Improving Access to Psychological Therapies (IAPT) Data setin some instances on behalf of one or more other organisations) for the purpose of collecting, assuring and uploading IAPT

IAPT User Guidance

Version No: 0.6 | Date: 31/05/2013 Page 1 of 71 Copyright © 2013 The Health and Social Care Information Centre

Improving Access to Psychological Therapies (IAPT) Data set

Draft User Guidance

Version No: 0.6 Issue Date: 31/05/2013

IAPT User Guidance


Purpose of this document This document comprises the Improving Access to Psychological Therapies (IAPT) User Guidance for providers in relation to the introduction of the IAPT Dataset Specification. This document is intended to provide providers and suppliers of IAPT systems with all of the information necessary to allow the capture of the IAPT data set to the specified definitions.

Comments: Please note this guidance document is a live document and any sections highlighted with a yellow background indicate that these sections are to be updated or require further clarification. The Health and Social Care Information Centre will be working closely with Provider organisations in the run-up to the first submission of the IAPT data (from December 2011) and this may necessitate further changes to this document. This document should be read in conjunction with the corresponding Information Standards Notice (ISN) 29/2011 and the IAPT Data Set Specification.

IAPT User Guidance


Disclaimer This document is intended to provide guidance for users in relation to the capture and submission of the Improving Access to Psychological Therapies (IAPT) data set. It is not intended to represent official policy or legislative guidance. If you are concerned that any aspect of this guidance does not accurately reflect the intended purpose and/or official policy, legislative or practice guidance; please send details to the Health and Social Care Information Centre at [email protected] (including ‘FAO IAPT’ within the subject line).

Terms and Conditions

1. The purpose of this document is to provide IAPT service providers, and their information system suppliers, with guidance to help them submit IAPT data to the Bureau Service Portal (BSP) provided by the Systems and Service Delivery (SSD) team at Connecting for Health.

2. The document covers the capture of data items on local systems, the preparation of

the IAPT data set for submission using the Intermediate Database (IDB) and the submission of files via the Bureau Service Portal. It also provides information about how the data is processed by the Bureau Service.

3. Whilst every effort has been made to ensure the information in the guidance is correct,

the HSCIC do not give an express or implied warranty as to the accuracy of the information and cannot be held responsible for any incident resulting from its use.

4. This guidance is considered a live document, and the HSCIC reserves the right to

update it in response to user feedback and any changes to the Bureau Service Portal.

5. The contents of this guidance document are protected by copyright and released subject to the following conditions of use:

Acceptable Use Unacceptable Use

The document should be used by appropriate staff within organisations that submit IAPT data (in some instances on behalf of one or more other organisations) for the purpose of collecting, assuring and uploading IAPT submissions to the Bureau Service.

The document should not be used for any purpose other than the collection, assurance and upload of the IAPT data set to the Bureau Service.

This document should be read in conjunction with the corresponding Information Standards Notice (ISN) 29/2011and the IAPT Dataset Specification.

You may make electronic and paper copies of this document to support the process of making an IAPT submission.

Please ensure that the following copyright statement is included within documents you create that include elements of this Guidance: 'Copyright © 2013 Re-produced from the IAPT User Guidance with the permission of the Health and Social Care Information Centre. All

You may not distribute partial copies of the guidance that do not include a reference to the full document and a warning about using the Guidance out of context.

mailto:[email protected]

IAPT User Guidance


rights reserved.'

Any use of the contents of this guidance in whole or in part should include customary bibliographic citation, including date, version number, document title, The Health and Social Care Information Centre, and the URL http://www.hscic.gov.uk

If you wish to re-use any information from this document for any other purpose than helping your own organisation to make an IAPT submission, you must ask us for specific permission and it is our decision whether to allow such re-use. Applications for re-use should be submitted to [email protected]

http://www.hscic.gov.uk/


IAPT User Guidance


Version History

Version Date Issued Brief Summary of Change Owner’s Name

0.1 26/08/2011 Initial draft for review Shagufta Bibi

0.2 06/09/2011 Comments incorporated from review by NB.

Revised definitions and value list for Ex- British Armed Forces Indicator data item.

Correction made to a number of data items ‘Access Name’ headings for data items within the APPOINTMENT table.

