New York State Office of Alcoholism & Substance Abuse Services Addiction Services for Prevention, Treatment, Recovery

David A. Paterson, Governor Karen M. Carpenter-Palumbo, Commissioner

IPMES/Workscope Objective Attainment System 15th Edition August 2009

User’s Manual Instructions and Attachments for: • NYC Fiscal Year 2008-2009 Full Reports (Issued 9/09) • Calendar Year 2010 Prospectives (Issued 8/09) • ATC Fiscal Year 2010-2011 Prospectives (Issued 1/10) • NYC Fiscal Year 2010-2011 Prospectives (Issued 2/10) • Calendar Year 2009 Full Reports (Issued 3/10) • ATC Fiscal Year 2009-2010 Full Reports (Issued 5/10)

Formula and Other Changes to Selected IPMES/Workscope Indices

The following changes have been integrated into the IPMES/Workscope System starting with the August 2009 distribution of the Calendar Year Prospective Workscopes:

1 % Completing Program – Clients that have been discharged due to arrest and those who were discharged not having completed treatment but who were referred to mental health programs or health institutions have been removed from the calculations.

Applicable Program Types: Inpatient Rehabilitation, KEEP

The arrest change is essentially a modification of a temporary alteration made in the formula last year and is based on the observation that the vast majority of arrests are the result of pre-admission activities and are beyond the program’s control. The MH/Health change was an acknowledgement that many clients are admitted to chemical dependence (CD) programs with serious mental health and health problems and that during treatment these problems occasionally interfere with CD treatment. The appropriate course is for the CD program to refer the client to the necessary facility. However, in order to minimize a potential manipulation of a program’s performance on this measure, the relevant arrested and MH/Health-referred clients are being removed from the calculations so as not to inflate the percentage of clients actually completing treatment.

2 % of Program Completers Admitted into Ambulatory, Intensive Residential or RRSY Treatment – This index is a modified measure for the applicable programs and includes treatment completers that are subsequently admitted into ambulatory, intensive residential or RRSY programs.

Applicable Program Types: Inpatient Rehabilitation and MTA

Although system-wide the numbers are relatively small, it occasionally is clinically appropriate for a client to complete inpatient rehabilitation treatment and be admitted into an intensive residential or RRSY program and that inpatient and KEEP programs should receive “credit” for moving the client into that next “less intensive” level of care.

The window for subsequent admission was changed from 30 days to 45 days. For some clients it takes longer than 30 days for them to complete the next program’s assessment process and get admitted. This would be particularly true when the 822 Regulations are modified to permit ambulatory programs to increase their assessment visits from two to three within a 30-day period.

Programs receive “credit” for clients referred to mental health programs or health institutions.

3 % of Program Completers Admitted into Ambulatory – For the applicable programs, this index was modified to reflect the extended window for subsequent admissions into ambulatory programs.

Applicable Program Types: Intensive Residential and RRSY

For this index, the window for admission was moved from 30 days to 45 days. For some clients it takes longer than 30 days for them to complete the next programs assessment process and get admitted. This would be particularly true when the 822 Regulations are modified to permit ambulatory programs to increase their assessment visits from two to three within a 30-day period.

Programs receive “credit” for clients referred to mental health programs or health institutions.

4 % Completing Program or Referred – For the applicable programs, this index was modified by removing from the calculations clients that have been discharged due to arrest and those who were discharged not having completed treatment but who were referred to mental health programs or health institutions.

Applicable Program Types: Intensive Residential, RRSY, Outpatient and MTA

The arrest change is essentially a modification of a temporary alteration made in the formula last year and is based on the observation that the vast majority of arrests are the result of pre-admission activities and are beyond the program’s control. The MH/Health change was an acknowledgement that many clients are admitted to chemical dependence (CD) programs with serious mental health and health problems and that during treatment these problems occasionally interfere with CD treatment. The appropriate course is for the CD program to refer the client to the necessary facility. However, in order to minimize a potential manipulation of a program’s performance on this measure, the relevant arrested and MH/Health-referred clients are being removed from the calculations so as not to inflate the percentage of clients actually completing treatment.

5 % Maintaining or Improving Employment-Related Status (at Update) – This index will now be applicable to methadone clinics with calculations based on MCAS (PAS-26N) reports.

Applicable Programs Types: Methadone Maintenance Programs

The existing IPMES/Workscope employment measure is based on changes in employment status from admission (PAS-44N) to discharge (PAS-45N). Since in New York State, methadone maintenance is viewed as a very long-term program, the vast majority of discharges from methadone maintenance programs are clients who are non-compliant, thus negatively biasing any discharged based calculation of employment. As a result, the employment measure was not applied to methadone maintenance programs. However, with the establishment of the Methadone Client Annual Status (MCAS) report, OASAS can now determine the employment status of clients active in methadone programs. This measure will assess the maintenance or changes in the employment status of clients from admission to current year MCAS report.

6 % with Discontinued Use (at Update) – This index will be a modification of the existing discontinued use measure for methadone maintenance programs. The source of data will move from the discharge report (PAS-45N) to the Methadone Client Annual Status (MCAS) report (PAS-26N).

Applicable Programs Types: Methadone Maintenance Programs

The existing IPMES/Workscope % with Discontinued Use measure is based on client substance use at discharge. Since in New York State, methadone maintenance is viewed as a very long-term program, the vast majority of discharges from methadone clinics are clients who are non-compliant, thus negatively biasing any discharged-based calculation of substance use. However, with the establishment of the Methadone Client Annual Status (MCAS) report, OASAS can now determine the substance use of clients active in methadone programs. This measure will assess the substance use of clients in the 30 days prior to the date of their annual MCAS report.

This index will replace the following demonstration measures:

% of 1-Year Patients Not Abusing Opiates in the Last 6 Months % of 2-Year Patients Not Abusing Opiates in the Last 6 Months % of 3-Year Patients Not Abusing Opiates in the Last 6 Months

IPMES/WORKSCOPE OBJECTIVE ATTAINMENT SYSTEM

Table of Contents Page

NEW MINIMUM STANDARDS, DEMONSTRATION IPMES/WORKSCOPE MEASURES AND FORMULA CHANGES................................................................................................ i

INSTRUCTIONS

Please note: these pages numbers are for the paper version of this document.

Introduction......................................................................................................................................3

Combined IPMES/Workscopes .......................................................................................................5

Section 1: Prospective Mandatory Objectives Sheet - Instructions ................................................9

Definitions of Mandatory Objectives................................................................................10

Setting Target Values........................................................................................................13

Processing of Workscope Mandatory Objectives .............................................................14

Section 2: Program Specific Objectives - Instructions..................................................................15

Base Program Specific Objective......................................................................................16

Measuring and Documenting Program Specific Objectives .............................................17

Filling out the Program Specific Objectives Form............................................................17

Section 3: IPMES/WOAS Cover Sheet ........................................................................................21

IPMES/Workscope Comparison Groups ..........................................................................22

Minimum Standards ..........................................................................................................22

Section 4: (A) Full Year Mandatory Objective Sheet - Instructions ...........................................23 (B) Program Performance Sheet - Instructions...........................................................24

Section 5: Integrated Program Monitoring and Evaluation System (IPMES) ..............................25

Program Identifying Data..................................................................................................25

Graphic Data .....................................................................................................................25

Client Dysfunction Scales .................................................................................................26

Performance Indices Profile ..............................................................................................27

Demographic Indices Profile.............................................................................................27

Section 6: Index Response Clarification Sheet - Instructions .......................................................29

Section 7: Program Profile and Services Inventory (PPSI)...........................................................31

PPSIs .................................................................................................................................31 Special Instructions ...........................................................................................................31 PPSI Submission ...............................................................................................................32

ATTACHMENTS

1. Sample Prospective Workscope Mandatory Objectives Sheet.................................................35

2. Mandatory Objectives for Treatment Programs by Comparison Group ..................................39

3. WOAS Indices: Formulas .......................................................................................................47

4. WOAS Demonstration Indices: Formulas ...............................................................................61

5. Workscope: Program Specific Objectives Form.....................................................................65

6. Determining Measurable Program Specific Objectives: A Worksheet (Blank Form) ............69

7. Determining Measurable Program Specific Objectives: Examples ........................................73

8. IPMES/Workscope Cover Sheet ..............................................................................................79

9. Sample Full Year Workscope Mandatory Objectives Sheet and Sample IPMES Program Performance Sheet....................................................................83

10. IPMES.....................................................................................................................................87

11. Explanatory Graphs for IPMES ............................................................................................109

12. Index Response and Clarification Sheet................................................................................115

13. WOAS Mandatory Objectives Exception Report (for Field Office Staff) ............................119

14. Program Action Report (for Field Office Staff)....................................................................123

15. IPMES/Workscope Operational Procedures (for Field Office Staff)....................................127

16. Program Action Report Procedures (for Field Office Staff) .................................................131

17. Existing Comparison Groups for Chemical Dependence Programs .....................................135

18. Listing of Programs in Each Comparison Group ..................................................................139

19. PPSI Web System Access Instructions .................................................................................169

20. Treatment Program Minimum Performance Standards (Current)..........................................189

21. IPMES/Workscope Demonstration Indices ..........................................................................195

INSTRUCTIONS

INTEGRATED PROGRAM MONITORING AND EVALUATION SYSTEM (IPMES) and Treatment Services WORKSCOPE OBJECTIVE ATTAINMENT SYSTEM (WOAS)

INTRODUCTION The OASAS Integrated Program Monitoring and Evaluation System (IPMES) is designed to monitor

treatment program performance and identify areas in which programs appear to be operating below expectations compared to minimum standards and that of similar programs. It applies to both funded and nonfunded OASAS-certified programs. In addition, all programs (funded and nonfunded) are required to review or complete a Program Profile and Services Inventory (PPSI). The Workscope Objective Attainment System (WOAS) or Workscopes applies to OASAS-funded programs only. It is designed to establish and monitor progress towards meeting program performance objectives. The IPMES/WOAS is presented in seven sections:

1) Prospective Mandatory Objectives Sheet (funded programs only)

2) Program Specific Objectives (funded programs only)

Prospective Distribution (funded only)

1 2

3) IPMES/WOAS Cover Sheet (all programs)

(A) Full Year Mandatory Objective Sheet (funded programs only) (B) Program Performance Sheet (nonfunded programs only)

5) IPMES (All Programs) a) Client Dysfunction b) Performance Indices Profile c) Demographic Indices Profile

6) Index Response and Clarification Sheet (all programs)

7) Program Profile and Services Inventory (PPSI) (all programs)

Full IPMES/Workscope Report Distribution (funded and nonfunded)

3 4 5 6 7

DUE DATE

Upon receipt of the prospective materials (Items 1-2 above), funded providers have 30 days from receipt of the Prospective Mandatory Objectives Sheet and the Program Specific Objectives Sheets (if required by the LGU or Field Office) to complete and submit them to the LGU (unless informed otherwise). The LGU has 30 days to review, approve and submit them to the OASAS Field Office (Treatment programs that have direct contracts with OASAS have 60 days to submit the forms directly to the Field Office).

Upon receipt of the full IPMES/Workscope Report, approximately two months after the end of the fiscal year, funded providers have 30 days (unless informed otherwise) from receipt of the report to submit the prior year's Program Specific Objectives Sheets (with the right side of the form completed), if applicable, and the Index Response and Clarification Sheets (if performance on any IPMES index is deficient) to the LGU. The LGU has 30 days to review, approve and submit them to the OASAS Field Office (Treatment programs that have direct contracts with OASAS have 60 days to submit the forms to the Field Office).

The Program Profile and Service Inventory (PPSI) must be reviewed on-line and, if necessary, updated each calendar year by every program. This should be completed by April of each year.

COMBINED IPMES/WORKSCOPES

Integrated Program Monitoring and Evaluation System (IPMES) and the Workscope Objective Attainment System (Workscopes) together provide a multidimensional profile of individual chemical dependence treatment programs funded and/or certified by the New York State Office of Alcoholism and Substance Abuse Services (OASAS). IPMES presents information on how a program's (PRU) performance compares with that of similar programs and to OASAS minimum standards. Workscopes indicate whether or not a program was able to meet its performance targets established prior to the start of the fiscal year.

IPMES and Workscopes (for funded programs only) are complimentary systems that are designed to provide supporting information to programs in order to allow them to establish reasonable performance targets based on their own past performance and that of similar programs. If a program is flagged on IPMES (see Section 3), this performance must be considered when establishing Workscope performance targets for the next fiscal year. Likewise, if a program is unable to meet its Workscope performance targets, its performance relative to that of similar programs and OASAS standards should be examined to determine if its targets are realistic.

In addition to providing comparative program data on performance measures, IPMES provides additional data that can be utilized to understand actual program performance and its relationship to that of other programs. These include the OASAS Client Dysfunction Scales (Average Client Dysfunction and % of Clients with High Dysfunction) and the various demographic data provided (e.g., % Client Admissions Under Age 19, % Employed or in School at Admission, % with Criminal Justice Status at Admission).

When a program is flagged on IPMES, OASAS Field Office staff are required to enter a Program Action Report (PAR)( see Attachment 14) into the on-line IPMES/Workscope system. The PAR indicates why a program has been flagged, whether the flagging is actually reflective of program problems, and the steps, if any, the program must take to rectify any problems identified. As part of the latter, Field Office staff must include reference to any impact the Action Plan will have on the program’s Mandatory and Program Specific Objectives performance targets. When setting and reviewing Workscope performance targets, program, LGU and Field Office staff must take into consideration any deficiencies on IPMES. Program Specific Objectives may be used to directly address deficient performance on any index.

PROSPECTIVE WORKSCOPE PACKAGE

(Issued approximately five months prior to the start of the fiscal year)

SECTION 1

PROSPECTIVE MANDATORY OBJECTIVES SHEET - INSTRUCTIONS (Funded Programs Only)

Fiscal Year: January 2010 - December 2010 July 2010 - June 2011 April 2010 - March 2011

INTRODUCTION

This portion of the Workscope identifies specific Mandatory Objectives for each program and requires each program to establish performance target values for these objectives for the 2010 or 2010-2011 funding year (“target year”). All funded chemical dependence treatment programs are required to identify a set of target values, on the specified measures, for each program operated. All program reporting units (PRUs) of similar type are required to establish target values for the same set of objectives. In order to guide programs in setting target values for the 2010 or 2010-2011 funding year, you should utilize data provided in your last full IPMES/Workscope Report. This report provides performance data for the past five years for your set of mandatory objectives and other relevant indices, in addition to data for a group of comparable programs from the same program type. In addition, programs should utilize the year-to-date data provided on the Prospective Mandatory Objective Sheet.

Certain types of funded treatment programs are not required to establish Mandatory Objective target values. These include prison-based programs, intake and re-entry PRUs for intensive residential programs,* medically supervised withdrawal-outpatient and programs that have just started up during the past funding year.

It will not be necessary for you to report on the actual performance achieved, since the Mandatory Objectives listed are those for which performance is measurable through your reporting on the OASAS Client Data System (based on forms PAS-26N, -44N, -45N, -46N, -47N, -48NC Crisis, -48N Visits, and -48N Patient Days). The time period for which you set your target objective values will vary by your program’s funding year. For this Workscope, those programs on a January-December funding year budget will set objectives for January 2010-December 2010. Those programs on a July-June funding year budget will set objectives for July 2010-June 2011. Those programs on an April-March funding year budget will set objectives for April 2010-March 2011.

Following are the definitions for the Mandatory Objectives. For a listing of mandatory objectives for treatment programs by comparison group, see Attachment 2. For a more detailed explanation of how the indices are computed, see the formulas provided in Attachment 3.

*Intensive Residential Intake PRU

A PRU of a multi-PRU intensive residential provider that is designed to admit clients into the program type, conduct detailed data collection, provide orientation, and determine the appropriate subsequent treatment track for the client. Normal lengths of stay in this PRU should generally not exceed 30 days. Clients are transferred from this PRU to a main treatment PRU where they will spend the majority of their time in the program type.

*Intensive Residential Re-Entry PRU

A PRU of a multi-PRU intensive residential provider that is designed to prepare clients who have been in long-term residential main treatment PRU for discharge. Clients can be prepared for separation by attending special groups, job searching, attending out-of-program school, establishing savings accounts, searching for residences and/or engaging in employment. To be classified as a re-entry PRU, normal lengths of stay in this program should generally not exceed 90 days. Clients must complete treatment from this program.

Definitions of Mandatory Objectives

Utilization Rate – The percentage (projected) of a program’s certified treatment capacity that is utilized. It is calculated by dividing the projected average daily census by the average monthly capacity. This objective indicates the degree to which your program is functioning at its anticipated capacity.

Projected (Budgeted) Units of Service to be Delivered – For outpatient programs, this is the number of treatment visits projected to be made by clients during the report year (based on current base budget). For residential and inpatient rehabilitation, this is measured in total number of patient days. For example, if a residential program has a capacity of 100 clients and anticipates that, on average, each client will get one individual session per week and attend one group session every other week, the Unit of Service performance target value would be 100 (individuals) X 52 (weekly sessions) + 100 (individuals) X 26 (group sessions) equals 5,200 + 2,600 or 7,800 units of service. This objective indicates the degree to which your program is providing the appropriate amount of services to clients. This number should be placed on the Mandatory Objectives Sheet and on the next Workscope, OASAS will compute the index by dividing this target value into the number of units of service actually provided by the end of the report year (as reported on the PAS-48N), resulting in the percent of projected (budgeted) units of service that are delivered to clients. Performance on this index is not considered for flagging purposes.

Units of Service Per Full-Time Equivalent (FTE) Direct Care Staff – The average number of units of service (projected) provided to clients for the report year by the average FTE direct-care staff member. This is based on the total number of units of service (visits or patient days) projected for the report year divided by the (projected) average number of end-of-month FTE direct-care staff. This objective provides information on the direct-care staff workload.

# of Clients per Direct-Care Staff – For outpatient programs, the (projected) average monthly number of unique persons treated divided by the average end-of-month direct-care staff FTEs. For inpatient and residential programs, the (projected) average daily census divided by the average end-of-month direct-care staff FTEs. This objective also provides information on the workload of direct-care staff.

