewers shall have a sufficient amount of work throughout each calendar quarter (see Task 3.6). This should correspond to interviewers collecting data from new respondents during the first 8 to 9 weeks of the quarter, followed by data cleanup (e.g., follow-up of initial non-respondents) during the final 4 to 5 weeks of the quarter.

· FIPS State, county, place codes and the full names of each;

· Census tract, census block group, and census block numbers;

· County Subdivision code and the full names (if applicable);

· Urban/rural designation of census block,

· American Indian, Alaska Native, Native Hawaiian Areas (AIANNA)

· Mailing address zip code and city/place name (city/place name to include the corresponding census place code)

· Core Based Statistical Area (CBSA), Consolidated Statistical Area (CSA), Metropolitan Division codes and the full names of each;

· New England City and Town Area (NECTA), Combined NECTA, NECTA Division codes and the full names of each (if applicable);

· Principal city name associated with the CBSA or NECTA, and

· Longitude and latitude coordinates representing the centroid of the census (an alternative to the coordinates of the resident’s actual address or location).

Other geographic variables may be specified by the COR for inclusion. Counting and listing and within-household sampling procedures performed by interviewers during screening are not included in this task (see Tasks 5 and 6).

8. Sample Experience Report – Upon completion of the Sample Design Report, the Contractor shall prepare and submit a "Sample Experience Report" (DELIVERABLE 18) that will contain the actual sample yields by state and quarter along with a comparison to projected yields in order to determine if the target sample sizes were met. In addition, any extraordinary sample issues should be documented in this report. For example, the release of additional sample in a particular state due to unexpected low yields, changes or corrections to selection probabilities to address a particular issue, or any procedural changes that may impact the dwelling unit-level or person-level weight components. This report shall also include a comparison between expected and realized design effects both nationally and by state. The 2018 sample experience report, is available here: https://www.samhsa.gov/data/sites/default/files/cbhsq-reports/NSDUHmrbSampleExperience2018.pdf

TASK 4: Field Preparations

1. Counting and Listing – The Contractor shall prepare for, and conduct, counting and listing activities in all selected PSUs according to the Sample Design Plan if ABS coverage below the threshold.

2. Interviewer and Supervisor Recruitment – The Contractor shall recruit a sufficient number of interviewers and supervisory interviewer staff, including bilingual (Spanish-English) interviewers, necessary to complete data collection. To facilitate oversight, supervisors shall live in the state they supervise. If a supervisor has responsibility for more than one state, those states shall be contiguous, and the supervisor shall live in one of those states. Exceptions may be made to these requirements in rare instances and with prior COR approval.

3. The Contractor shall prepare a "Main Study Interviewer Recruitment, Training, and Field Management Plan" (DELIVERABLE 19) which addresses: dates and locations of training sessions; expected number of interviewers attending each session; staff who will conduct training; recruitment and…