Shagufta Bibi

0.3 12/09/2011 Minor amendments following review by MO and additional detail added following changes made to IAPT dataset.

Shagufta Bibi

0.4 04/11/2011 Revision made to Section C to incorporate IAPT Bureau Service screenshots

Revision to Access Name and Title Name for PHQ9 data item

Shagufta Bibi

0.5

16/11/2011 Added explanation of British Armed Forces codes.

Added guidance regarding lead therapist for Primary Role in IAPT Service data item.

Added guidance notes for default gender codes.

Added guidance regarding data item format variations.

Added guidance regarding Postcode format

Expanded Service Request ID definition and amended Referral table definition.

LPTID format revised from an10 to an20 with guidance notes to state this differs in SS document and will be updated in future change.

Sexual Orientation codes revised to show recent changes approved in NHS DD with guidance notes to state this differs in SS and will be updated in future change.

Added updated Release Notes to Appendices.

Shagufta Bibi

08/11/2011 Data item Access Name ‘PSCYHMED’ revised to ‘PSYCHMED’

12/12/2011 Section 2.9 updated in relation to commissioner extracts only being made available after go-live date.

04/01/2012 IDB submission scenarios added.

DUC Added to definitions table.

11/01/2012 Added guidance regarding submitting multiples IDB’s.

Minor updates to reflect updated ISN publication dates and updates to go-live date.

0.6 19/07/2013 Documentation review – inclusion of submission requirements, text changes, links updated/added and document rebranded following health service restructuring.

Aaron Leathley

IAPT User Guidance


Author information

For more information on the status of this document, please see the covering letter or contact:

Community and Mental Health Team

Health and Social Care Information Centre 1 Trevelyan Square Boar Lane Leeds LS1 6AE Tel: 0845 300 6016 E-mail: [email protected] Internet: http://www.hscic.gov.uk

Date of Issue 31/05/2013

Reference IAPT User Guidance

Copyright © 2013 The Health and Social Care Information Centre


IAPT User Guidance


Contents

SECTION A - ABOUT THE (IAPT) DATASET ......................................................................10

1 INTRODUCTION ..........................................................................................................11 1.1 Purpose of document ................................................................................................. 11 1.2 Scope of document .................................................................................................... 11 1.3 Key components of the Information Standard ............................................................ 12 1.4 Types of Providers ..................................................................................................... 12 1.5 Data Subjects ............................................................................................................ 12 1.6 Data Set users ........................................................................................................... 12

2 SUMMARY OF IAPT CHANGES .................................................................................15 2.1 Background ............................................................................................................... 15 2.2 Details of Standard .................................................................................................... 15

3 ADDITIONAL INFORMATION ABOUT THE CHANGES .............................................16 3.1 Who is the subject of this change? ............................................................................ 16 3.2 How and when should the information be captured?.................................................. 17 3.3 Who should capture the information? ........................................................................ 17 3.4 How often should this information be updated? ......................................................... 17 3.5 How often does data need to be submitted ................................................................ 17 3.6 Reporting Period ........................................................................................................ 17 3.7 Timescales ................................................................................................................ 18 3.8 Conformance Criteria ................................................................................................. 18 3.9 Commercial Issues .................................................................................................... 18 3.10 Potential Safety/Confidentiality/Risk Considerations .................................................. 19

4 ADDITIONAL SOURCES OF INFORMATION .............................................................21

5 SUPPORT ....................................................................................................................22

SECTION B - HOW TO PREPARE IAPT SUBMISSIONS ....................................................23

6 PREPARING IAPT SUBMISSION DATA .....................................................................24 6.1 Populating the IAPT Intermediate Database .............................................................. 24 6.2 How to read the IAPT Dataset Specification .............................................................. 24 6.3 How to read the IAPT User Guidance tables ............................................................. 26

7 SUMMARY OF IDB TABLES ......................................................................................28 7.1 Table 1 - Person Table (PERSON) ............................................................................ 28 7.2 Table 2 - Disability Table (DISABILITY) ..................................................................... 34 7.3 Table 3 - Referral Table (REFERRAL) ....................................................................... 37 7.4 Table 4 - Appointment Table (APPOINTMENT) ......................................................... 41