% With Discontinued Use – The (projected) percentage of clients who, for at least 30 days prior to discharge, have discontinued their use of all substances. For methadone clinics, use is assessed 30 days prior to the current MCAS report. This discontinued use must be documented in the client record. This objective provides information on the program’s ability to get clients to discontinue use of drugs and alcohol. [NOTE: This calculation excludes early dropouts and, therefore, is based only on those clients who remain in the program for at least one month and/or completed the program.]

% Maintaining FT or Improving Employment-Related Status – The (projected) percentage of clients discharged who make any of the following changes from admission to discharge. For methadone clinics, changes are assessed between admission and the current MCAS Report.

FROM ADMISSION TO DISCHARGE

• Any employment status • Employed FT

• Unemployed or

• Not in the Labor Force (due to): child care issues, retired, inmate, disabled, or “other”

• WEP, Not Employed/Able to Work, Currently unable to work/mandated treatment

• Employed FT or PT or

• Not in the Labor Force (due to): student/training

• Not in the Labor Force (due to): student/training • Employed FT or PT

This objective provides information on the program’s ability to improve the employment-related status of its clients. [NOTE: This calculation is based only on those clients who remain in the program for at least three months.]

1-Week Retention Rate – The (projected) percentage of discharged clients that either remained in treatment at least one week or completed the program. This objective provides information on a short-term program’s ability to retain clients for at least one week.

1-Month Retention Rate – The (projected) percentage of discharged clients that either remained in treatment at least one month or completed the program. This objective provides information on the program’s ability to retain clients for at least one month.

3-Month Retention Rate – The (projected) percentage of discharged clients that either remained in treatment at least three months or completed the program. This objective provides information on the program’s ability to retain clients for at least three months. [NOTE: This calculation excludes early dropouts and, therefore, is based only on those clients who remain in the program for at least one month and/or complete the program.]

6-Month Retention Rate – The (projected) percentage of discharged clients that either remained in treatment for at least six months or who completed the program. For programs with treatment cycles of more than six months, this objective provides information on the programs’ ability to retain clients for a six-month period. [NOTE: This calculation excludes early dropouts and, therefore, is based only on those clients who remained in the program for at least one month and/or complete the program.]

1-Year Retention Rate - The (projected) percentage of discharged clients that either remained in treatment for at least one year or completed the program within one year. For programs with treatment cycles of more than one year, this objective provides information on their ability to retain clients for a 12-month period. [NOTE: This calculation excludes early dropouts and, therefore, is based only on those clients who remain in the program for at least one month and/or complete the program.]

% Completing Program – The (projected) percentage of clients discharged who completed the program. (Completed Treatment: All goals met and completed treatment: Half or more goals met). This objective provides information on the ability of relatively short-term programs to get clients to complete their treatment regimen.

% Completing Program or Referred (for other treatment) - The (projected) percentage of clients discharged who completed the program or who do not complete the program but are admitted to another chemical dependence treatment program within one month after discharge. This objective provides information on a program’s ability to get clients to either complete their regimen and/or to get them into more appropriate treatment when the current level of treatment is determined to be inappropriate.

% of Program Completers Admitted Into Ambulatory, Intensive Residential and RRSY Treatment – The (projected) percentage of discharged clients completing the program who are admitted into an intensive residential, RRSY, or outpatient chemical dependence program within 45 days after being discharged from an inpatient rehabilitation program or are concurrently enrolled. This objective provides information on the degree to which inpatient rehabilitation programs have successfully transitioned their clients into treatment programs of reduced intensity.

% of Program Completers Admitted into Ambulatory Treatment – The (projected) percentage of discharged clients completing the program who are admitted into an outpatient chemical dependence treatment program within 45 days after being discharged from an intensive residential or RRSY. This objective provides information on the degree to which intensive residential, RRSY, and MTA programs have successfully

transitioned their clients into treatment programs of reduced intensity.

% of Program Completers Admitted Into Other Treatment – The (projected) percentage of discharged clients completing the program who are admitted into a chemical dependence treatment program within 45 days after being discharged from a chemical dependence crisis program or are concurrently enrolled. This objective provides information on the degree to which medically managed detox., medically supervised withdrawal, medically monitored withdrawal, and KEEP programs have successfully transitioned their clients into longer term treatment programs.

% Reduction in Six Month Arrests – The (projected) percentage representing the reduction in the number of clients arrested in the six months prior to discharge compared to the number arrested in the six months prior to admission to treatment. This objective demonstrates the impact that treatment has had in reducing client criminal activity. (Demonstration Measure)

Individual and Group Counseling Sessions FTE Primary Counselor Per Week – The (projected) average number of individual and group counseling sessions provided per week by the average primary counselor. This objective measures the productivity of the program’s primary counselors. (Demonstration Measure)

Group to Individual Counseling Ratio – The (projected) average number of group counseling sessions provided to a client for every individual counseling session provided. This objective measures the relative amount of individual counseling services provided to the clients. (Demonstration Measure)

Patient to Primary Counselor Ratio – The (projected) average number of unique persons treated divided by the average number of end-of-month FTE primary counselors. For inpatient and residential programs, the (projected) average daily census divided by the average number of end-of month FTE primary counselors. This objective measures the workload of the program’s primary counselors. (Demonstration Measure)

Prospective Mandatory Objectives Sheet

The Workscope Prospective Mandatory Objectives Sheet is the form on which you will record your mandatory objectives’ target values (see example in Attachment 1). Each Prospective Mandatory Objectives Sheet is preprinted to indicate the program (PRU) type for which it is being completed. Each mandatory objective for which you must establish a numerical target value appears in the first column. These indices coincide with the indices marked with an “X” on the OASAS Workscope: Mandatory Objectives for Treatment Programs tables (Attachment 2) for each chemical dependence program type. The list of required mandatory objectives may vary by program (PRU), since all indices are not appropriate for all types of programs.

The second column of the Prospective Workscope Mandatory Objectives Sheet contains two numbers separated by a slash. The number to the left of the slash is either the minimum standard value or, the median value or 50th percentile (i.e., the value for which half of the program values fall below and half fall above) for a particular comparison group of programs (PRUs) during the profile year (2006 or 2006-2007). The median value is indicated within a set of parentheses. The number to the right of the slash in the second column contains a 40th percentile value (i.e., the value below which 40% of the programs fall and above which 60% fall) for the profile year. If a program seeks to establish a performance target value below the 40th percentile value on a particular index and it is approved by the OASAS Program Manager, Field Office staff are required to submit a Mandatory Objectives Exception Report into the system documenting why the program is being allowed to establish a performance target at such a low level. If OASAS has a minimum standard for a particular index (e.g., Utilization Rate), “DNA” will appear after the slash. This indicates to Field Office staff that a 40th percentile value does not apply to this index. Where a minimum standard exists, OASAS Program Managers are required to submit a Mandatory Objectives Exception Report if the performance target falls anywhere below the standard. The program is still required to establish a performance target value for this index.

The numbers in the third column represent the target performance values established by the program in the previous Workscope and approved by the LGU (where applicable) and the OASAS Field Office for the period specified. Your program is responsible for meeting these target values.

The numbers in the fourth column represent your program’s performance to date during the current profile year as determined from your submission/entry of data into the OASAS Client Data System. If a particular mandatory objective does not apply to your program, it will not appear on this worksheet. If a column contains “na,” this indicates that OASAS data are not yet available on that index but that you should still set a target value for that objective. Data will be available on these indices for future Workscopes. Where no value exists (i.e., "na" appears), you should use any internal data available to you in setting a reasonable target value on these indices. The data in this column are only as up-to-date as your submissions to the OASAS Client Data System.

The fifth column contains boxes in which you are to record your program’s specific performance target values on the required objectives for the target funding year (2010 or 2010-2011). The target value is the predicted numerical value that you set for each individual objective (e.g., 95% Utilization Rate, 70% 3-Month Retention Rate) for your target funding year (January 2010-December 2010 OR July 2010-June 2011 OR April 2010-March 2011).

Spaces are provided at the bottom of the Prospective Mandatory Objectives Sheet for dated signatures from the OASAS Program Manager, the OASAS Regional Coordinator, the OASAS District Director (or designee), the LGU representative, and the program representative (service provider). This will indicate approval and help monitor the movement and progress of the completed form through the Workscope process.

Setting Target Values

The data provided on the Prospective Mandatory Objectives Sheet, in addition to the data from IPMES, provide reference points and should be used collectively in helping you establish each program’s performance target values for the funding year. Data shown on the Prospective Mandatory Objectives Sheet and IPMES are based on data provided to the OASAS Client Data System by the program. If there is a question or concern regarding the accuracy of this data, contact your Field Office. It is possible that suspected inaccuracies are a data reporting problem which should be rectified. In the case of indices with an established minimum standard (e.g., utilization rate), your target value should not go below that standard value. If your PRU’s target value does fall below the established standard value, or if the target values for other mandatory objectives fall below the 40th percentile value, programs must present a justification for this lower target value to the Field Office upon submission of the Workscope materials. Field Office staff must, in turn, complete and submit an online Mandatory Objectives Exception Report justifying the lower proposed target. Once this target performance value is approved by the District Director, no additional justification will be required.

When setting target values for the 3-month, 6-month and one-year retention rates and the “% with discontinued use,” you should include in your calculation only those clients who complete the program within one month or remain in the program for one month or more (i.e., eliminate early dropouts). For the “% maintaining FT or improving employment-related status at discharge,” include only those who stay in the program for three months or more.

The performance target value that you enter should be a realistic target based on your program’s performance during the profile year and any changes that you have made in your program that might affect this coming year’s performance. Work closely with your Field Office and your LGU (where applicable) to help establish these targets. The performance targets established must be based on your program’s current resources. Do Not set performance targets that are so high that it is unlikely that they can be attained or so low as to be overly easy to meet. Ideally, where appropriate, your target should be the same or higher than your last year’s performance. If your program obtains a budget modification that will impact your program’s performance (e.g., reduction in staff), a

revised Workscope will then be required. Do Not submit a revised Workscope until you have received, in writing, a confirmation of a budget increase or decrease. Workscope Program Performance Inquiry data are available online to aid programs in quarterly monitoring of their progress over time.

Processing of Prospective Workscope Mandatory Objectives

Programs in most areas will identify target values for their mandatory objectives in conjunction with the LGU and the OASAS Field Office. Completed Workscopes are then submitted by the program to the LGU who, in turn, will submit them to the OASAS Field Office. Direct contract treatment providers will identify their target values only in conjunction with the Field Office and submit their completed Workscopes directly to that office.

Upon receipt of your approved Workscope, your mandatory objective performance target values and program specific objectives will be entered into the OASAS Workscope Objective Attainment System. Access to this system will allow Field Office staff to monitor your performance throughout the year. Programs should be prepared to discuss their prior year’s achievements and their newly proposed mandatory objective levels in relation to submitted funding requests.

For your reference, several attachments are included that are to be completed by Field Office staff. The online version of the WOAS Mandatory Objectives Exception Report (Attachment 13) is to be completed by Field Office staff for each program that has at least one of its mandatory objective target values falling below either the profile year’s standard or the 40th percentile value. Procedures for Field Office staff to follow in regard to the Workscope Objective Attainment System (including the WOAS Mandatory Objectives Exception Report) are outlined in Attachment 15.

DUE DATE

Upon receipt of the prospective materials, funded providers have 30 days (unless informed otherwise) from receipt of the Prospective Mandatory Objective Sheet to complete it and the other materials and submit them to the LGU. The LGU has 30 days to review, approve and submit them to the OASAS Field Office (Treatment programs that have direct contracts with OASAS have 60 days to submit the forms directly to the Field Office).

SECTION 2

PROGRAM SPECIFIC OBJECTIVES - INSTRUCTIONS

(Funded Programs Only)Fiscal Year: January 2010 – December 2010

July 2010 - June 2011 April 2010 - March 2011

Programs are required to develop Program Specific Objectives only if directed to do so by the LGU or their OASAS Program Manager. The Program Specific Objective form allows your program to identify performance targets for program specific objectives in areas not covered under the mandatory objectives but which are of particular relevance to your program and which capture important nuances not revealed by the mandatory objectives. In determining these program specific objectives, start by identifying the various goals and objectives of your program as they relate to client outcome. Consider the following types of questions, when trying to identify program specific objectives, in order to determine the nature and purpose of your program. What is (are) your program’s:

▪ assessed client needs? ▪ implied or stated conceptual or theoretical model? ▪ perceived mission? ▪ anticipated benefits, goals and objectives? ▪ intervention/service delivery approach? ▪ target populations?▪ outreach efforts? ▪ special initiatives?

To complete this portion of the Workscope, you will need to do the following:

1. identify goals and objectives of your program; 2. determine how to measure those goals/objectives selected (list a variety of possible indicators); 3. choose the best and most reasonable indicators that relate to client outcome; 4. translate the indicators into measurable objectives and determine the means of collecting and monitoring

that information; 5. set reasonable target values.

Measurable objectives (step 4 above) should include all of the following: (a) an indicator (what you are measuring); (b) a target population (who will change); (c) a timeframe in which the change will occur (usually the fiscal year); and (d) the change expected (generally, either the proportion of the target population expected to experience change, or the amount of change expected on the indicator).

IDENTIFYING PROGRAM SPECIFIC OBJECTIVES

Program specific objectives may be generated from a particular focus of the program on certain populations or areas of client need (e.g., adolescents, employment, and women) or on an area in which the program wants to document improvement or an increase in services. Program specific objectives may include, but are not limited to, those in the following example box:

EXAMPLES: ● Percentage of clients with improved relationships among families/friends

● Number of admissions of a particular gender, ethnicity, age, referral source, etc., because of their status as a special target ● Percentage of clients that enter training programs population

● Reduction in the number of cases of methadone diversion ● Reducing early drop-out rate

● Reduction in nonopiate, multidrug use among methadone ● Percentage of clients engaged in education or vocational activities clients

● Rates of negative urine reports ● Percentage of clients regularly attending self-help groups

● Percentage of clients using AIDS preventive measures ● Number of AIDS education sessions provided

● Improvement in communicating/interacting with others

MEASURING AND DOCUMENTING PROGRAM SPECIFIC OBJECTIVES

It is important to be as specific as possible when defining your program specific objectives. To do this, it is also crucial that programs choose program specific objectives that are measurable, and the method of measurement should be described. If measures for your program specific objectives are to be based on instruments you have acquired or developed (e.g., surveys, observational checklists), then that instrument should be identified and should include a brief description of the measures associated with each program specific objective. Your existing client records may already contain the measures of interest. Once you can define your measures, you will be able to explain your objectives or goals (target values) specifically using those measures in terms of the proportion of the target population expected to show change OR the amount of change expected on the indicator (using either numbers or percentages). Procedures to be used to accomplish your objective should be briefly described.

In order for you to monitor and determine the actual achievement of all program specific objectives identified, they must be documented in client records or be available from another source. For example, if your objective is “percentage of clients that enter training programs,” individual client records must contain information documenting the clients’ admission to or attendance at the training program. Client records must also be available for review by OASAS Program Review staff and to Field Office staff throughout the year.

Filling Out the Program Specific Objectives Form

Two program specific objectives can be entered per page on the Program Specific Objectives form (Attachment 5). In the first column, each program (PRU) should enter its program specific objective (and assign an identifying number to it), including the objective indicator, the population targeted (for the PSO), the associated performance target values (the change expected), the timeframe in which the change is expected to occur (usually the funding year, as appropriate), and the manner in which the objective is being measured (measure and data source).

Example of a measurable program specific objective:

The placement of 60 clients in jobs, as confirmed by photocopies of pay stubs

It contains the following important components:

Objective Indicator Population Targeted

For PSO Performance Target

Value [or expected change]

Timeframe Data Source/Measure

Job placements All clients unemployed at admission

60 clients placed in jobs Funding Year: January 2010-December 2010

OR July 2010-June 2011

OR April 2010-March 2011

Photocopied pay stubs (contained in client records)

See Attachment 7 for a variety of examples of how to document program specific objectives based on their component parts, using a Program Specific Objectives Worksheet. A blank worksheet has been included in your package for your use (see sample - Attachment 6). Your Program Specific Objective(s) are submitted on a Program Specific Objective form (see sample - Attachment 5).

DUE DATE

If a program specific objective is being required by the LGU or Field Office for this Prospective Workscope, a program (PRU) should complete the first column of the Program Specific Objectives form for funding year 2010 or 2010-2011, listing the new objective for the coming year. As with the mandatory objectives, OASAS Field Office staff, representatives from the LGU, and program staff will jointly identify objectives and establish appropriate performance targets. Programs should be prepared to discuss their prior year's achievements and their newly proposed program specific objectives as they relate to submitted funding requests.

After receiving the full IPMES/Workscope Report approximately three months into the fiscal year, each program (PRU) should complete the second column of the prior year's Program Specific Objective form indicating whether the target value for each program specific objective established for fiscal year 2009 or 2009-2010 were met. In the third column (right side), the program must indicate the actual achievement and an explanation of the actual performance, such as in the example below:

Example:

Eighty (80) clients were placed in employment during 2009. The higher than expected number was a result of an extensive community outreach effort undertaken by our program's vocational counselor.

FULL IPMES/WORKSCOPE PACKAGE (Issued approximately three months after the start of the fiscal year)

SECTION 3

IPMES/WOAS COVER SHEET Fiscal Year: July 2008 – June 2009

January 2009 - December 2009 April 2009 - March 2010

The IPMES/WOAS cover sheet (see Attachment 8) is part of the full IPMES/Workscope Report and is issued approximately three months into the fiscal year. It provides program identifying information on the top portion of the page, including the program's comparison group (see description below). Most of this information is self-explanatory. The bottom portion of the page is divided into two sections: IPMES and Workscope.

