PL-002.docx

PL-002 Model Survey Vendor Quality Assurance Plan The purpose of this model QAP is to inform the structure of a survey vendor’s QAP so that all required items are addressed in the appropriate sequence for review and approval by the sponsor. After reviewing the submitted QAP, the sponsor may provide feedback about the survey vendor’s QAP, if necessary. If revisions are needed, the survey vendor should resubmit a revised version of the QAP the sponsor for approval.

Organizational Background, Structure, and Staff Experience In this section of the QAP, the vendor will provide the following information:

1. Survey vendor organizational information:

a. Organization name;

b. Mailing address;

c. Physical address, if different from mailing address;

d. Telephone number;

e. Website address; and

f. Name of key contact person, direct telephone number, and e-mail address;

If the organization has multiple locations, include the address of both the main location and the address of the locations at which the primary survey operations, including sampling, data collection, and data processing activities, are conducted.

2. An organizational chart identifying the names and titles of staff members, including subcontractors (if applicable), responsible for each of the following tasks:

a. Overall project management, including tracking and supervision of all tasks;

b. Sampling procedures, including obtaining and verifying the sample frame, selecting the sample, and assigning a unique identification number to each sampled participant;

c. Data collection procedures, including overseeing the implementation of the in-person and/or telephone data collection protocols;

d. Data receipt and data entry/scanning procedures;

e. File development and data submission processes;

f. Tracking key survey events;

g. Survey administration process quality checks and control activities

h. Confidentiality and data security; and

i. Staff training;

The organizational chart should clearly specify all staff reporting relationships, including those staff responsible for managing subcontractors. The chart should also designate any individuals with quality assurance oversight responsibilities and indicate the tasks for which they are responsible; and

3. A narrative description of the training that will be conducted or has been conducted by personnel involved in HCBS CAHPS Survey administration, including subcontractor(s), if applicable. Individually discuss training for:

a. Telephone interviewers;

b. In-person interviewers; and

c. Customer support personnel.

Work Plan for the HCBS CAHPS Survey Administration For the following HCBS CAHPS Survey administration tasks, the survey vendor will identify the processes implemented to conduct each task; the system resources (hardware and software) utilized; and the quality control activities performed, including the documentation maintained as evidence that the quality checks were conducted.

This section will provide an overview of the work plan, including critical milestones and related timelines, including information on all of the following:

1. Information technology (IT) and system resources being used to administer the HCBS CAHPS Survey. This includes a description of all relevant hardware and software. For example, describe the computer-assisted telephone interview (CATI) system and Survey Management System used for the HCBS CAHPS Survey;

2. Implementation plan for the HCBS CAHPS Survey for the in-person and/or telephone survey modes. This section of the QAP should describe the entire process the organization follows for these tasks:

a. Fielding the survey;

b. With input from the sponsor, handling abuse, neglect, and exploitation;

c. With input from the sponsor, managing complaints about HCBS programs;

d. Processing the data;

e. Ensuring data quality through the use of quality control and assurance procedures during each stage of the protocol (in-person, telephone);

f. Monitoring and tracking sampled participants through the protocol (in-person, telephone) using an electronic Survey Management System; and

g. Preparing and submitting final data files;

Sponsor/vendor’s schedule and timeline to conduct all activities within the timeframes specified in the HCBS CAHPS Survey protocols. The timeline should describe when each milestone activity will be completed (e.g., X weeks after sample selection, or Y weeks after calling the first respondent);

4. Plan for obtaining the sample frame, detailing critical steps in the process and the quality assurance checks conducted on the sample frame file. Description of how the survey sponsor and/or vendor selects sample and the quality control process for sample selection;

5. Plan for in-person interview protocols and procedures:

a. Obtaining and updating telephone numbers and addresses and programming the computer-assisted personal interview (CAPI) system and software used;

b. With input from the sponsor, obtaining and updating guardian (e.g., legal representative, legal guardian) and service information;

c. Tests and quality control checks of CAPI procedures to confirm that programming is accurate and in accordance with HCBS CAHPS Survey protocols, and that data integrity is maintained;

d. Conducting in-person interviews;

e. Capturing participant survey responses obtained during in-person interviewing;

f. Verifying that in-person interviewers are following HCBS CAHPS Survey data collection protocols and procedures during the in-person survey administration;

g. Quality control process for monitoring subcontractors, if applicable;

h. Leaving voicemail messages on sampled participants’ answering machines. Include voicemail message script, if applicable; and

i. Survey languages implemented for the in-person survey and the process used for foreign language in-person survey administration;