SECTION C - HOW TO SUBMIT IAPT SUBMISSIONS ........................................................48

8 SUBMITTING IAPT DATA ...........................................................................................49 8.1 How to gain access to the Bureau Service Portal ...................................................... 49 8.2 How to make the IAPT submission ............................................................................ 49

9 HOW IS THE DATA PROCESSED? ............................................................................62 9.1 Pre deadline processing ............................................................................................ 62 9.2 Post deadline processing ........................................................................................... 63

APPENDICES .......................................................................................................................64

IAPT User Guidance


Acronyms Table

Acronym Definition

BSP Bureau Service Portal

CSV Comma-Separated Values (file format)

DH Department of Health

DSCN Dataset Change Notice (now referred to as ISN)

DUC Data User Certificate

HSCIC Health and Social Care Information Centre

IAPT Improving Access to Psychological Therapies

IDB Intermediate Database

ISB Information Standards Board for Health and Social Care

ISN Information Standards Notice (formerly known as DSCN)

LSP Local Service Provider

MHBS Mental Health Bureau Service

NACS National Administrative Codes Service

NHS CfH NHS Connecting for Health

NICE National Institute for Health and Clinical Excellence

NIGB National Information Governance Board for Health and Social Care

NIRS NHS Information Reporting Service

NPfIT National Programme for IT

ODS Organisation Data Service

PCT Primary Care Trust

PAS Patient Administration System

PbR Payment by Results

PHQ-9 Patient Health Questionnaire - 9

sFTP Secure File Transfer Protocol

SSD Systems and Service Delivery

IAPT User Guidance


Definitions Table

Data Item A single component of a data set that holds one type of information and relates to a specific record. Each data item is unique to the data set.

DUC Application An application form to gain access is completed (referred to as a Data User Certificate (DUC)) and signed by their Caldicott Guardian.

Information Standards Notice (ISN)

Information Standards Notices (ISNs) previously known as Data Set Change Notices (DSCNs) are issued by the Information Standards Board for Health and Social Care (ISB) to give notice of changes to information requirements and information standards used by the NHS.

National Information Governance Board (NIGB)

The National Information Governance Board for Health and Social Care (NIGB) provides leadership and promotes consistent standards for information governance across health and social care.

Information Standards Board (ISB)

The Information Standards Board for Health and Social Care (ISB) approves information standards for the NHS and adult social care in England. ISB is one of the advisory boards reporting to the NHS National Programme for IT Board. It is independent in its function and draws its voting members from a broad cross section of stakeholder groups.

Mandatory These data items MUST be reported. Failure to submit these items will result in the rejection of the submission.

Required These data items SHOULD be reported where they apply. Failure to submit these items will not result in the rejection of the submission but may affect the derivation of national indicators or national analysis.

Optional Optional data items are to be used at the providers’ discretion as they may or may not be appropriate for all services and conditions. These data items MAY be submitted on an optional basis at the submitters discretion.

IAPT User Guidance


SECTION A

About the Improving Access to Psychological Therapies (IAPT) Data Set

IAPT User Guidance


1 Introduction This section describes the implications to an organisation resulting from the approval and national mandation of the Improving Access to Psychological Therapies (IAPT) NHS Information Standard. It provides guidance for those responsible for collating, ensuring data quality and submitting the data to the Bureau Service - including informatics, performance and IT staff. It also provides guidance for those responsible for implementing changes to systems to facilitate the capture and extraction of data, including system suppliers.

1.1 Purpose of document

The purpose of this document is to outline the IAPT data set and the way the data items should be interpreted and used by clinical, administrative and informatics staff, as well as system suppliers and stakeholders. It also provides comprehensive guidance to providers on how to make an IAPT data set submission.

1.2 Scope of document

This document provides guidance on how to implement changes resulting from the release of the IAPT Information Standards Notice (ISN) and should be read in conjunction with the following documents:

ISN 29/2011 1 IAPT Dataset Specification 2 IAPT Intermediate Database Release Notes (see Appendix 1) NHS Data Dictionary 3

However, it is not a specification for the standardisation of a patient care record. IAPT providers have the flexibility in adopting any local data collection processes and system as long as the local data collection frameworks can output and submit data, as per the data set specification, to the Bureau Service Portal (BSP). The data set is not a patient care record but is based on clinical and operational information. Providers should therefore look to re-use their clinical and operational systems to extract IAPT data.