IPMES

This portion of the form applies to all OASAS-certified treatment programs. IPMES provides information in two domains: program performance and client demographics (see Section 5). If a program's performance falls below a minimum standard (or the 25th percentile of the comparison group on an index where no standard exists) or above the regulatory maximum on any three of the performance indices (any one index for programs providing crisis services), the program's performance is flagged. In addition, programs will be flagged for failing to submit necessary Client Data System information. If a program is flagged, OASAS Field Office staff, in conjunction with the Local Governmental Unit, must determine if the program is actually experiencing problems with performance or whether the IPMES indices reflect known environmental factors or client characteristics that, on an ongoing basis, are expected to impact program performance. If the former is found to be the case, an action plan must be implemented. Following their inquiry, Field Office staff are required to submit a Program Action Report (PAR) to describe their findings. IPMES data are considered preliminary until the PAR is submitted.

The IPMES portion of this sheet will list the performance indices for which the program has been flagged and/or fallen below the minimum standard or the 25th percentile of the comparison group. When a program is flagged, at least three indices will be listed (at least one for crisis services). Even when a program is not flagged, it may fall below a standard or the 25th percentile on a number of indices. These will be listed here as well. For each index on which a program falls below a standard (or the 25th percentile on an index where no standard exists), the program must complete an Index Response and Clarification Sheet. Programs are not flagged on IPMES during their first year of operation.

Workscope

This portion of the form applies only to OASAS-funded programs and identifies the mandatory objectives for which a program did not meet its mandatory objective performance targets established in the prior year's Workscope. Programs are not flagged for failing to meet mandatory objectives.

IPMES performance indices are identical to the Workscope Mandatory Objectives (described below). When completing a Prospective Workscope (i.e., mandatory and program specific objectives), a program must consider its prior year's performance on IPMES and Workscopes and its ability to meet the current year's mandatory and program specific objectives (if any).

Comparison Groups

A program is placed in a comparison group so that, to the extent possible, its performance can be compared to that of similar programs. Comparison groups were chosen based on a judgment that programs in each group were similar enough to each other that fair comparisons between these programs could be made. The breakdown of those comparison groups are listed in Attachment 17. Treatment program comparison groups are constructed according to program type, degree of urbanization of location, special populations and/or treatment cycle (i.e., the average length of time that clients take to complete the program). The exception is for comparison groups involving methadone treatment clinics which are categorized by region and funding source. The programs assigned to each comparison group as of August 2009 are listed in Attachment 18.

Minimum Standards

OASAS has established minimum standards on a number of IPMES/Workscope indices. These are listed by comparison group in Attachment 20. The standards that apply to your program are also found in the second column on the Workscope Mandatory Objective Sheet (funded programs) and the Program Performance Sheet (nonfunded programs). On IPMES, if your program’s performance falls below an existing minimum standard, your program will be considered deficient on that index. On Prospective Workscopes, performance targets cannot be set below the minimum standard unless approved by the OASAS Field Office (which must then submit a Mandatory Objective Exception Report that documents the justification for the action). On any indices where no standard has been established, the 40th percentile of the comparison group is used as a substitute. The 40th percentile is the value for which 40% of the program values fall below and 60% fall above.

OASAS, with the assistance of Evaluation Systems Program Advisory Committee, is examining other IPMES/Workscope measures in order to establish standards on additional indices. All standards are examined regularly to determine their continued applicability to the IPMES/Workscope System. It is hoped that as the performance of the field improves, the minimum standards can be raised.

SECTION 4A

FULL YEAR MANDATORY OBJECTIVES SHEET - INSTRUCTIONS

(Funded Programs Only)Fiscal Year: July 2008 – June 2009

January 2009 - December 2009 April 2009 - March 2010

INTRODUCTION

This portion of the Workscope (see Attachment 9) identifies specific mandatory objectives for each program, the performance targets established for fiscal year 2008-2009, 2009, or 2009-2010 and the program's actual full year performance. The mandatory objectives listed are those for which performance is measurable through your reporting on the OASAS Client Data System (based on forms PAS-26N, -44N, -45N, -46N and -48N Visits or PAS-48N Patient Days).

The Full Year Mandatory Objectives Sheet presents summary performance data on those indices considered relevant for each program type. These indices, listed in the first column, coincide with the indices marked with an “X” on the OASAS Workscope: Mandatory Objectives for Treatment Programs tables (Attachment 2) for each comparison group. Thus, the listed indices may vary by program (PRU), since all indices are not appropriate for all types of programs. Their definitions can be found beginning on page 10, and the formulas used in calculating them can be found in Attachment 3.

The second column of the sheet contains two numbers separated by a slash. The number to the left of the slash is either the minimum standard value required by OASAS or federal mandate (e.g., in the case of “utilization rate,” with a standard value of 90%) or, the median value or 50th percentile (i.e., the value for which half of the program values fall below and half fall above) for a particular comparison group of programs (PRUs) during the profile year (2008-2009, 2009, or 2009-2010). The median value is indicated with a set of parentheses. If a median value is presented, the number to the right of the slash in the second column contains a 40th percentile value (i.e., the value below which 40% of the programs fall and above which 60% fall) for the profile year. If OASAS has a minimum standard value for a particular index (e.g., Utilization Rate), “DNA” will appear after the slash.

The third column displays the performance targets for each relevant index established by your program for the prior fiscal year.

The numbers in the fourth column represent your program’s actual performance during the last fiscal year as determined from your submission/entry of data into the OASAS Client Data System. If a particular index does not apply to your program, it will not appear on this worksheet. If a column contains “na,” this indicates that OASAS data are not yet available on that index.

The second page contains some baseline information used to calculate program performance on the mandatory objectives. These are calculated from program data submissions to the OASAS Client Data System.

The information contained on the Full Year Mandatory Objective Sheet should be used in conjunction with IPMES and the data to be provided on the Prospective Mandatory Objective Sheet to establish performance targets when the latter is distributed prior to the start of the fiscal year.

SECTION 4B

PROGRAM PERFORMANCE SHEET - INSTRUCTIONS

(Nonfunded Programs Only)

Fiscal Year: July 2008 – June 2009 January 2009 - December 2009

INTRODUCTION

The Program Performance Sheet presents summary performance data on those indices considered relevant for each program type. These indices, listed in the first column, coincide with the indices marked with an "X" on the OASAS Workscope Mandatory Objective Tables (Attachment 2). The listed indices may vary by program (PRU), since all indices are not appropriate for all types of programs. As these indices are equivalent to those for which funded programs must establish mandatory objectives, their definitions can be found on page 8 and the formulas used in calculating them can be found in Attachment 3.

The second column of the Program Performance Sheet contains two numbers separated by a slash. The number to the left of the slash is either the minimum standard value required by OASAS or federal mandate (e.g., in the case of "utilization rate," with a standard value of 90%) or, the median value or 50th percentile (i.e., the value for which half of the program values fall below and half fall above) for a particular comparison group of programs (PRUs) during the profile year (i.e., the year for which the data were reported). The median value is indicated with a set of parentheses. If a median value is presented, the number to the right of the slash in the second column contains a 40th percentile value (i.e., the value below which 40% of the programs fall and above which 60% fall) for the profile year. If OASAS has a minimum standard value for a particular index (e.g., Utilization Rate), "DNA" will appear after the slash.

The numbers in the third column represent your program's actual performance during the prior fiscal year as determined from your submission/entry of data into the OASAS Client Data System. If a particular index does not apply to your program, it will not appear on this worksheet. If a column contains "na," this indicates that OASAS data are not yet available on that index.

SECTION 5

INTEGRATED PROGRAM MONITORING AND EVALUATION SYSTEM (IPMES)

The data presented in IPMES Reports (see sample in Attachment 10) provide additional information to help guide each funded program (PRU) in establishing target performance values for each required Mandatory Objective. For all programs (funded and non-funded), IPMES provides a context for understanding your program’s performance by comparing its performance during the profile year to the minimum standards and to that of similar programs. In addition, when available, your program’s historical performance is provided to allow you to identify trends and significant changes in performance levels. The historical performance of the comparison group (represented by a dotted line) is also presented to provide a context for a program’s performance.

IPMES is viewed as an evolving system, and OASAS intends to incorporate feedback from its users into the evolutionary process in order to produce a performance system that is as useful as possible. In the future, IPMES will incorporate additional client and program performance data obtained from the OASAS Client Data System and may include fiscal data.

For IPMES and the Workscope, each program reporting unit (PRU) is considered to be an independent treatment program and a separate IPMES Report (and Workscope) is produced for each. The performance of individual programs is assessed on the Performance Indices Profile relative to other programs of a similar type. Comparison groups were selected based on a judgment that programs in each group were similar enough to each other that fair comparisons between these programs could be made. Although OASAS recognizes that each program is unique, in most cases, the similarities between programs in a comparison group are much greater than their differences. Chemical Dependence program comparison groups are constructed based on program type, the degree of urbanization of the program’s location, treatment cycle and/or special populations treated. Finer distinctions are made where information is available and a sufficient number of programs exist to create a group.

Program Identifying Data

The top of each page of the IPMES Report contains identifying information on the program: profile year; provider number and name; PRU number and name; program type; and comparison group. In addition, the IPMES face sheet contains: program address; OASAS Program Manager; number of admissions and transfers in (TFI) during the profile year; number of discharges and transfers out (TFO) during the profile year; average daily census during the profile year; or average certified capacity; the number of Direct Care staff (the average for 12 months); the regulatory maximum of clients per direct care staff; and average monthly waiting list during the profile year. The numerical data are based on program submissions to the OASAS Client Data System. If these data differ significantly from those maintained by the program, your OASAS Program Manager should be informed.

Graphic Data

All IPMES indices are presented in both a bar graph and historical graph format. The bar graph includes profile year data for each program as well as aggregate data for the PRUs in the program’s comparison group. Inclusion of the latter enables the graph to identify outliers on each of the indices. This graphical presentation includes: the lowest and highest values (values at the extreme left and right of the graph, respectively) reported by programs in the comparison group for the profile year; the first quartile or 25th percentile value (i.e., the value below which 25% or one-quarter of the comparison group’s programs fall); and the third quartile or 75th percentile value (i.e., the value below which 75% or three-quarters of the comparison group’s programs fall). The area on the graph shaded in gray and lying between the 25th and 75th percentiles represents the middle 50% of the programs in the comparison group (“interquartile range”). In all instances, where a minimum standard exists, it is represented by a vertical line extending through the bottom of the bar graph. Where no standard exists for a particular index, the

40th percentile (as listed on the Full Year Mandatory Objectives Sheet) is represented by a short vertical line extending above the gray shaded area. Bar graphs for Demographic Indices do not contain references to standards or the 40th percentile. The width of the bar graph (and each section) represents the range of values on the index for the comparison group; it does not reflect the proportion of programs in that range. The black dot on each bar graph shows your program’s level of performance on that index (in relation to the programs in its comparison group) during the profile year. The two values listed to the right of the bar graph include the median (50th percentile) of the comparison group and the program’s actual performance value for the profile year (also represented by the black dot on the graph). For a detailed review and explanation of the components of the bar graph data and an interpretation based on example data, see Attachment 11.

The historical graph shows the program’s performance on each index for up to six past consecutive years (including the current profile year). The horizontal axis of the historical graphs represents the previous consecutive years, and the vertical axis represents the values for each particular index. The dotted line represents the performance of the comparison group for up to six past consecutive years.

Client Dysfunction Scales: Demographic Performance Impact Measures

Client dysfunction scores are calculated for all clients admitted and transferred into a program during the profile year. The scores consist of factors that are likely sources of difficulty in successfully treating clients and that are available to OASAS through program reporting on the OASAS Client Admission Form (PAS-44N). The purpose of presenting information on client dysfunction is to allow the user of the IPMES Report to take into account the level of difficulty of treating a program’s client mix when assessing the performance of a PRU relative to that of others in its comparison group. For example, a program treating unusually dysfunctional clients might not expect to have as high a retention rate as one treating clients who, on average, have fewer of these problems. However, there is not a one-to-one relationship between high client dysfunction and poor program performance. Some programs with clients that are highly dysfunctional operate at high performance levels. The client dysfunction scales are presented as additional factors to consider when trying to understand and anticipate program performance level. Client dysfunction indices are not utilized for flagging a program’s performance.

Graphic information describing the level of dysfunction found in clients admitted into a program are presented for two indices: first, as the Average Client Dysfunction, which is the average number of dysfunction indicators identified for each of these clients, and second, the % of Clients with High Dysfunction, defined as the number of clients who were identified as having four or more of these indicators.

The indicators used in calculating the client dysfunction scales are:

● Unemployment - For those 19 or older at admission, Unemployed, looking for work; Unemployed, not looking for work; Not in labor force-other; Not employed/able to engage in work.

● Lack of Educational Achievement - For those 19 or older at admission, less than High School Diploma or GED. For those 18 or under at admission, less than High School Diploma or GED and not in school at admission.

● Income Difficulties - Primary Income Source at Admission is SSI/SSDI or SSA, TANF or Safety Net Assistance.

● Living Arrangement Difficulties - For those under 19 at admission, Living alone or Living with Non-related Persons.

● Homelessness - At admission, homeless, living in an institution or living in a single resident occupancy establishment.

● Any Current Criminal Justice Status.

● Any Current Mental Illness or History of Treatment for Same.

● Drug Injection - Reporting at admission of injection of primary, secondary or tertiary substance of abuse.

● Multiple Prior Treatment Episodes - Having three or more prior treatment episodes.

● Multiple Use of Substances - Reported use of any combination of heroin, cocaine or alcohol.

Performance Indices Profile

The Program Performance Indices Profile contains information concerning program effectiveness and client performance. These indices are presented in graphic format with accompanying comparison group data. Programs are flagged for falling below an OASAS minimum standard performance level or, where no minimum standard exists, falling within the bottom quartile, on three or more of the indices on which they are being evaluated.

Program Performance indices represent the areas of performance used by OASAS as direct measures of contract compliance and/or indirect measures of client outcome. They are equivalent to the Workscope Mandatory Objectives (see Section 1 for definitions and Attachment 3 for the formulas). The indices consist of measures of program and staff workload, client retention, admission/discharge improvement in client performance and appropriate continuity of client treatment. To the extent practical, programs are evaluated on indices most relevant to them and their comparison group. No program is evaluated on all of the Program Performance indices. Most comparison groups are held responsible for 9 or 10 measures (see Attachment 2). Note: For non-ambulatory programs, all performance index calculations involving number of days in treatment exclude the day of discharge unless the discharge occurs on the first day of treatment. For ambulatory programs, the day of discharge is included.

Demographic Indices Profile

These indices represent descriptive information provided by clients upon admission into a program. Demographic indices are not utilized for flagging a program’s performance. They are provided in IPMES to allow programs, OASAS Field Office staff and the LGU to better understand factors that may impact program performance. In addition, demographic information may reveal changing client population characteristics and assist programs in allocating resources to areas of need. As with other IPMES indices, demographic data are presented with accompanying comparison group distributions and within an historical context. The demographic indices included in IPMES are as follows:

% Client Admissions Under Age 19 % High School Graduates or GED at Admission % Employed or in School at Admission % Wage/Salary Primary Income at Admission % Black Admissions % Hispanic Admissions % Female Admissions % of Admissions Significant Other % With Prior AOD Treatment at Admission % With Criminal Justice Involvement at Admission % MICA Admissions

% With Other Major Physical Health Conditions % Homeless at Admission % With Medicaid Primary Payment Source % With Medicaid Managed Care Primary Payment Source % With Tobacco Use % With Foreign Language Primary % With Addiction Medication % Symptomatic % With 1 Week or Less Pickup Schedule Average Methadone Dose % With Cocaine Primary at Admission % With Cocaine Secondary at Admission % With Heroin Primary at Admission % With Heroin Secondary at Admission % With Use by Injection at Admission % With Alcohol Primary at Admission % With Marijuana Primary at Admission

SECTION 6

INDEX RESPONSE AND CLARIFICATION SHEET - INSTRUCTIONS

(All Programs)Fiscal Year: July 2008-June 2009

January 2009 - December 2009 April 2009 - March 2010

Any program that fails to meet a minimum standard or falls below the 25th percentile of its comparison group (where no standard exists) must complete one or more Index Response and Clarification Sheets (IRCS). The IRCS provides the program with an opportunity to explain its performance. A sample copy of the form can be found in Attachment 12. Programs should indicate the fiscal year for which the program has “deficient” indices (usually the prior year) on the top right hand corner of the form.

On each IRCS completed, a consecutive number should be assigned to each “deficient” index in the order that they appear on the IPMES/Workscope Cover Sheet. Place that number in the top left corner of the response box where indicated. Write the name of the index in the space provided.

Please keep the explanation of your program’s performance as brief as possible. If you cannot explain the program’s performance or are not certain of the cause of problems, do not fabricate an explanation. Simply indicate that you cannot readily explain the performance. In your proposed action plan, however, you must indicate how you will determine the possible factors that are contributing to your inability to meet or exceed the standard or 25th

percentile.

The proposed corrective action should also be concise. If additional space is needed, use the back of the form. Any proposed corrective action should be realistic and doable within the program’s existing resources. For funded programs, if the problem is a serious one that cannot be addressed without additional resources, this should be discussed with your LGU representative (where appropriate) and your OASAS Field Office Program Manager.

Each IRCS is formatted for the write-up of two indices. Extra sheets, if needed, are provided in your IPMES/Workscope package. If necessary, make copies of any additional sheets that you may need. The program director must sign on the bottom of the last IRCS sheet submitted. Where appropriate, the LGU representative must sign the last sheet as well. Funded programs must submit all of the completed IRCS sheets along with the completed prior year's Program Specific Objective achievements (if any). Nonfunded programs should submit the IRCS sheets to the OASAS Field Office.

DUE DATE

Upon receipt of the full IPMES/Workscope, funded programs have 30 days (unless informed otherwise) to complete the Index Response and Clarification Sheets and submit them to the LGU. The LGU has 30 days to review, approve and submit them to the OASAS Field Office (Treatment programs that have direct contracts with OASAS, and nonfunded programs have 60 days to submit the forms directly to the Field Office).

SECTION 7

PROGRAM PROFILE AND SERVICES INVENTORY (PPSI)

(All Programs)

ANNUAL UPDATE

The Program Profile and Services Inventory (PPSI)(see Attachment 19) is designed to provide OASAS with information concerning the operation of your program, as well as a detailed listing of the services you provide and the type of clients you target for those services. These data are directly entered into the OASAS computerized database by your program and are used to direct referrals and to respond to various inquiries concerning the availability of various types of services and to make appropriate client referrals to your program. The contact information is used to generate OASAS Program Directories which will include a synopsis of the submitted information for each program (PRU: Program Reporting Unit).