6. Plan for telephone protocol and procedures:

a. Obtaining and updating telephone numbers and programming the CATI system and software used;

b. With input from the sponsor, obtaining and updating guardian and service information;

c. Tests and quality control checks of CATI procedures to confirm that programming is accurate and in accordance with HCBS CAHPS Survey protocols, and that data integrity is maintained;

d. Conducting telephone interviews;

e. Capturing participant survey responses obtained during telephone interviewing;

f. Verifying that telephone interviewers are following HCBS CAHPS Survey data collection protocols and procedures for the telephone survey administration. Note:

Survey vendors describe telephone interview monitoring procedures in detail and denote the percentage of interviews monitored by each monitoring method (e.g., live, recorded, callbacks);

g. Quality control process for monitoring subcontractors, if applicable;

h. Leaving voicemail messages on sampled participant’s answering machines. Include voicemail message script, if applicable; and

i. Survey languages implemented for telephone administration and the process used for foreign language telephone survey administration;

7. Data receipt activities, including monitoring and tracking surveys if the participant transitions from the phone to in-person survey modes or vice versa or from a participant to a proxy;

8. Data preparation and submission procedures for each of the following:

a. Application of survey disposition codes, whether developed by American Association for Public Opinion Research (AAPOR)1 or internally developed;

b. Uploading data files; and

c. Quality control processes used to validate the accuracy of data file preparation and submission;

9. Customer support operations using a toll-free telephone line and e-mail address:

a. Identify staff responsible for responding to questions regarding the HCBS CAHPS Survey;

10. In the appendices to the QAP, the survey vendor will include all forms used in HCBS CAHPS Survey administration that may assist the sponsor in reviewing the survey vendor’s processes (e.g., tracking logs, quality assurance checklists, survey status flags, and/or productivity reports).

Note: These items should be templates only and should not contain any personally identifiable information (PII) Confidentiality, Privacy, and Data Security Procedures Survey vendors should comply with Health Insurance Portability and Accountability Act (HIPAA) recommendations and other federal and state laws protecting the privacy and security of PII and protected health information (PHI). HIPAA provides individuals with important privacy rights and protections with respect to their health information. In this section, the survey vendors will specify how they will protect the confidentiality, privacy, and security of information.

1. Physical and electronic security of and the storage procedures for files containing PII and survey data in hard copy and electronic form, including the following:

a. Back-up process for survey administration activities related to electronic data or files;

b. Quality control activities in place to verify that back-up files are retrievable; and

c. Data retention policy and storage facility, including length of time materials will be retained and the name of the storage facility used (e.g., if materials are stored off site);

2. Measures used to protect respondent privacy;

3. Secure method used to transmit sampled participant PII to a subcontractor, if necessary;

4. Confidentiality agreement template signed by staff and subcontractors, if applicable, who are involved in any aspect of HCBS CAHPS Survey administration;

5. Plan and protocols for reporting any incidents to the sponsor; and

6. A written contract between a covered entity and a business associate covering the following:

a. Permitted and required uses and disclosures of PHI by the survey vendor;

b. Usage or further disclosure of the information other than as permitted or required by the contract or as required by law;

c. Implementation of appropriate safeguards to prevent unauthorized use or disclosure of the information, including implementation recommendations of the HIPAA Security Rule with regard to electronic PHI;

d. Methods to report to the sponsor any use or disclosure of the information not provided for by its contract, including incidents that constitute breaches of unsecured PHI;

e. Disclosure method of PHI as specified in its contract to satisfy a sponsor’s obligation with respect to individuals' requests for copies of their PHI;

f. To the extent the survey vendor is to carry out a sponsor’s obligation under the Privacy Rule, information on compliance with the recommendations applicable to the obligation;

g. Availability of the survey vendor’s internal practices, books, and records relating to the use and disclosure of PHI received or created;

h. At termination of the contract, if feasible, return or destroy all PHI received or created by the survey vendor on behalf of the sponsor;

i. If subcontractors are used by the survey vendor, those subcontractors agree to the same restrictions and conditions that apply to the business associate with respect to such information; and

j. Termination of the contract by the sponsor if the survey vendor violates a material term of the contract. Contracts between survey vendor and subcontractors are subject to these same recommendations.