PPSIs

New treatment programs are required to complete PPSIs when they are issued their initial operating certificates. Most programs have already completed an initial PPSI and submit annual updates as part of the IPMES/Workscope process. Programs complete the initial PPSI and provide all subsequent updates directly on a web-based PPSI data entry screen (http://oasasapps.oasas.state.ny.us). Instructions on how to access the PPSI and make changes are available on the web and in Attachment 19. Programs should complete their initial PPSI, if they haven’t already done so, and at least once a year, they should review their existing data to determine if information needs updating. All programs must annually review their PPSI. Please carefully examine your program’s information on the web; if anything is incorrect or has changed since your last submission, please make these corrections. NOTE: OASAS User ID and password is required to get into this system.

Special Instructions

Special Target Populations: There are two criteria that must be met in order for a population to be designated as a “Special Target Population.” First, your program must engage in outreach activities to maximize access to services for these populations. Secondly, your program staff must have special training or experience in the provision of services to these populations.

When completing the special population section, only indicate those characteristics of the population that make them distinct. Criteria which have multiple choices (e.g., Gender, Race, and Ethnicity) should have only one choice entered on the chart. If you serve males and females, this is not a distinctive characteristic and you should leave this row blank. Likewise for race and ethnicity, if you serve multiple races, leave this blank. However, if your program targets one specific population through outreach and delivery of program services, you would indicate which race or ethnicity. If your program serves MICA clients but does not have restrictions regarding age, gender, or race/ethnicity, then you would just check off the MICA category and leave the others blank. Only check those characteristics that make your target population unique.

NOTE: Record different special populations separately. For example, if you target and serve pregnant teens as well as homeless gay teens, record them as two separate special populations in two separate columns; i.e. Special Population #1 – age category “adolescent” and “pregnant.” Special Population #2 – age category “adolescent,” “homeless,” and “LGBT.”

If you require forms of identification for admission to your program, please make sure you specify the number and types of identification required.

Under the Chemical Dependence Counseling Services section, if you indicate that a particular service is provided at your program, it is required that you indicate the average length of the counseling sessions in minutes and the average number of sessions provided each month. When answering some questions, you may feel that the preferred response is, “it varies” or “it depends on the particular circumstances.” However, you must be specific and indicate what the answer would be under average circumstances.

For the other program services, please make sure you do not skip any categories. If a particular service category is left blank, we will assume that the service is “Not Provided.”

PPSI SUBMISSION

DUE DATE

PPSIs for all programs should be either entered or reviewed and revised as necessary at least once each year as directed by the OASAS Bureau of Evaluation, Data Analysis and Decision Support.

Step-by-step instructions can be found on the Client Data System’s website at http://oasasapps.oasas.state.ny.us

ATTACHMENT 1

Sample Prospective Workscope Mandatory Objectives Sheet

ATTACHMENT 2

Mandatory Objectives for Treatment Programs By Comparison Group

New York State Office of Alcoholism and Substance Abuse Services OASAS WORKSCOPE: MANDATORY OBJECTIVES FOR TREATMENT PROGRAMS

(Submitted for January-December 2009 or July 2009-June 2010 or April 2009-March 2010) CHEMICAL DEPENDENCE PROGRAMS

Chart1

Comparison Group Utilization Rate % of Targeted

Units of Service Delivered

Units of Service Per FTE Direct Care Staff

Client/Direct Care Staff

Ratio

% Discontinued Use

% Maintaining FT or Improving

Employment-Related Status

1-Week Retention Rate

Intensive Residential: Women X X X X X

Intensive Residential: Women With Children X X X X X

Intensive Residential: w/TrCs < 12 months X X X X X X

Intensive Residential: w/TrCs > 12 months X X X X X X

Residential Rehabilitation Services for Youth X X X X X

Community Residential: NYC and Suburbs X X X X

Community Residential: Upstate Urban X X X X

Community Residential: Upstate Non-Urban X X X X

Supportive Living X X X X

Inpatient Rehab.: NYC X X X X X

Inpatient Rehab.: Suburban NYC X X X X X

Inpatient Rehab.: Upstate Urban X X X X X

Inpatient Rehab.: Upstate Non-Urban X X X X X

Medically Managed Detox. X X

Medically Supervised Withdrawal I/R X X

Medically Supervised Withdrawal OP TBD TBD

Medically Monitored Withdrawal: NYC and Suburban NYC X X

Medically Monitored Withdrawal: Upstate X X

TBD = To Be Determined

New York State Office of Alcoholism and Substance Abuse Services OASAS WORKSCOPE: MANDATORY OBJECTIVES FOR TREATMENT PROGRAMS

(Submitted for January-December 2009 or July 2009-June 2010 or April 2009-March 2010) CHEMICAL DEPENDENCE PROGRAMS

Chart 2

Comparison Group 1-Month Retention

Rate

3-Month Retention

Rate

6-Month Retention

Rate

1-Year Retention

Rate

% Completing

Program

% Completing Program or

Referred

% Program Completers

Admitted into Ambulatory, IR & RRSY

% Program Completers

Admitted into Ambulatory

% Program Completers Admitted into Other Treatment

Intensive Residential: Women X X X X X X

Intensive Residential: Women With Children X X X X X X

Intensive Residential: w/TrCs < 12 months X X X X X

Intensive Residential: w/TrCs > 12 months X X X X X X

Residential Rehabilitation Services for Youth X X X X X X

Community Residential: NYC and Suburbs X X

Community Residential: Upstate Urban X X

Community Residential: Upstate Non-Urban X X

Supportive Living X X X

Inpatient Rehab.: NYC X X

Inpatient Rehab.: Suburban NYC X X

Inpatient Rehab.: Upstate Urban X X

Inpatient Rehab.: Upstate Non-Urban X X

Medically Managed Detox. X

Medically Supervised Withdrawal I/R X

Medically Supervised Withdrawal OP TBD

Medically Monitored Withdrawal: NYC and Suburban NYC X

Medically Monitored Withdrawal: Upstate X TBD = To Be Determined

New York State Office of Alcoholism and Substance Abuse Services OASAS WORKSCOPE: MANDATORY OBJECTIVES FOR TREATMENT PROGRAMS

(Submitted for January-December 2009 or July 2009-June 2010 or April 2009-March 2010) CHEMICAL DEPENDENCE PROGRAMS

Chart 3

Comparison Group Utilization Rate

% of Targeted Units of Service

Delivered

Units of Service Per FTE Direct Care Staff

Client/Direct Care Staff

Ratio

% Discontinued

Use

% Maintaining FT or Improving Employment-Related Status

1-Week Retention Rate

Medically Supervised Outpatient: Women X X X X X

Medically Supervised Outpatient: Adolescent X X X X

Medically Supervised Outpatient: MICA w/TrCs < 12 months

X

X X X X

Medically Supervised Outpatient: MICA w/TrCs > 12 months

X

X X X X

Medically Supervised Outpatient: NYC w/TrCs < 12 months

X

X X X X

Medically Supervised Outpatient: NYC w/TrCs > 12 months

X

X X X X

Medically Supervised Outpatient: Suburban NYC w/TrCs < 12 months

X

X X X X

Medically Supervised Outpatient: Suburban NYC w/TrCs > 12 months

X

X X X X

Medically Supervised Outpatient: Upstate Urban

X

X X X X

Medically Supervised Outpatient: Upstate Non-Urban

X

X X X X

Outpatient Chemical Dependence for Youth X X X X

Outpatient Rehabilitation: NYC X X X X X

Outpatient Rehabilitation: Suburban NYC X X X X X

Outpatient Rehabilitation: Upstate X X X X X

Outpatient Rehabilitation: Adolescent X X X X X

Outpatient Rehabilitation: MICA X X X X X

New York State Office of Alcoholism and Substance Abuse Services OASAS WORKSCOPE: MANDATORY OBJECTIVES FOR TREATMENT PROGRAMS

(Submitted for January-December 2009 or July 2009-June 2010 or April 2009-March 2010) CHEMICAL DEPENDENCE PROGRAMS

Chart 4

Comparison Group 1-Month Retention Rate

3-Month Retention Rate

6-Month Retention

Rate

1-Year Retention

Rate

% Completing Program

% Completing Program or

Referred

% Program Completers

Admitted into Ambulatory, IR and RRSY

% Program Completers Admitted into Other Treatment

Medically Supervised Outpatient: Women X X X X X

Medically Supervised Outpatient: Adolescent X X X X

Medically Supervised Outpatient: MICA w/TrCs < 12 months X X X X X

Medically Supervised Outpatient: MICA w/TrCs > 12 months X X X X X

Medically Supervised Outpatient: NYC w/TrCs < 12 months X X X X

Medically Supervised Outpatient: NYC w/TrCs > 12 months X X X X X

Medically Supervised Outpatient: Suburban NYC w/TrCs < 12 months X X X X

Medically Supervised Outpatient: Suburban NYC w/TrCs > 12 months X X X X X

Medically Supervised Outpatient: Upstate Urban X X X X

Medically Supervised Outpatient: Upstate Non-Urban X X X X

Outpatient Chemical Dependence for Youth X X X X

Outpatient Rehabilitation: NYC X X X X

Outpatient Rehabilitation: Suburban NYC X X X X

Outpatient Rehabilitation: Upstate X X X X

Outpatient Rehabilitation: Adolescent X X X X

Outpatient Rehabilitation: MICA X X X X

New York State Office of Alcoholism and Substance Abuse Services OASAS WORKSCOPE: MANDATORY OBJECTIVES FOR TREATMENT PROGRAMS

(Submitted for January-December 2009 or July 2009-June 2010 or April 2009-March 2010) CHEMICAL DEPENDENCE PROGRAMS

Chart 5‘

Comparison Group Utilization Rate

% of Targeted Units of Service

Delivered

Units of Service Per FTE Direct Care Staff

Client/Direct Care Staff

Ratio

% Discontinued

Use

% Maintaining FT or Improving Employment-Related Status

1-Week Retention Rate

Methadone Treatment Clinic: OASAS-Funded NYC X X X X X X

Methadone Treatment Clinic: OASAS-Funded Non-NYC X X X X X X

Methadone Treatment Clinic: Non-Funded X X X X X X

Methadone Treatment: MTA Package-Ambulatory X X X X X X

Methadone Treatment: MTA Package-Residential X X X X X X

KEEP X X X X X

Chart 6

Comparison Group 1-Month Retention

Rate

3-Month Retention

Rate

6-Month Retention

Rate

1-Year Retention

Rate

% Completing

Program

% Completing Program or

Referred

% Program Completers

Admitted into Ambulatory, IR

or RRSY

% Program Completers

Admitted into Other

Treatment

Methadone Treatment Clinic: OASAS-Funded NYC X X X X

Methadone Treatment Clinic: OASAS-Funded Non-NYC X X X X

Methadone Treatment Clinic: Non-Funded X X X X

Methadone Treatment: MTA Package-Ambulatory X X X X X

Methadone Treatment: MTA Package-Residential X X X X X

KEEP X X X X

ATTACHMENT 3

WOAS Indices: Formulas

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION ALL PROGRAM TYPES

AVERAGE CLIENT DYSFUNCTION

(A Demographic Performance Impact Measure)

Average # of factors identified for all primary clients admitted to that program during a given period

Provides information on the degree of dysfunction of clients in a program. This is useful to consider when comparing one program to its comparison group

100 X

Sum of Client Dysfunction Scale scores across all primary

client admissions (during a given period)

Total # of primary client admissions

GENERAL NOTES • EXCLUDES significant others, and clients under 12 years of age at admission

or transfer in.

Scale based on sum of following dysfunctions from PAS-44N:

• Unemployment: for clients 19+ years old at admission [Employment Status=Unemployed, looking for work; Unemployed, not looking for work; Not in labor force-other; or Not employed/able to engage in work].

• Educational dysfunction: for adults 19+ years old (Highest Grade Completed=None to Grade 11, Vocational Certificate w/o Diploma/GED); OR, if client is under 19 years old at admission AND is not in school [Employment status=is not student AND has less than a GED or H.S. diploma [Highest Grade Completed=None to Grade 11, Vocational Certificate w/o Diploma/GED].

• SSI, TANF or Safety Net as primary source of income: [ Client’s primary source of income at Admission=SSI/SSDI or SSA, Safety Net Assistance (SNA) or Temp Asst for Needy Families (TANF)].

• Not living with family: for clients under 19 years old at admission [Living Arrangements=Living alone or Living w/Non-related persons].

• Homelessness or living in institution: [

Type of Residence=Homeless: no shelter; Homeless: shelter; Single resident occupancy; CD community residence; MH/MRDD community residence; Other Group Residential Setting; Institution

• Any criminal justice related status: [ Criminal Justice Status=any]. • Current mental illness or history of treatment: [Mark “YES” on any of the

following: Mental Illness; Ever Treated for Mental Illness Problem; Ever Hospitalized for Mental Illness; or Ever Hospitalized 30 or More Days for Mental Illness]

• Injection of primary, secondary, or tertiary drug of abuse: [ Route=Injection on primary, secondary or tertiary substance].

• Three or more prior treatment episodes. • Any combination of heroin, cocaine, or alcohol (of at least two) reported as

primary, secondary, or tertiary substances

% OF CLIENTS WITH HIGH DYSFUNCTION

Provides information on the proportion of clients that may be considered highly dysfunctional. This is useful when comparing one program to its comparison group.

100 X

# of clients admitted to a program (during a given period) who had 4 or

more dysfunction factors present (Client Dysfunction Scale score> 4)

Total # of primary client admissions

ALL PROGRAM TYPES

NOTE: See Scale factors above

WOAS INDICESFor Projecting Target Performance Levels

INDEX

ALL Inpatient, Residential, Crisis Services and Methadone Programs:

Avg. daily census (for report period) (calculated from PAS-44N/45N/46N

Avg. monthly capacity (from PDS)

100 X

UTILIZATION RATE (ALL PRUs)

Provides information on the degree to which a program functions at its anticipated capacity.

NOTE: Acceptable Standard = 90%

NOTES:

• Avg. daily census: is based on total number "patient days" (calculated from PAS-44N/45N/46N) for period, divided by the number of days in the period.

• Program average monthly capacity: taken from the Provider Directory System (PDS), is the average certified capacity of the program at the time that the PAS-48N was completed (from the PAS-48Ns in the period).

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

TARGETED # UNITS OF SERVICE NOTE: OASAS calculates the % of targeted UOS that are actually ALL PROGRAM TYPES (EXCEPT CRISIS SERVICES) (UOS) delivered. The full index formulas, as shown here, are for

DELIVERED monitoring purposes only. On the Workscope, programs must enter only the target value (DENOMINATOR).

IMPORTANT NOTE: PROGRAMS ARE NOT FLAGGED ON THIS INDEX

Outpatient: GENERAL NOTES: • The full index shown here is for monitoring purposes only.

Total # of Units of Service that a On the Workscope, programs must enter only the bottom target program projects will be delivered to clients (during a given period)

# of UOS (visits)**actually delivered

# of UOS (visits) targeted (projected) to be delivered

Target* Value

100 X

value (DENOMINATOR). OASAS calculates and provides the complete index (percent of targeted UOS that were actually delivered) on the following year's Workscope Mandatory Objectives Sheet. This is shown under "Program Performance" for "Targeted UOS Delivered."

• **Outpatient: UOS=patient treatment visits from PAS-48N: [Brief Visits: 15 minutes-<30 minutes (V6); Treatment Visits: 30 minutes-<2 hours (V7); Treatment Visits: 2 hours-<4 hours (V8);

Provides information on the degree to which a program is providing the appropriate amount of services to clients

Inpatient Rehab. & Residential:

# of UOS (patient days)*** actually delivered

100 X

Treatment Visits: 4 hours or more (V9); Assessment Visits (V13)]. Compute applicable visits according to the equation below.

• Methadone Outpatient: UOS=patient treatment visits from PAS-48N: [Brief Visits: 15 minutes-<30 minutes; Treatment Visits: 30 minutes-<2 hours; Treatment Visits: 2 hours-<4 hours;

# of UOS (patient days) targeted (projected) to be

delivered

Target* Value

Treatment Visits: 4 hours or more; Assessment Visits and Medication Visits]. Compute applicable visits according to the equation below.

• ***Inpatient Rehab. & Residential: UOS=patient days from PAS-48N; [D6-Total all days for that period (e.g., for all 12 months)].

• INCLUDES: primary clients and significant others.

** Outpatient # of visits in period)

* Methadone only

Treatment visits (Sum: 30 min-<2 hrs., (V7)

+2 hrs.-<4 hrs (V8)., 4 hours or more (V9)

1

Medication only* visits (item V14)

6 +

Assessment visits (item V13)

1

Brief visits (item V6)

2

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

# UNITS OF SERVICE (UOS) Outpatient: ALL PROGRAM TYPES (EXCEPT INPATIENT REHAB., DELIVERED PER FTE COMMUNITY RESIDENTIAL, SUPPORTIVE LIVING,

DIRECT CARE STAFF * Targeted # of UOS (visits) (to be) delivered

(see target value in previous index)

AND CRISIS SERVICES)

GENERAL NOTES: # of Units Of Service that a program projects • Outpatient: UOS=visits (SEE INDEX ABOVE). will be delivered to clients by the average FTE direct care worker (during a given period)

Avg. # of end-of-month Primary Counselors and other direct-care staff

FTEs (based on PAS-48N)

• Residential & Inpatient: UOS=patient days (SEE INDEX ABOVE).

• FTE: Total full-time equivalent (FTE) Primary Counselors and other direct-care staff.

Residential & Inpatient: • Other Direct-Care staff: includes qualified health professionals as

well as other staff who provide direct clinical services but are not This provides information on direct care staff workload. Projected # of UOS (patient days) (to be)

delivered (see target value in previous index)

Avg. # of end-of-month Primary Counselors and other direct-care staff FTEs

(based on PAS-48N)

primary counselors. Administrative and support staff are not considered direct-care staff.

• Average end-of-month direct-care FTE staff=[Total # of FTE Primary Counselors and other direct-care staff on payroll at end of the month for each PAS-48N (D8 or V10) (total of all for the period), divided by the number of months in the period].

• INCLUDES: services to primary clients and to significant others

CLIENT TO DIRECT-CARE STAFF RATIO

# of clients served by the average FTE direct care worker

Outpatient:

Avg. sum of beginning of month censuses and monthly admissions (based on PAS-48N)

Avg. end-of-month Primary Counselors and other direct-care staff FTEs (based on PAS-

48N)

ALL PROGRAM TYPES

GENERAL NOTES: • Other Direct-Care staff: includes qualified health professionals as

well as other staff who provide direct clinical services but are not primary counselors. Administrative and support staff are not considered direct-care staff.

This provides information on direct-care staff workload.

NOTE: round to nearest 100th

Inpatient, Residential, MTA-Residential and Crisis Services:

Avg. daily census (for report period) (based on PAS-44N/45N/46N/47N)

• INCLUDES: primary clients and significant others. • Program performance on this index is considered problematic and

contributes to flagging if its performance falls below the 25th

percentile value of its comparison group or is above the regulatory maximum.

NOTE: round to nearest 100th

Avg. end of month Primary Counselors and other direct-care staff FTEs (based on PAS-

48N)

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

% WITH DISCONTINUED USE*

% of all primary clients who have discontinued use of reported substances

* NOTE: for non-MMTP clients, based only on clients who stay in program one month or more and/or completed the program.

100 X

Non-MMTP:

# of primary clients discharged from the program in a given period who EITHER:

1) completed the program** and at discharge reported no usage of primary, secondary, or tertiary admission substance, or of different substances reported at discharge

OR 2) did not complete the program at

discharge but had a length-of-stay in the program of one month or longer and at discharge reported no usage of primary, secondary, or tertiary admission substance, or of different substances reported at discharge

ALL PROGRAM TYPES (EXCEPT COMMUNITY RESIDENTIAL, SUPPORTIVE LIVING AND CRISIS SERVICES)

GENERAL NOTES: • **Clients discharged who completed program: refers to clients

whose discharge reason was “Completed Treatment: All treatment goals met” OR “Completed Treatment: Half or more of treatment goals met”, based on PAS-45N, Discharge Status.

• Primary Client: where on PAS-44N [‘Significant Other= “No’], i.e,. Significant Others are not included in this index.

• Current Status (at Discharge) of Primary, Secondary, or Tertiary Admission Substance, or of different substances reported at discharge: based on PAS-45N [Current Status (at

Provides information on a program's ability to get clients to discontinue use of substances of abuse.

Total # of primary clients discharged from the program in a given period who EITHER: 1) completed the program**

OR 2) did not complete the program but had

a length of stay of one month or longer at time of discharge

MMTP:

discharge) of Problem Substances Reported at Admission: Primary, Secondary, and Tertiary Substance, or of Different Problem Substances Used and Not Reported at Admission, not indicating usage in the past 30 days].

• Length-of-stay of one month or longer: period of time in which the client was in continuous treatment 30 days (= 365/12) or longer, measured by the number of days between client's admission and discharge dates (from the PAS-44N and PAS-45N).

• Current year’s MCAS Report refers to the MCAS Report that methadone clinics are required to complete annually for each client on the anniversary of their admission date.

100 X

# of primary clients who at the current year’s MCAS (PAS-26N) reported no usage of any substance for which level of use was reported

Total # of clients with a current year’s MCAS (PAS-26N) Report

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

Maintaining Full-Time (F/T) or Improving Employment-Related Status Total number of primary clients who did any of the following since admission:

From Admission (PAS-44N) To Discharge (PAS-45N) or MCAS

(PAS-26N) 1 Any employment status

NOTE: includes Employed F/T Employed F/T

2 Unemployed, looking for work Unemployed, not looking for work Unemployed, in treatment OR NILF – Not in Labor Force, Child Care; Not in Labor Force, Disabled; Not in Labor Force, Retired; Not in Labor Force, Inmate; Not in Labor Force, Other

OR

Not employed/Able to Work; Unable to work, mandated treatment

(Any one of below): Employed P/T <35 hrs/week NILF, Student NILF, In Training

3 NILF – student or in training Employed P/T <35 hrs/week

Non-MMTP:

# of primary clients discharged from the program in a given period who had

a length of stay of three months or longer AND whose employment status at discharge reflected a maintenance of

full-time employment or an improvement* from the employment

status at admission.

# of primary clients discharged from the program in a given period who had

a length of stay of three months or longer (based on PAS-44N/45N

admission/discharge dates)

MMTP:

# of clients who at the current year’s MCAS (PAS-26N) had an employment status reflecting a maintenance of full-time employment or an improvement**

from the employment status at admission

# of clients with a current year’s MCAS (PAS-26N) report

ALL PROGRAM TYPES (EXCEPT INTENSIVE RESIDENTIAL-WOMEN, RRSY, MMTP, KEEP, OUTPATIENT ADOLESCENT,

INPATIENT REHAB. AND CRISIS SERVICES)

GENERAL NOTES: • *Improvement in employment-related status: based on comparison

between employment status at admission (PAS-44N) and at discharge (PAS-45N); SEE CHART BELOW; also includes staying employed full-time.

• **Improvement in employment-related status: based on comparison between employment status at admission (PAS-44N) and at current year’s MCAS (PAS-26N); SEE CHART BELOW; also includes staying employed full time.

• F/T = full time; P/T = part-time; NILF = not in Labor Force. • Primary Client: where on PAS-44N, [‘Significant Other’ = ‘no’] i.e.,

Significant others are not included in this index. • Length-of-stay of three months or longer: period of time in which client

was in continuous treatment (from client admission to discharge) 91 days (= (365/12/x3) or longer.

• Not in Labor Force: clients, who at discharge or MCAS Report, are not in the Labor Force due to child care, disability, incarceration or retirement are excluded from the calculation.

% CLIENTS MAINTAINING FULL-TIME OR IMPROVING

EMPLOYMENT-RELATED STATUS

% of all primary clients discharged in a given period* who, at discharge, maintained their full-time employment status or had an improved employment-related status**

NOTE: based only on discharged primary clients who stay in program for three months or longer.

Provides information on a program's ability to improve the educational and/or employment status of its clients.

100 X

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

ONE-WEEK # of clients discharged in a given INPATIENT ONLY RETENTION RATE period who: EITHER:

1) completed the program* GENERAL NOTES: % of clients discharged in a given period OR • *Clients discharged who completed program (in numerator): who either completed the program and/or 2) did not complete the program refers to clients whose Discharge Status based on PAS-45N was had been in continuous treatment for one week or longer at time of discharge

but had a length of stay of one week or longer at time of discharge**

100 X “Completed treatment: All treatment goals met” OR “Completed Treatment: Half of treatment goals met.”

• **Length-of-stay of one week or longer: period of time in which the client was in continuous treatment (from client admission to

Provides information on a program's ability to retain clients for at least one week.

Total # of all clients discharged in a given period

discharge) 7 days or longer; based on dates of admission and discharge from PAS-44N & PAS-45N.

1-MONTH # of clients discharged in a given period ALL PROGRAM TYPES (EXCEPT INPATIENT RETENTION RATE who: EITHER:

1) completed the program* AND CRISIS SERVICES)

% of clients discharged in a given period OR GENERAL NOTES: who either completed the program and/or 2) did not complete the program but • *Clients discharged who completed program (in numerator): had been in continuous treatment for one had a length of stay of one 100 X refers to clients whose Discharge Status was “Completed Treatment: month or longer at time of discharge month or longer at time of

discharge** All treatment goals met” OR “Completed Treatment: Half of

treatment goals met”; based on PAS-45N. • **Length-of-stay of one month or longer: period of time in which

Provides information on a program's ability to retain clients for at least one month.

Total # of all clients discharged in a given period

the client was in continuous treatment (from client admission to discharge) 30 days (= 365/12) or longer; based on dates of admission and discharge from PAS-44N & PAS-45N.

• INCLUDES: primary clients and significant others.

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

3-MONTH ALL PROGRAM TYPES (EXCEPT INPATIENT RETENTION RATE # of clients discharged in a given period

who: EITHER: AND CRISIS SERVICES)

% of clients discharged in a given period who either completed the program and/or had been in continuous treatment for three

1) completed the program* OR 2) did not complete the program but

had a length of stay of three months or longer at time of discharge**

GENERAL NOTES: • *Clients discharged who completed program: refers to clients

whose Discharge Status was “Completed Treatment: All treatment goals met”, OR “Completed Treatment: Half of treatment goals met”; based on PAS-45N.

months or longer at time of discharge Total # of clients discharged in a given period who: EITHER:

100 X • **Length-of-stay of three months or longer: period of time in which the client was in continuous treatment (from client admission to discharge) 91 days (= 365/12/x3) or longer. Length-

Provides information on a program's ability to retain clients for at least three months.

1) completed the program* OR 2) did not complete the program but

had a length of stay of one month or longer at time of

of-stay of one month or longer refers to 30 days (=365/12) or longer; based on dates of admission and discharge from PAS-44N & PAS-45N.

• INCLUDES: primary clients and significant others. discharge • EXCLUDES: calculation excludes clients who dropped out of

program (without completing treatment) in less than one month (i.e., under 30 days).

6-MONTH ALL PROGRAM TYPES (EXCEPT INPATIENT, COMMUNITY RETENTION RATE # of clients discharged in a given period RESIDENTIAL, KEEP, AND CRISIS SERVICES)

% of clients discharged in a given who: EITHER: 1) completed the program* GENERAL NOTES:

period who either completed the program and/or had been in

OR 2) did not complete the program but

had a length of stay of six

• *Clients discharged who completed program: refers to clients whose Discharge Status was “Completed Treatment: All treatment goals met”, OR “Completed Treatment: Half of treatment goals

continuous treatment for six months months or longer at time of met”; based on PAS-45N. or longer at time of discharge discharge**

Total # of clients discharged in a given period who: EITHER: 1) completed the program* OR

100 X • **Length-of-stay of six months or longer: period of time in which client was in continuous treatment (from client admission to discharge) 182 days (= 365/12/x6) or longer. Length-of-stay of one month or longer refers to 30 days (= 365/12) or longer; based on dates of admission and discharge from PAS-44N and PAS-45N.

For programs with a treatment cycle of over 2) did not complete the program but • INCLUDES: primary clients and significant others. 6 months, it provides information on a had a length of stay of one • EXCLUDES: calculation excludes clients who dropped out of the program's ability to retain clients for at least month or longer at time of program (without completing treatment) in less than one month six months. discharge (i.e., under 30 days).

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

1-YEAR INTENSIVE RESIDENTIAL PROGRAMS (WOMEN); RRSY; RETENTION RATE * # of clients discharged in a given period INTENSIVE RESIDENTIAL WITH AVERAGE TrCs > 12

% of clients discharged in a given period who either completed the program and/or had been in continuous treatment for one year or longer at time of discharge

who: EITHER: 1) completed the program* OR 2) did not complete the program but

had a length of stay of one year or longer at time of discharge**

MONTHS; OUTPATIENT PROGRAMS WITH AVERAGE TrCs > 12 MONTHS; METHADONE MAINTENANCE OUTPATIENT;

MEDICALLY SUPERVISED OUTPATIENT-WOMEN; MEDICALLY SUPERVISED OUTPATIENT-MICA WITH

AVERAGE TrCs>12 MONTHS

Total # of clients discharged in a given period who: EITHER: 1) completed the program*

100 X GENERAL NOTES: • *Clients discharged who completed program: refers to clients

whose Discharge Status was “Completed Treatment: All treatment goals met” OR “Completed Treatment: Half of treatment goals

For programs with a treatment cycle of over one year, it provides information on a program's ability to retain clients for at least one year.

OR 2) did not complete the program but

had a length of stay of one month or longer at time of discharge

met”; based on PAS-45N. • **Length-of-stay of one year or longer: period of time in which

the client was in continuous treatment (from client admission to discharge) 365 days or longer. Length-of-stay of one month or longer refers to 30 days (= 365/12) or longer; based on dates of admission and discharge from PAS-44N and PAS-45N.

• INCLUDES: primary clients and significant others. • EXCLUDES: calculation excludes clients who dropped out of

program (without completing treatment) in less than one month (i.e., under 30 days).

• TrCs: refers to program "treatment cycle" which is actual average length-of-stay of clients completing a program (based on data from the profile period).

% COMPLETING INPATIENT AND KEEP PROGRAMS ONLY PROGRAM

% of clients discharged in a given period

# of clients who are discharged in a given period who completed the program*

GENERAL NOTES: • *Clients discharged who completed program/treatment (in

who completed the program Total # of clients who were discharged in a given period excluding those

100 X numerator): refers to clients whose Discharge Status was “Treatment Completed: All treatment goals met”, OR “Treatment Completed: Half or more treatment goals met”; based on PAS-

Provides information on a program's arrested/incarcerated or non-completers 45N. ability to get clients to complete their who were referred to a Mental regimen. Health/Health program.

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

% COMPLETING INTENSIVE RESIDENTIAL, OUTPATIENT, MTA PROGRAM OR AND RRSY ONLY

REFERRED

% of clients discharged in a given period who, within one month after discharge, either completed the program were referred to a mental health or health services program, or were admitted to another chemical dependence treatment program

Provides information on a program's ability to get clients to either complete their regimen and/or to get them into more appropriate treatment.

# of clients discharged in a given period who EITHER completed the

program* OR within 45 days of discharge were admitted to another chemical dependence program***

Total # of clients who were discharged in a given period

excluding those arrested/incarcerated or non-

completers who were referred to a Mental Health/Health program**

100 X

GENERAL NOTES: • *Clients discharged who completed program (in numerator): refers

to clients whose Discharge Status was “Treatment Completed: All treatment goals met”, OR “Treatment Completed: Half or more treatment goals met”; based on PAS-45N.

• **Referrals: client referrals are excluded if the referral category on PAS-45N is Mental Health Programs: Mental Health Community Residence, Mental Health Inpatient, Mental Health Outpatient, or Mental Retardation/Dev. Disabilities OR referred to Health Institutions: Hospital; Hospital (Long Term)/Nursing Home; Nursing Home, Long Term Care; or Group Home, Foster Care.

• ***Admission to another treatment program: determined by tracking clients (using tracking IDs) in the Client Data System (CDS). A client is counted if an admission is found, for the client, to another

treatment program within 45 days after discharge in the Client Data System (CDS).

• INCLUDES: both primary clients and significant others.

% OF PROGRAM COMPLETERS INTENSIVE RESIDENTIAL, MTA, and RRSY ONLY ADMITTED INTO # of clients discharged in a givenAMBULATORY** period who completed the GENERAL NOTES:

TREATMENT program* AND were admitted into an outpatient treatment program**

• *Clients discharged who completed program: refers to clients whose Discharge Status was “Completed Treatment: All treatment

% of primary clients discharged in a given within 45 days after discharge goals met” OR “Completed Treatment: Half or more treatment goals period who completed the program* who 100 X met”; based on PAS-45N. were admitted into outpatient treatment** • **Admission to outpatient program: determined by tracking clients within 45 days after discharge Total # of clients discharged in a

given period who completed the program*

(using tracking IDs) in the Client Data System (CDS). A client is counted if an admission is found in the CDS (within 45 days after discharge), for the client, to an outpatient program

NOTE: A program is credited if the client is already in ambulatory Provides information on the degree to which treatment prior to discharge. residential and inpatient programs have successfully transitioned their clients into outpatient treatment.

WOAS INDICESFor Projecting Target Performance Levels

INDEX EQUATION EXPLANATION

% OF PROGRAM COMPLETERS INPATIENT ONLY ADMITTED INTO AMBULATORY,

INTENSIVE RESIDENTIAL OR RRSY** TREATMENT

# of clients discharged in a given period who completed the

program* AND were admitted

GENERAL NOTES: • *Clients discharged who completed program: refers to clients

whose Discharge Status was “Completed Treatment: All treatment % of primary clients discharged in a given into an outpatient treatment goals met” OR “Completed Treatment: Half or more treatment period who completed the program* who program** within 45 days after goals met”; based on PAS-45N. were admitted into outpatient, intensive discharge • **Admission to outpatient, intensive residential or RRSY residential or RRSY treatment** within 45 100 X program: determined by tracking clients (using tracking IDs) in days after discharge

Total # of clients discharged in a given period who completed the

the Client Data System (CDS). A client is counted if an admission is found in the CDS (within 45 days after discharge), for the client, to an outpatient, intensive residential or RRSY program.

Provides information on the degree to which program*

NOTE: A program is credited if the client is already in ambulatory residential and inpatient programs have treatment prior to discharge. successfully transitioned their clients into outpatient treatment.

% PROGRAM COMPLETERS ADMITTED INTO OTHER**

TREATMENT

% of primary client discharged in a given period who completed the program who were admitted into other** treatment within 45 days after discharge

NOTE: Into programs other than Crisis Services and KEEP.

# of clients who were discharged in a given period who completed the program* AND were admitted to some other treatment program**

within 45 days after discharge

Total # of primary clients discharged in a given period who completed the program*

100 X

CRISIS SERVICES AND KEEP ONLY

GENERAL NOTES:

• *Clients discharged who completed program: refers to clients whose Discharge Status was “Completed Treatment: All treatment goals met”, OR “Completed Treatment: Half or more treatment goals met”; based on PAS-45N or PAS-46N.

• **Admission to "other" program: determined by tracking clients (using tracking ID) in the Client Data System (CDS). A client is counted if an admission is found in the CDS (for the client) to another treatment program (within 45 days after discharge) other than Crisis Services or KEEP.

Provides information on the degree to which crisis services and KEEP programs have successfully transitioned their clients into longer term treatment programs.

ATTACHMENT 4

WOAS Demonstration Indices: Formulas

WOAS DEMONSTRATION INDICES

INDEX EQUATION EXPLANATION

% REDUCTION IN SIX MONTH ARRESTS

% decline in number of clients arrested from 6 months prior to admission to six months prior to discharge 100 X

(total # of clients discharged in a given period who were arrested during the six

months prior to treatment) minus (-) (total # of clients discharged in a given period who were arrested during the six

months prior to discharge

EXCLUDES CRISIS SERVICES, INPATIENT REHAB, COMMUNITY RESIDENTIAL, AND SUPPORTIVE LIVING

GENERAL NOTES: • Excludes clients who were not in continuous treatment

Provides information on a program's ability to reduce client arrests. Total # of clients discharged in a given

period who were arrested during the six months prior to treatment

(from client admission to discharge) 6 months or longer; based on dates of admission and discharge from PAS-44N and PAS-45N.

% REDUCTION IN SIX MONTH ARRESTS

% decline in number of clients arrested from 6 months prior to admission to six months prior to Methadone Client Update Report 100 X

(total # of clients having an anniversary in a given period who were arrested during

the six months prior to treatment) minus (-) (total # of clients having an anniversary

in a given period who were arrested during the six months prior to the Methadone

METHADONE PROGRAMS ONLY

GENERAL NOTES: • Based on data from the PAS-44N and PAS-26N.

Provides information on a program's ability to reduce client arrests.

Client Annual Status Report)

Total # of clients having an anniversary in a given period who were arrested during

the six months prior to treatment

WOAS DEMONSTRATION INDICES

INDIVIDUAL AND GROUP COUNSELING SESSIONS PER FTE

PRIMARY COUNSELOR PER WEEK

This provides information on counseling staff workload and productivity.

Avg. # of individual counseling sessions per week

PLUS (+) Avg. # of group counseling sessions per

week (based on PAS-48N)

Avg. end of month Primary Counselors on payroll (based on PAS-48N)

EXCLUDES CRISIS SERVICES

GENERAL NOTES:

• based on data from the PAS-48N

• sessions per week calculations are made by dividing annualized sessions by 365.25/7

GROUP TO INDIVIDUAL COUNSELING RATIO

This provides information on relative provision of group and individual counseling

Total # of group counseling sessions reported for clients discharged in a given period

Total # of individual counseling sessions reported for clients discharged in a given

period

MEDICALLY SUPERVISED OUTPATIENT CLINICS, METHADONE RESIDENTIAL REHAB MTA, AND

OUTPATIENT REHAB

GENERAL NOTES: • based on data from the PAS-45N

PATIENT TO PRIMARY COUNSELOR RATIO

This provides information on counselor caseload

Avg. # of unique clients* (based on PAS-48N)

Avg. end of month Primary Counselors on payroll (based on PAS-48N)

EXCLUDES CRISIS SERVICES

GENERAL NOTES: • based on data from the PAS-48N

*estimated by adding the beginning-of-month census to the total number of admissions

ATTACHMENT 5

Workscope: Program Specific Objectives Form

ATTACHMENT 6

Determining Measurable Program Specific Objectives: A Worksheet (Blank Form)

ATTACHMENT 7

Determining Measurable Program Specific Objectives: Examples

Determining Measurable Program Specific Objectives: EXAMPLES

COMPONENT PARTS of Program Specific Objective Program Specific Objective

NOTE: The information from this worksheet form should be included in the first column of the Program Specific Objective form that you submit to OASAS. Objective

Indicator PopulationTargeted

for PSO

Performance Target Value

[OR expected change]

TimeframeFY =Funding Year

Data Source/Measure [How you will collect and analyze the data]

20% increase in the number of admissions of pregnant Hispanic teens, as measured in the client records by client characteristics info.

# of admissions

pregnant Hispanic teens being admitted in funding year

20% increase (# admissions) from last year

Funding Year Measured in the client records by client characteristics information.

75% of clients with overnight weekend privileges will remain drug free during all weekend pass periods.

Data will be based on urinalyses results.

drug-free status

clients with overnight weekend privileges

75% will remain drug-free while out on overnight passes

Funding Year � On-site urinalysis testing: Samples will be

taken upon return from weekend pass and results will be recorded.

Placement of 60 clients into jobs, as measured by pay stubs.

Information will be entered into a PSO client log for monitoring and determining results.

job placements

all clients unemployed

at admission (during FY)

60 clients (will get jobs) Funding Year

� Photocopied pay stubs (contained in client records).

� Information will be entered into a PSO client log for monitoring and determining results.

25% improvement (over a 6-month period) in the relationship of clients and their "significant others," as measured by the Dyadic Adjustment Scale at the point of admission, every 3 months, and at discharge.

Results will be entered into a database file and analyzed.

improvement in the relationship of clients and their "significant others"

clients in program who are in a committed relationship at admission

25% improvement

6-month period

[from admission during FY to 6 months after admission (or until complete

treatment if sooner) ]

� Dyadic Adjustment Scale: 32-item scale that measures the respondent's perception of the adjustment of the couple as a functioning group;

� Applicable clients will be administered this inventory at admission and every 3 months up until discharge; results will be entered into a data base file and analyzed.

25% improvement in the family environment of those clients engaging in the family therapy program, as measured by the Family Environment Scale.

OR: significant improvement in the family environment of 60% of those clients engaging in the family therapy program, as measured by the Family Environment Scale.

improvement in the family environment of those clients engaging in the family therapy program

all clients engaging in the family therapy program during the funding year

25% improvement

OR:

60% of clients (show improvement)

Funding Year

� Family Environment Scale: 90-item true/false questionnaire that assesses family members' perceptions of their family social climate along 10 dimensions;

� Applicable clients will be administered this inventory at the time of beginning the family therapy program and every 3/6 months; results will be logged onto a form and analyzed.

Determining Measurable Program Specific Objectives: EXAMPLES

Program Specific Objective

NOTE: The information from this worksheet form should be included in the first column of the Program Specific Objective form that you submit to OASAS.

COMPONENT PARTS of Program Specific Objective

Objective Indicator

Population Targeted for PSO

Performance Target

Value[OR expected change]

Timeframe FY=Funding

Year Data Source/Measure

[How you will collect and analyze the data] To increase the number of early assessments to children early children under 3 years 40 children Funding Year � Client records: log sheet will be developed tounder 3 years from 10 (last year) to 40 children assessed assessments; (whose parent is newly assessed (from identify applicable children and to record and provide (on-site and/or through referral) the admitted during the FY) 10 last year) [from assessments made. appropriate intervention for developmental delays. appropriate

interventions beginning to end of FY]

From the client records, a log sheet will be developed to identify applicable children and to record the number of

(measured at 6 months)

children assessed.

80% of the clients completing the six-week series of Relapse Prevention will be able to self report the use of relapse prevention strategies (i.e., attending 12-step anonymous meetings; calling peers and/or sponsors; have a peer for support during weekend passes) and identify the following: • What are relapse triggers? How to work with relapse

triggers? • What are the benefits of recovery?

identification and use of relapse prevention measures

all clients completing the six-week relapse prevention series

80% of clients will learn and use relapse prevention measures

Funding Year

� Pre- and post- questionnaires to be administered prior to the first substance abuse group meeting (of the series) and upon completion of the six-week series.

To increase parent/child positive interaction (i.e., good Positive parent clients just increase this 6-month � An existing observational checklist instrument touch (hugs, backrubs) praise (with words, smiles, parent/child beginning child-parent type of behavior period during which includes positive behaviors such as gentle touch), joint activities (e.g., "let's play house," interaction sessions sometime to 4 out of 5 the FY(or until good touch (hugs, backrubs), praise (with etc.) over a period of 6 months (or until program is completed, if sooner).

during the first six months of the FY

interactions. program completed) ] words, smiles, gentle touch), joint activities

(e.g., "let's play house," etc.).

The goal is to increase this type of behavior to 4 out of 5 interactions. This will be measured using an existing observational checklist instrument to be administered by

Instrument is to be administered by trained program staff in monthly child-parent sessions.

trained program staff in monthly child-parent sessions.

To reduce stress and withdrawal symptoms, all new acupuncture all incoming residents provide Funding Year � Sessions will be monitored with a log sheet residents admitted during first 6 months of funding year treatment admitted during the first acupuncture dedicated to tracking this service. We will will receive acupuncture treatment administered 5 times 6 months of the funding treatment 6-month examine, in particular, the avg. % of sessions a week for 6 months. NOTE: this is a new service provided year administered 5

times a week for period (per client)

(out of 120 per client) completed by new clients who stay in the program 6 or more

We will monitor, with a log sheet, the avg. % of 6 months. months. sessions (out of 120 per client) completed by new clients who stay in the program 6 or more months.

Determining Measurable Program Specific Objectives: EXAMPLES Program Specific Objective

NOTE: The information from this worksheet form should be included in the first column of the Program Specific Objective form that you submit to OASAS.

COMPONENT PARTS of Program Specific Objective

Objective Indicator

Population Targeted for PSO

Performance Target Value [OR expected change]

Timeframe FY=Funding Year

Data Source/Measure [How you will collect and analyze the data]

10% of all clients leaving the program during the funding year will be provided with work readiness and employability skills training and will achieve gainful employment by the time they leave the program.

Employment training will be verified by: • attendance sheets (showing regular attendance) from

scheduled groups focusing on resume writing and interviewing techniques; • documentation in clinical chart of services provided.

Gainful employment will be verified by: • monitoring of job search activities;

• copies of paystubs.

Log forms will be used to monitor clients and the achievement of the above objectives.

work readiness and employability skills training

all clients

leaving the program during the funding year

10% (of all clients) will meet objectives of getting training AND becoming employed

Funding Year Employment training will be verified by:

� attendance sheets (showing regular attendance) from scheduled groups focusing on resume writing and interviewing techniques;

� documentation in clinical chart of services provided.

Gainful employment will be verified by:

� monitoring of job search activities;

� copies of paystubs.

Log forms will be used to monitor clients and the achievement of the objectives above.

gainful employment

80% of all clients who complete the program during the obtain a all clients who 80% (of all Funding Year The objective will be verified by:funding year will obtain a Sponsor from a 12- step program prior to leaving program.

This will be verified by:

sponsor from a 12-step program [prior to leaving the

complete the program during the funding year

clients) will meet objective to obtain 12-step sponsor

� dated proof of regular attendance at a 12-step program such as AA/NA (prior to leaving program);

• dated proof of regular attendance at a 12-step program program � documentation of sponsor and home groupsuch as AA/NA (prior to leaving program); meeting location.• documentation of sponsor and home group meeting

location. Log forms will be used to monitor clients Log forms will be used to monitor clients and the achievement and the achievement of the objective above . of the above objective.

Determining Measurable Program Specific Objectives: EXAMPLES

Program Specific Objective

NOTE: The information from this worksheet form should be included in the first column of the Program Specific Objective form that you submit to OASAS.

COMPONENT PARTS of Program Specific Objective

Objective Indicator

Population Targeted for PSO

Performance Target Value

[OR expected change]

Timeframe FY=Funding

Year Data Source/Measure

[How you will collect and analyze the data]

75% of the clients with children aged 15 years or younger completion of mothers with children 75% of the Funding Year � Pre- and post- questionnaire. will successfully complete the Parent Development Course and self report the use of one or more parental development techniques (during the Funding Year).

the Parent Development Course

and

aged 15 years or younger

mothers will both:

1) complete the Parent

� Passing final exam (from the Parent Development Course).

This will be measured and verified by: • Pre- and post- questionnaire;

self-reported use of one or more parent

Development Course;

and � Documentation of course assignments.

• Final exam (from the Parent Development Course); development techniques 2) use one or

more parent• Documentation of course assignments. development

techniques.

90% of the criminal justice clients remaining in the program for 4 months or more will be participating in school, a training skills program, and/or employment.

participation in any of the following: school, a training skills

criminal justice clients remaining in the program for 4 months or more

90% of the clients will be in school, a training skills program

Funding Year The objective will be verified by:

� Progress reports to and from school/training;

This will be measured and verified by: program and/or and/or � Documentation of site visits by Vocational • Progress reports to and from school/training; employment employed Counselors in case records;

• Documentation (in case records) of site visits by Vocational Counselors; � Pay stubs (of those employed).

Pay stubs (of those employed).

ATTACHMENT 8

IPMES/Workscope Cover Sheet

ATTACHMENT 9

Sample Full Year Mandatory Objective Sheet (Funded Programs Only)

and

Sample IPMES Program Performance Sheet (Nonfunded Programs Only)

ATTACHMENT 10

IPMES

ATTACHMENT 11

Explanatory Graphs for IPMES

ATTACHMENT 12

Index Response and Clarification Sheet

ATTACHMENT 13

WOAS Mandatory Objective Exception Report (for Field Office Staff)

A hard copy form is no longer used. This information is entered into the WOAS computer system. The form is included here to display the information entered into the system.

ATTACHMENT 14

Program Action Report (for Field Office Staff)

A hard copy form is no longer required. This information is entered into the WOAS computer system. The form is included here to display the information entered into the system.

ATTACHMENT 15

IPMES/Workscope Operational Procedures (for Field Office Staff)

IPMES/WORKSCOPE OPERATIONAL PROCEDURES (August 2009)

Funded Programs - Steps 1 - 10

Non-Funded Programs - Steps 7 and 8

Step 1 The OASAS Bureau of Evaluation, Data Analysis, and Decision Support (BEDADS) produces the Prospective Mandatory Objective Sheet and distributes them to funded providers with copies to the LGUs and the OASAS Field Offices prior to the end of the fiscal year.

Step 2 OASAS Program Managers, LGU and program staff confer and formulate the Program Specific Objectives (if any) and reach general agreement on the numerical target performance values for each Mandatory Objective and Program Specific Objective taking the program's base budget into consideration.

Step 3 The program has 30 days from receipt of the Prospective Workscope materials to complete the forms and submit them to the LGU. The LGU has 30 days to submit them to the OASAS Field Office (Treatment programs that have direct contracts with OASAS have 60 days to submit them directly to the OASAS Field Office). Field Office staff review the Workscope materials to determine whether the Prospective Mandatory and Program Specific performance target values are appropriate. If Field Office staff concur with the workscope's contents, they proceed to Step 5.

Step 4 If Field Office staff and the program or LGU disagree on any Prospective Mandatory Objective target performance value and/or on any aspect of the Program Specific Objectives, discussions are held to resolve areas of contention. If these cannot be resolved, the program or LGU can petition the appropriate District Director or their designee for a final judgement.

Step 5 If a program's target performance value on any of the Mandatory Objectives falls below the standard or 40th

percentile value (where no standard exists) for its comparison group, Field Office staff must complete an online Workscope Mandatory Exception Report which explains the rationale for the program's "below standard" objective.

Step 6 The OASAS Program Manager has 45 days from receipt of the Prospective Workscope materials from a program or LGU to approve them and obtain the approvals of the Field Coordinator and the District director or their designee. The Program Manager then enters the Prospective Mandatory Objective target performance values, the Program Specific Objectives, and any Mandatory Exception Reports into the online Workscope computer system. Evaluation staff will monitor the Workscope process and issue status reports on Workscope submissions.

Step 7 BEDADS produces full-year IPMES/Workscope materials, and distributes them approximately two months into the fiscal year (after all data from the programs are received and processed). This will consist of the full-year Mandatory Objectives Sheet which contains the program's target performance values (funded programs only) and actual performance

for the prior fiscal year, IPMES and the PPSI. IPMES provides information on each program's prior year's performance on each Mandatory Objective, accompanied by Client Dysfunction data, Program Reporting Consistency data and client demographics. Also included is historical program data and comparative data on the performance of other programs within the comparison group. These

materials will indicate whether the program is flagged for its performance on IPMES (i.e., for most programs, failing to meet the standard or in the bottom 25th percentile on at least three of the indices).

Step 8 Workscope:

The Program should re-examine its Prospective Workscope submissions based on the new data provided. If a program has been flagged on IPMES, these performances must be considered when setting final Mandatory and any Program Specific Objectives. At this time, the program also submits the results of the prior year's Program Specific Objectives by completing the right side of that year's Program Specific Objective Sheets. The general submission procedures described in Steps 2-6 should then be followed including a review of the Data contained in the PPSI. If no changes are necessary, the Prospective Mandatory and Program Specific Objectives become final. The Program also reviews the PPSI and makes any necessary changes directly on-line. If no change is required, the Program should still indicate that the PPSI was reviewed, via the web-based system.

IPMES:

If a program has been flagged on IPMES or was deficient on any index, it must complete and submit an Index Response and Clarification Sheet(s) to the OASAS Field Office. The program must also review the PPSI and make any necessary changes directly on-line. If no change is required, the Program should still indicate that the PPSI was reviewed, via the web-based system.

Step 9 If a Program subsequently receives a budget amendment that is expected to impact the performance targets it had established earlier, it may submit a revised Workscope, obtaining appropriate materials from the OASAS Field Office. Steps 2-6 are then repeated.

Step 10 Quarterly progress on Mandatory Objectives is accessed utilizing the Program Performance Inquiry Report on the OASAS web-based system.

ATTACHMENT 16

Program Action Report Procedures (for Field Office Staff)

IPMES/WORKSCOPE PROGRAM ACTION REPORT PROCEDURES (August 2009)

Step 1 On an annual basis, OASAS will review the criteria for determining the level of IPMES performance required to “flag” a program for Field Office follow-up. Currently, programs are flagged on IPMES if their performance falls below the minimum standard or within the bottom 25th percentile (where no standard exists) on at least three* of the IPMES indices.

Step 2 If a program is flagged on IPMES, the OASAS Field Office initiates a Program Action procedure. The OASAS Program Manager, in conjunction with the LGU, will contact the cited program to review the Index Response and Clarification Sheets and discuss the explanations for the programs performance. If a problem is identified, performance targets for the relevant Workscope Mandatory Objectives are adjusted accordingly. Workscope Program Specific Objectives may be created or modified to address the problems. Following the contact, the OASAS Program Manager will complete an on-line Program Action Report (PAR) which describes the problem (if any), the action taken by the Field Office, and the recommendation for problem rectification.

Step 3 The PAR is sent electronically to the Field Coordinator for review and approval. Upon obtaining the latter (electronically), the PAR is electronically forwarded to the appropriate District Director or their designee for review. Upon electronic approval by either of the latter, this phase of the process is complete.

Step 4 If the OASAS Program Manager determines that further action or monitoring is required, the PAR must indicate that the case remains active. If no such activity is required, the case is closed with the appropriate date indicated. The Program Manager is responsible for tracking program progress in all active cases and, ultimately, updating of the PAR when it is determined that no further monitoring is necessary and the case can be closed.

*For Crisis Services, programs are flagged on IPMES if they are cited on only one or more indices.

ATTACHMENT 17

Existing Comparison Groups for Chemical Dependence Programs

Comparison Groups for Chemical Dependence Programs (August 2009)

Medically Supervised Outpatient: Women1

Medically Supervised Outpatient: Adolescent2

Medically Supervised Outpatient: MICA w/TrCs < 12 months 5

Medically Supervised Outpatient: MICA w/TrCs > 12 months 5

Medically Supervised Outpatient: NYC w/TrCs < 12 months3,4

Medically Supervised Outpatient: NYC w/TrCs > 12 months3,4

Medically Supervised Outpatient: Suburban NYC w/TrCs < 12 months3,4

Community Residential: NYC and Suburban NYC4

Community Residential: Upstate Urban4

Community Residential: Upstate Non-Urban4

Supportive Living

Methadone Treatment Clinic: OASAS-Funded Non-NYC4

Methadone Treatment Clinic: OASAS-Funded NYC4

Methadone Treatment Clinic: Non-Funded Medically Supervised Outpatient: Suburban NYC w/TrCs >

12 months3,4

Medically Supervised Outpatient: Upstate Urban 4

Medically Supervised Outpatient: Upstate Non-Urban4

Outpatient Rehabilitation: NYC Outpatient Rehabilitation: Suburban NYC Outpatient Rehabilitation: Upstate Outpatient Rehabilitation: Adolescent Outpatient Rehabilitation: MICA

Methadone Treatment Clinic:-MTA Methadone –Residential Rehabilitation-MTA Key Extended Entry Program (KEEP)

Intensive Residential programs: w/TrCs < 12 months3

Intensive Residential programs: w/TrCs > 12 months3

Intensive Residential: Women1

Intensive Residential: Children in Residence1/6

Residential Rehabilitation Services for Youth

Medically Managed Detox. Medically Supervised Withdrawal I/R Medically Monitored Withdrawal: NYC and Suburban NYC Medically Monitored Withdrawal: Upstate

Inpatient Rehabilitation: NYC4

Inpatient Rehabilitation: Suburban NYC4

Inpatient Rehabilitation: Upstate Urban4

Inpatient Rehabilitation: Upstate Non-Urban4

4 Urbanization Breakdown by County: New York City Upstate Urban - Bronx - Albany - Kings - Broome - New York - Erie - Queens - Monroe - Richmond - Niagara

- Oneida - Onondaga

NYC Suburban Ring - Rensselaer - Nassau - Schenectady - Rockland - Suffolk Upstate Non-Urban - Westchester - balance of counties

1 70% or more of admissions for the period are women

2 70% or more of admissions for the period are under age 21 years old. NOTE: Being defined as an adolescent program takes precedence over being defined as a women’s or MICA program (i.e., if a program satisfies criteria for both, it is classified as an adolescent program). Being defined as a MICA program takes precedence over being defined as a women’s program.

3 TrCs = avg. treatment cycles; based on average length-of-stay of clients completing program during the profile year. If no clients completed the program during that year, it is based on completers for the most recent year for which completers can be found.

4 See list to the left.

5 70% or more admissions for the period are MICA (PAS-44N has a "yes" answer to any mental health question.

6 Program “checks in” children of patients.

ATTACHMENT 18

Listing of Programs in Each Comparison Group

ATTACHMENT 19

PPSI Web System Access Instructions

To look up a particular section in this document, click the bookmark symbol to the left to open up an index. Clicking on the item will take you directly to the page/section listed.

GENERAL INFORMATION

In addition to required reporting of admissions, discharges and monthly service delivery, all OASAS-certified treatment programs are required to maintain their online Program Profile and Services Inventory (PPSI).

For new programs, this means that a new PPSI must be entered within 45 days of their operational/reporting start date. For existing programs, the PPSI must be reviewed at least annually. This is accomplished by each program’s PPSI Contact or other staff going on the PPSI Online Form to review and update during each calendar year. The Bureau of Evaluation, Data Analysis and Decision Support sends correspondence each year in the month of February to remind program directors and PPSI contact staff of this requirement. EVEN IF NO CHANGES ARE NEEDED, program staff should access the PPSI Online Form, review the contents and press the SAVE AND MARK AS COMPLETE BUTTON.

Beginning February 2009, OASAS has put into place a new PPSI system, which is easier to navigate. Instructions for the new PPSI follow on Page 4.

The Program Profile and Services Inventory is designed to provide OASAS with information concerning the services provided by each treatment program in New York State and the clients targeted for those services. This information is used to respond to inquiries concerning the availability of the various types of services and may be used to make appropriate client referrals by OASAS 877-8-HOPENY number. This number is used by parties seeking assistance with their substance abuse problems and should not be called by providers.

Please note that if your program information is not correct in the PPSI, then the HOPE number will also have incorrect information. The HOPE number contractor does not have the ability to update provider information. It is up to each program to keep contact names and phone numbers up-to-date.

Providers are strongly encouraged to update their contact information in the Provider Directory System as staff changes are made.

PLEASE NOTE: The PPSI formatted report has a section at the top showing provider identifying information, address, phone number, Person Completing Inventory, PPSI Contact and Client Admission Contact. These items are to be changed in the Provider Directory System under “Provider Maintenance” and Contact Role and Staff tabs . You will not see this information on the PPSI Online Form. See separate step-by-step instruction for completing this section. Click this link to review the instructions forupdating contact information – http://oasasapps.oasas.state.ny.us/portal/page/portal/OASAS_APPS/Application_Documentation/Contact_ Update_Instructions.pdf

Getting Connected

If you have forgotten your User ID or password or cannot log in, please call the OASAS Help Desk at (518) 485-2379.

You must have an OASAS User ID and password to use the PPSI Online Form and to run a PPSI Report. If an OASAS User ID is needed, go to http://www.oasas.state.ny.us/mis/forms/irm-15.pdf and click on the fillable OASAS External Request for Access Form and follow the instructions on page two of the IRM-15 form for submitting the request. Inquiries about User IDs and passwords should be directed to the OASAS Help Desk only.

All other questions concerning completing PPSI and contact updates may be directed to Tammy January of the OASAS Bureau of Evaluation, Data Analysis and Decision Support at (518) 457-9555.

Instructions for Reviewing and Updating PPSI Information

To access the PPSI in the Provider Directory System

From the Web address http://oasasapps.oasas.state.ny.us , log in using your OASAS User ID and password, then click on the “Application” tab, and select Provider Directory System from the blue bar of tabs across the top left. (Note: Your computer must allow pop-ups.)

To review and update the PPSI data, use the PPSI Online Form (PAS 7). This link will give you a search box. Type in your Provider and Program (PRU) Numbers only. DO NOT FILL IN THE NAMES. Click the “Find” button. It is highly recommended that you have both your Provider and PRU Numbers available. Otherwise, follow the instruction for searching in the paragraph below.

Performing a Search

If you do not have your PRU number available, you must first perform a search by clicking on the flashlight icon to the right of the Provider Name box. If you have your Provider Number available, type it in and click “Search.” You will get a pop-up window showing all the operational programs. Click the “Select” radio button of your program, then the “Select” button at the bottom of the page. You will (finally) get to a screen identifying both your program and PRU. Click the “Find” button and the PPSI online form will open up.

Entering Changes on the PPSI Online Form

The new PPSI system allows users to navigate from section to section by clicking on a tab link at the top or bottom of the page. Changes can be saved (but not submitted) by clicking the “Save for Later” button. This would be used if the user needed to check on a piece of information before submitting the PPSI to OASAS. Once the PPSI Online Form is complete, the user should click “Save and Mark as Complete.” Once this button is clicked, the PPSI system records the date internally. This is the proof that you have reviewed the PPSI, whether changes were needed or not. You will not see the date and do not need to notify OASAS. Clicking that button also will produce your complete and updated services on the PPSI Report, PAS-7 (the formatted report).

Section by Section Instructions

These instructions go in tab order from the left to the right. However, you can edit any page you want by clicking on any of the tabs (tabs are highlighted in blue and not underlined when you click on them – see screen shot). This is a new feature of the PPSI.

Operating Hours

Operating Hours, Client Admitting Hours and Methadone Dispensing Hours all have 3 rows. The extra rows are available if needed only. For example, if your program is open 8:00 a.m. to 12:00 p.m. and then 1:00 p.m. to 5:00 p.m. on the same day, you would fill in the two different rows. Most programs only need to fill in Row 1. Go through and fill in the days and hours your program is operational (Ambulatory Programs ONLY) and client admitting hours (All Programs).

Special Populations

The Special Populations section is probably the most misunderstood section of the PPSI. This section is to be filled out ONLY if 1. Your program engages in outreach activities for a population (e.g. has special adolescent programs, reaches out to adolescents through various community programs, etc.) AND 2. Your program has staff with special training or experience in providing these services.

This section is not used to capture everyone you serve.

Your program may list up to four special populations. Each Special Population section may have no more than 5 items for descriptors. Many programs target no special population. If that is the case, leave all items blank.

For example, your program serves battered women from 18-25. This would be listed as 3 items: Choose Female from the Gender dropdown, Young Adult from the Age Category and Victim Code (choose appropriate codes). This would be your Special Population #1.

Languages Spoken and Delivered by Staff

Choose “Yes” or “No” from the dropdown list to indicate whether or not staff are bilingual. If you choose “Yes” you must check off or fill in at least one language (can be spoken or delivered or both). You can choose up to 2 additional languages not listed.

Medicaid/Identification Requirements

Choose “Yes” or “No” whether you offer clients assistance in getting Medicaid. Indicate whether ID is required for admission.

Client Information Required PRIOR to Admission

For items listed, choose “All Incoming Clients” or “Only Clients with Suspected and/or Known Problems.” If you do not require an item prior to admission, leave blank.

Note: At any time during updating your PPSI, you can choose to save your changes by clicking on either of the save buttons.

Mass Transit and Driving Directions

Type in clear mass transit and driving directions. Do not use local abbreviations. Driving directions are used by OASAS staff and others who may be driving from out of your area. If mass transit/public transportation is not available, please type “No public transportation to site is available.”

Self Help/Recovery

This section addresses self-help and recovery groups. Beginning in 2009, OASAS will collect information about recovery alumni groups and the frequency of meetings.

Counseling and Specialized Services

In this section, please choose whether a service is provided on or off-site (e.g., a group that occurs at another PRU within the provider). If the service is not provided at all, leave blank. If either on-site or off-site is checked, there MUST be a whole number entered in both Average Length of Session (in Minutes) and the Average Number of Sessions per Month (per Client). (Do not enter 3-4 or 5.5 – only whole numbers are allowed – otherwise, you will get an error message.)

Individual Counseling – Addresses clinical problems, issues on the client's treatment plan, client crises and general client concerns that are most appropriate in a one-to-one, confidential setting. Individual counseling should be held in an area where counseling can not be overheard by other staff or clients.

Group Counseling – Services provided to a group of clients by direct care staff. A session with three or more individuals led by a counselor or counselors, in which there is group involvement and sharing of problems, goals or issues related to alcohol/substance abuse. These include, but are not limited to psychotherapy, insight therapy, reality therapy, transactional analysis, and the various types of expressive groups.

Encounter Group – An unstructured session of three or more clients, led by a counselor, in which clients are encouraged to confront their problems and express their real feelings in an effort to enhance self-awareness. Individuals receive feedback and support from other group members.

Family Counseling – A session in which advice, guidance, identification of problems, strategies to deal with alcohol/substance abuse within the family and/or alcohol/substance abuse education is provided to two or more members of a single family with or without the primary client.

Family Group Counseling – Services provided are the same as Family Counseling, however, services are provided to two or more families with or without the primary clients present.

Stress Management Counseling – Services provided to a client aimed at training the client to cope with or alleviate stress. This may include biofeedback as a technique for controlling stress.

Relapse Prevention Counseling – A dedicated counseling session, not part of an individual counseling session, offered to individuals to help them identify those persons, places and things, specific to the individual, which may contribute to his or her relapse and through an educational process provide the individual with information and strategies for dealing with them when they occur.

Aftercare Counseling – Minimal services designed to maintain a relationship between a program and a discharged client, in addition to any ongoing therapeutic and rehabilitative services regardless of who provides them.

Specialized Group Counseling – Group counseling targeted at specific populations (e.g., women, crack users) or addressing specific topic areas (spirituality, parenting, etc.).

The Problem/Pathological Gambling section should be filled in only if your program currently provides these services.

Individual Gambling Counseling – Usually provided by a credentialed gambling counselor. Addresses clinical issues related to problem gambling, crisis counseling related to gambling problems, and other client gambling-related concerns most appropriately addressed in a one-to-one, confidential setting. Individual counseling should be held in an area where counseling can not be overheard by other staff or clients.

Group Gambling Counseling – A session with three or more individuals, usually led by a credentialed gambling counselor or counselors, in which there is group involvement and a sharing of problems, goals and/or issues related to problem gambling.

Specialized Services and Primary Counselor Typical Caseload

The specialized services section is to be filled out ONLY if your program specializes in one or several particular substances. It should not be used to list all the substances that are treated for in the program.

*mandatory item to be completed prior to saving page.

The Primary Counselor Typical Caseload is a mandatory item that must be completed prior to the page being saved. Enter the maximum number of clients typically assigned (i.e., client caseload) to your primary counselors (e.g., 25:1 enter as 25). This number may be equal or less than, but cannot exceed the regulatory maximum. Although we understand that caseload size can fluctuate, please record the maximum number that you generally assign to the primary counselors.

Other Services

This section of the PPSI lists services offered by category. Most are self-explanatory. Definitions for others follow the screen shot.

Check the categories which describe how services are offered. More than one category can be checked except in the case where service is Not Provided. • Program (PRU) – service is offered on site within the PRU • Referral Within Provider – service is not offered at the program (PRU) but is provided through the provider

agency (i.e., through referral to another PRU). • Formal Referral to Another Provider – service is not available through PRU or provider. A formal referral is

normally made and documented in the client records with evidence that program staff initiated and confirmed client follow-through.

• Not Provided – service is not provided at all nor is it formally referred. Check or leave blank and it will be filled in for you.

Vocational/Educational Services

Vocational/Educational Assessment – The process of gathering information about an individual in order to develop a plan aimed at increasing the individual's ability to become employed or involved in productive activities. The basic information that must be attained includes: work, education, training, social, medical, drug and legal history; paper and pencil test results including reading and math achievement levels, aptitude and interests; familiarity with the world of work; interests and goals, potential to achieve vocational goals and the individual's strengths and weakness' affecting ability to function.

Individual (Vocational/Educational and Employment) Rehabilitation Counseling – The provision of one on one counseling services help a client with a disability increase his/her functional behavior and ultimately lead to employment or other productive activity. Rehabilitation counseling is generally an ongoing activity that helps empower an individual with a disability to maximize his/her functional capacity by helping develop and implement appropriate vocational/educational and employment plans, access needed resources to enact those plans and support the individual until goals are attained.

Group (Vocational/Educational and Employment) Rehabilitation Counseling – The provision of services described in individual rehabilitation counseling above but in a group setting using the group interaction and support as a catalyst for positive movement of the individual.

Work Readiness and Employability Skills Training – Instruction which helps an individual develop the personal/social skills necessary to function in the work-a-day world. These include appearance and dress, attendance, punctuality, resume preparation, interview skills, accepting supervision, getting along with co-workers, etc.

Life Skills Training – Formalized instruction designed to assist trainees to manage various life areas such as personal hygiene, personal health care, courtesy, problem solving, anxiety reduction, personal interactions, personal money management, and tenant/landlord relationships.

English as a Second Language (ESL) – ESL classes offer instruction in English for individuals who are not native speakers of English. Instruction level from beginning to advanced may vary depending on student needs.

Basic Education – Basic education classes offer basic education and supportive services to out-of-school youth and adults 16 years and older. Basic skills instruction is provided in reading, writing and mathematics for those functioning below the 7th grade level.

Remedial Education – Remedial education services may be offered to students at all levels to provide targeted instruction to address specific educational deficits that have been identified through testing and/or performance.

GED/High School Education – Formalized educational instruction for those individuals functioning at the seventh grade level.

College Preparation – College preparation programs offer courses designed to upgrade educational skills to prepare individuals for competitive entrance into post-secondary degree and certificate programs.

Vocational/Educational/Employment Referrals and Placements – The specific actions taken by a designated placement staff person or agency to refer clients for entrance into skills training or educational services and/or employment.

Vocational/Educational/Employment Follow-up and Support – Continuing counseling or other services provided to individuals after they have been placed in skills training/educational services, or employment.

Occupational Therapy – Occupational therapists help mentally, physically, developmentally, or emotionally disabled individuals develop, recover, or maintain daily living and work skills. With support and direction, patients learn (or relearn) many of the day-to-day skills necessary to establish an independent, productive, and satisfying lifestyle.

Chemical Dependence Education – The process of educating and counseling individuals, through films, lectures, or discussions, regarding the use of alcohol and other drugs and the effects of these substances on the body, behavior, society, etc.

Pathological Gambling Education – is defined as any work that is done to provide a general knowledge base around the risks and potential consequences related to problem gambling. This may include, but is not limited to topics on prevalence, availability, community norms, warning signs, diagnostic criteria, triggers, psychosocial indicators including financial, legal and family impacts and prevention, treatment, and recovery education.

Health-Related Services

Acupuncture – A medical procedure that involves inserting three or five acupuncture needles just under the skin or the surface of the external ear to control withdrawal symptoms and craving and reduce fears and anxieties.

Detoxification – Medical management of acute intoxication and withdrawal conditions, motivational counseling, assessment and placement in non-crisis services. Providing for the supervised elimination of the physical dependence on a pharmacological agent. The purpose is to minimize the pain, discomfort, and possible danger that might result from the abrupt termination of the substance to which an individual has developed a physical dependence.

Medical Examination – A thorough physical examination by trained medical personnel including an assessment of medical history, current health status, and appropriate referrals and follow-up as needed. This examination is usually provided upon admission to a treatment program.

Primary Medical Care – The routine and special services of a physician related to the examination, evaluation, diagnosis and treatment of physical and mental conditions.

Emergency Medical Care – Services of physicians and other health care providers for an injury or illness of resent or sudden onset.

Nutritional Services – Nutritional assessment and counseling which may include the provision of appropriate meals or nourishment to meet the individual's dietary needs.

Pre/Post-Natal Care – The provision of obstetrical/gynecological services to pregnant and post-partum clients in treatment.

Pediatric Care – Primary care services provided to the children of clients during the course of the parent's treatment.

HIV Antibody Testing – Provision of required confidential pre- and post-test counseling regarding HIV infection and disease by qualified staff and the drawing of blood from individuals who voluntarily choose to be tested for the HIV antibody.

Early HIV Primary Care – Services to HIV positive or at-risk clients which include HIV testing, initial comprehensive examination, T-cell monitoring, and drug immunotherapy.

HIV Case Management – The provision of HIV care, coordination, and access to medical and support services for individuals with HIV infection or disease.

TB Testing – Administration and interpretation of the Mantoux tuberculin skin test to detect tuberculosis infection.

TB DOT/DOPT – Observation and monitoring of individuals taking medication to treat active tuberculosis or to prevent the progression of tuberculosis infection in the course of their receiving alcohol or drug treatment services.

Hepatitis C Testing – Administration and interpretation of tests such as EIA, RIBA, PCV and PCR to detect the Hepatitis C Virus (HCV).

Health Counseling – Services provided to a client in order to assist them with medical problems.

Psychotropic Medication – Administration of medication prescribed by a licensed physician that affects psychological functioning, such as those used in drug therapy for client's who require medical management of a mental health problem. Such medications usually fall into one of the following categories: antianxiety, antidepressant and antipsychotic drugs.

Urine Sampling – Obtaining a sample of urine for submission to a laboratory testing to detect the presence of illicitly used drugs.

Blood Drawing (Other than HIV) – Drawing blood for submission to a laboratory for routine testing.

Breathalizer – A procedure utilizing accepted instruments for the identification of alcohol in the breath of clients.

Other Specialized Health-Related Services – Health-Related services which are provided to clients, as needed during the course of their treatment to maintain clients in good health in support of their alcohol/substance use treatment plan and which are not covered in other Health-Related service categories.

Legal Services

Legal Counseling – Services provided by a lawyer or trained legal paraprofessional to assist a client with a legal problem.

Legal Representation – Services provided by a lawyer where the lawyer legally represents the client in order to protect the client's rights, reviewing legal documents, filing legal papers, personal legal matters, etc., that do not require appearance in court.

Reports to Court, DTAP, TASC, etc. – Provision of required reports detailing the client's progress and compliance in treatment.

Reports to DMV's Drinking Driver Program – Provision of required reports detailing the client's progress and compliance in treatment.

Social Services

Parent Training – Provision of information and formal training in some or all of the following areas: physical care, patterning and sequencing of care, motor and sensory stimulation, promotion of communication and language, exploration, social relations, interest in achievement, enjoyment of the child, confidence in the maternal role, establishing security, handling separation, developing conscience mechanisms through consistent limitation and approval, and stressing self-esteem.

Activities Therapies – The evaluation and treatment of physical and psychosocial dysfunctions through the use of creative, manual, occupational, social, recreational, educational, and self-management activities.

Child Care – Provision of child care/day care services to children of clients while the client is in ambulatory treatment.

Housing Assistance – Assisting the client to secure temporary or long-term housing. Examples of specific activities include locating affordable housing units that are available, talking with landlords and management companies, providing a client with information and referrals on available housing units and assisting the client with rental applications or housing subsidy applications.

Recreation – The provision of regularly scheduled exercise sessions for all clients. Other activities could include group sports such as basketball, softball, volleyball, etc., attendance at organized recreational activities (e.g., movies, museums, and professional sports).

Entitlement Assistance – Providing clients with assistance in obtaining benefits to which they are entitled such as food stamps, Medicaid, AFDC, SSI, SSDI, Home Relief, etc.

Transportation – Providing clients with transportation services, either directly by providing transportation to and from the treatment program or indirectly by reimbursing clients for public transportation, providing tokens or taxi service.

Mental Health Services

Formal Mental Health Screening Using a Validated Instrument – Screening for mental health disorders is a formal process utilizing a validated screening tool. A validated instrument is one that was subjected to statistical tests which confirmed that it accurately measures its subject matter. The screening process and its instruments generally include yes/no questions (e.g., does the individual being screened show signs of a possible mental health problem that requires a comprehensive mental health assessment by a licensed practitioner?”). An example of a validated screening instrument for mental health disorders is the Modified Mini Screen (MMS).

Individual Psychotherapy – The use on a one-to-one basis by a qualified professional of any technique or procedure that has a palliative or curative effects upon any mental, emotional, or behavioral disorder.

Group Psychotherapy – The psychotherapeutic process in which groups of individuals meet together with a qualified professional and the interactions among the members of the group are thought to be therapeutic.

Psychiatric Assessment – An evaluation by a psychiatrist who specializes in the prevention, diagnosis, and treatment of mental disorders. The evaluation may determine whether there is a need for the prescription of psychoactive drugs.

Psychological Assessment – An evaluation by a licensed or certified mental health professional to determine the nature and extent of the mental disorders of the client.

Psychosocial Assessment – Services performed by a provider whose function is to determine both psychological and social factors that may be related to client's alcohol/substance use and which ultimately may affect the client's response to treatment.

Psychotropic Medication Management – The monitoring of clients who, because of a mental health problem, are receiving psychotropic medication. This may include the efforts of staff, in consultation with the prescribing physician, to monitor a client's compliance in taking all prescribed medications as well as monitoring the effectiveness and patient tolerance of the medication.

Psychiatric Crisis Intervention – Services provided by a psychiatrist, psychologist, or licensed/certified mental health professional to a client who is experiencing problems functioning as a result of a mental, emotional or behavioral disorder of recent or sudden onset.

Case Management

Formal Case Management Services – The provision, by either staff or a unit dedicated to case management, of assistance to the client, and the client's family, in gaining access to social, medical, psychiatric, psychological, educational, vocational, legal, and housing services not directly offered by the program. In addition, case management services include the coordination and monitoring of treatment services provided by the program.

Crisis Intervention – Activities that provide information about the availability of services and/or provide services directly to a person on an outpatient basis when he or she is in a crisis situation. A hotline could provide this service by referring a person for emergency care or to an appropriate treatment unit.

Financial Services

Financial Assessment – Financial Assessment includes a thorough assessment of the patient’s availability and access to money, amount of time and money spent on gambling behaviors, amount of money lost on gambling, debt related to gambling behaviors and the patients financial consequences.

Financial Counseling

Financial Counseling –Specific clinical interventions and treatment planning regarding the patients financial issues related to their problem gambling behaviors. Interventions are targeted to the outcomes of a complete financial assessment which includes specific obtainable goals to changing the patient’s financial situation. Counseling interventions may include, but are not limited to budget planning, debt assessment, developing a debt repayment plan, working collaboratively with financial institutions, developing and monitoring patient’s access to money and a realistic spending plan.

Clinically-Related Services

This is a new item as of January 2007. If an item does not apply to your program, LEAVE BLANK.

Regularly Scheduled Interdisciplinary Case Conferences – This refers to case conferences that are scheduled, involving the Clinical Supervisor, Social Workers, Primary Counselors, etc., where existing and new patients are discussed by the team and not between counselors only. Indicate the average number scheduled each month (e.g., enter 4 for one per week scheduled).

Regularly Scheduled Clinical Supervision Individual – Clinical supervision is almost always regularly scheduled, at least 30 minutes in duration, and

counselor cases and approaches are discussed with counselors individually. Group – Clinical supervision is regularly scheduled, at least 30 minutes in duration, and provided in a group

setting with multiple counselors. Direct Observation – Check box if the Clinical Supervisor physically observes the counselors’ sessions (e.g.,

sitting in session, video or analog tapes). Individual Development Plan – Refers to a development plan that includes mutually agreed upon goals and

objectives to improving job performance. IDP may contain suggested training, clinical practice, etc., and should include a timetable for expected accomplishments and measurement of progress and goal attainment. IDP may be accomplished on an individual or group basis. Check the appropriate box.

Completing and Verifying that PPSI is Updated

Once you have determined that you are ready to finalize your program’s PPSI, click the “Save and Mark as Complete” button. Clicking the button records the date and User ID of the person making the changes. You will see a green message at the top of the page that tells you the transaction was successful. This is how OASAS staff know your PPSI has been updated. It is important that you click this button EVEN IF THERE ARE NO CHANGES to your PPSI. It will confirm your review.

It is not necessary to call OASAS to confirm that your PPSI is updated.

One way to check to see if your changes were recorded is to run a PPSI (PAS-7) Report. If you received the transaction successful message, you should see all your changes on the PPSI Report. This report is in Adobe (.pdf) format and can be saved to your computer or printed.

To Run a PPSI Report Format and/or Check if Updates are Complete

Note: This is a formatted report for your information and use and not the PPSI Online Form that you edit.

Select PPSI Report (PAS-7) under the “Reports” section.

PPSIs are updated at the program/PRU level. Enter your provider and program (PRU) number and click “Run.” Do not type in anything except for the provider number (if not already there) and program/PRU number.

For questions concerning the PPSI or these instructions, please call Tammy January at (518)457-9555.

ATTACHMENT 20

Treatment Program Minimum Performance Standards - Current

TREATMENT PROGRAM MINIMUM PERFORMANCE STANDARDS - Current CHEMICAL DEPENDENCE PROGRAMS

Comparison Group Utilization Rate

% Discontinued

Use

% Maintaining

FT or Improving

Employment-Related Status

1-Week Retention

Rate

1-Month Retention

Rate

3-Month Retention

Rate

6-Month Retention

Rate

1-Year Retention

Rate

% Completing

Program

% Completing Program or

Referred

% Program Completers Admitted

Into Ambulatory

% Program Completers

Admitted Into Ambulatory, Intensive Res.

Or RRSY Intensive Residential Women 90% 70% DNA DNA 75% 70% 50% 35% DNA 45% 35% DNA

Intensive Residential: Women With Children 90% 70% DNA DNA 75% 70% 50% 35% DNA 45% 35% DNA

Intensive Residential: w/TrCs < 12 months 90% 70% 35% DNA 75% 70% 50% DNA DNA 45% 35% DNA

Intensive Residential: w/TrCs > 12 months 90% 70% 35% DNA 75% 70% 50% 35% DNA 45% 35% DNA

Residential Rehabilitation Services for Youth 90% 70% DNA DNA 75% 70% 50% 35% DNA 45% 35% DNA

Community Residential: NYC and Suburbs 90% DNA DNA DNA 85% 65% DNA DNA DNA DNA DNA DNA

Community Residential: Upstate Urban 90% DNA DNA DNA 85% 65% DNA DNA DNA DNA DNA DNA

Community Residential: Upstate Non-Urban 90% DNA DNA DNA 85% 65% DNA DNA DNA DNA DNA DNA

Supportive Living 90% DNA DNA DNA 85% 75% 55% DNA DNA DNA DNA DNA

Inpatient Rehab.: NYC 90% DNA DNA 85% DNA DNA DNA DNA 60% DNA DNA 40%

Inpatient Rehab.: Suburban NYC 90% DNA DNA 85% DNA DNA DNA DNA 60% DNA DNA 40%

Inpatient Rehab.: Upstate Urban 90% DNA DNA 85% DNA DNA DNA DNA 60% DNA DNA 40%

Inpatient Rehab.: Upstate Non-Urban 90% DNA DNA 85% DNA DNA DNA DNA 60% DNA DNA 40%

Medically Managed Detox. 90% DNA DNA DNA DNA DNA DNA DNA DNA DNA DNA DNA

Medically Supervised Withdrawal I/R 90% DNA DNA DNA DNA DNA DNA DNA DNA DNA DNA DNA

Medically Supervised Withdrawal OP DNA DNA DNA DNA DNA DNA DNA DNA DNA DNA DNA DNA

DNA = Does Not Apply 08/06/09

TREATMENT PROGRAM MINIMUM PERFORMANCE STANDARDS - Current CHEMICAL DEPENDENCE PROGRAMS

Comparison Group Utilization Rate

Units of Service/FT

E Direct Care Staff

% Discontinued

Use

% Maintaining

FT or Improving

Employment-Related Status

1-Month Retention

Rate

3-Month Retention

Rate

6-Month Retention

Rate

1-Year Retention

Rate

% Completing Program or

Referred

Medically Monitored Withdrawal: NYC and Suburban NYC 90% DNA DNA DNA DNA DNA DNA DNA DNA

Medically Monitored Withdrawal: Upstate 90% DNA DNA DNA DNA DNA DNA DNA DNA

Medically Supervised Outpatient: Women DNA 1000 25% 35% 75% 65% 40% 25% 35%

Medically Supervised Outpatient: Adolescent DNA 1000 25% DNA 75% 65% 40% DNA 35%

Medically Supervised Outpatient: MICA w/TrCs < 12 months DNA 1000 25% 35% 75% 65% 40% DNA 35%

Medically Supervised Outpatient: MICA w/TrCs > 12 months DNA 1000 25% 35% 75% 65% 40% 25% 35%

Medically Supervised Outpatient: NYC w/TrCs < 12 months DNA 1000 25% 35% 75% 65% 40% DNA 35%

Medically Supervised Outpatient: NYC w/TrCs > 12 months DNA 1000 25% 35% 75% 65% 40% 25% 35%

Medically Supervised Outpatient: Suburban NYC < 12 months DNA 1000 25% 35% 75% 65% 40% DNA 35%

Medically Supervised Outpatient: Suburban NYC > 12 months DNA 1000 25% 35% 75% 65% 40% 25% 35%

Medically Supervised Outpatient: Upstate Urban DNA 1000 25% 35% 75% 65% 40% DNA 35%

Medically Supervised Outpatient: Upstate Non-Urban DNA 1000 25% 35% 75% 65% 40% DNA 35%

DNA = Does Not Apply 08/06/09

TREATMENT PROGRAM MINIMUM PERFORMANCE STANDARDS - Current CHEMICAL DEPENDENCE PROGRAMS

Comparison Group Utilization

Rate

% Discontinued

Use

% Maintaining FT or

Improving Employment

Related Status

1-Month Retention

Rate

3-Month Retention

Rate

6-Month Retention

Rate

1-Year Retention

Rate

% Completing Program or

Referred

Outpatient Rehabilitation: NYC DNA 25% 25% 65% 55% 40% DNA 30%

Outpatient Rehabilitation: Suburban NYC DNA 25% 25% 65% 55% 40% DNA 30%

Outpatient Rehabilitation: Upstate DNA 25% 25% 65% 55% 40% DNA 30%

Outpatient Rehabilitation: Adolescent DNA 25% 25% 65% 55% 40% DNA 30%

Outpatient Rehabilitation: MICA DNA 25% 25% 65% 55% 40% DNA 30%

Methadone Treatment Clinic: OASAS-Funded NYC 90% DNA DNA 90% 85% 75% 55% DNA

Methadone Treatment Clinic: OASAS-Funded Non-NYC 90% DNA DNA 90% 85% 75% 55% DNA

Methadone Treatment Clinic: Non-Funded 90% DNA DNA 90% 85% 75% 55% DNA

Methadone Treatment Clinic: MTA Package-Ambulatory 90% 25% 25% 90% 85% 75% DNA 25%

Methadone Treatment Clinic: MTA Package-Residential 90% 25% 25% 90% 85% 75% DNA 25%

KEEP 90% DNA DNA 90% 85% DNA DNA DNA

DNA = Does Not Apply 08/06/09

ATTACHMENT 21

IPMES/Workscope Demonstration Indices

IPMES/WORKSCOPE DEMONSTRATION INDICES BY PROGRAM TYPE

% Reduction in Arrests

Counseling Sessions/

Couns/Week

Group: Ind Counseling Ratio

Patient: Primary

Couns Ratio

% Using Tobacco

% Foreign Language

% Symptomatic

% < 1 Week Pickup

Schedule

Average Methadone

Dose MS OP – Women X X X X X X MS OP – Adolescent X X X X X X MS OP – MICA TC < 12 X X X X X X MS OP – MICA TC > 12 X X X X X X MS OP – NYC tc < 12 X X X X X X MS OP – NYC tc > 12 X X X X X X MS OP – Sub NYC tc < 12 X X X X X X MS OP – Sub NYC tc > 12 X X X X X X MS OP – Upstate Urban X X X X X X MS OP – Upstate Non-Urban X X X X X X Medically Managed Detox MS Withdrawal (I/R) Med Mon Withdrawal – NYC & NYC Suburban Med Mon Withdrawal – Upstate – All Inpatient Rehab – NYC X X X X Inpatient Rehab – Suburban NYC X X X X Inpatient Rehab – Upstate Urban X X X X Inpatient Rehab – Upstate Non-Urban X X X X Comm Res – NYC & NYC Suburban X X X X Comm Res – Upstate Urban X X X X Comm Res – Upstate Non-Urban X X X X Supportive Living X X X X OCDY X X X X X Short-Term Residential CDY X X X X Long-Term Residential CDY X X X X X Meth Tx Clin funded – non-NYC X X X X X X X X Meth Tx Clin funded – NYC X X X X X X X X Meth Tx Clin non-funded X X X X X X X X Meth Tx Clin – KEEP X X X X X Intens Res tc le 12 mo X X X X X Intens Res tc gt 12 mo X X X X X Intens Res – Women X X X X X Residential Rehab Services for Youth X X X X X Meth Tx Clin – MTA X X X X OP Rehab – NYC X X X X X X OP Rehab – NYC Suburban X X X X X X OP Rehab – Upstate X X X X X X MS Withdrawal (OP) OP Rehab – Women X X X X X X OP Rehab – Adolescent X X X X X X OP Rehab – MICA X X X X X X Non-MS OP – non-NYC X X X X X X Intens Res – Children in Residence X X X X X