1 ISB website

2 ISB website

3 NHS Data Dictionary website

http://www.isb.nhs.uk/documents/isb-1520/amd-51-2010/index_html


http://www.datadictionary.nhs.uk/data_dictionary/messages/clinical_data_sets/data_sets/mental_health_minimum_data_set_(version%204-0).asp?query=mhmds&rank=1&shownav=1

IAPT User Guidance


1.3 Key components of the Information Standard

This Information Standard consists of the following key components: 1. IAPT Data Set Specification 2. IAPT Intermediate Database (IDB) 3. IAPT User Guidance (this document) These components are available from the following links:

http://www.hscic.gov.uk/iapt http://www.isb.nhs.uk/documents/isb-1520/amd-51-2010/index_html

1.4 Types of Providers

The IAPT Information Standard will be used across the range of organisations that provide IAPT services including:

IAPT service providers

IAPT IT system providers

Commissioners of IAPT services

Regulatory bodies (such as the CQC and Monitor)

Professional bodies

Research institutions

Any other key IAPT stakeholders

1.5 Data Subjects

The cohort of the IAPT data set is those people accessing NHS commissioned IAPT services for depression and anxiety in England. The data set applies to adults aged 18 or over, but children and adolescents aged 16 to 18 may be included where they are in receipt of care from an IAPT service provider.

1.6 Data set users

1.6.1 Primary Users

The IAPT data set is intended for secondary use purposes rather than for the direct care of the patient. Information captured for primary purposes will be extracted from existing Patient Administrative Systems (PAS) and clinical systems.

Clinical and Administrative Staff: will be responsible for capturing information as part of the ongoing care of the patient i.e. for primary use purposes and will be responsible for capturing information such as demographics, details of contacts/encounters and outcome data.

http://www.hscic.gov.uk/iapt


IAPT User Guidance


Suppliers of IAPT systems: will develop systems ensuring that data items can be captured electronically and output or derived to nationally agreed standards to allow extraction and/or derivation to produce the IAPT data set.

IAPT Informatics staff: will be responsible for the collation of data from potentially a

range of disparate systems into the IAPT Intermediate Database, followed by its submission to the Mental Health Bureau Service. This will include ensuring completeness and optimised data quality of the Data Set.

1.6.1 Secondary Users

Information generated by this NHS Information Standard will be used by the following organisations:

The data set will provide information for use in secondary analysis and reporting. The data will be provided to the HSCIC and commissioners in a pseudonymised format; specific patient identifiable data items such as the NHS number, local patient identifier, postcode and date of birth will be removed so that individuals cannot be identified. IAPT service providers will be able to access a patient level data set for use in local analysis. All data flows have gained approval of the National Information Governance Board (NIGB). At a local level:

Foundation Trusts, Care Trusts, Primary Care Trusts (PCTs) and Independent Sector Commissioners including PCTs and Specialist Commissioners Strategic Health Authorities (SHAs)

The following groups of people are likely to analyse information captured through the IAPT data set:

managers performance analysts finance staff commissioners IAPT professionals

At a national level: Department of Health (DH) Audit Commission Care Quality Commission (CQC)/Monitor Health and Social Care Information Centre The NHS Operating Framework

The above will use the information generated using the standard to monitor the achievement and the delivery of NICE guidelines The information captured through the IAPT Data Set will support the following national activity:

monitoring the implementation and effectiveness of national policy/legislation policy development performance analysis and benchmarking national analysis and statistics i.e. activity national audit of IAPT Services

The information captured through the IAPT Data Set may support the following local activity:

IAPT User Guidance


commissioning organisational performance management service planning and improvement clinical audit

The IAPT Data Set will also aid continuous improvement of IAPT Services to meet local needs.

IAPT User Guidance


2 IAPT Standard

2.1 Background

The Improving Access to Psychological Therapies (IAPT) programme was established following the 2007 Comprehensive Spending Review to support the NHS in delivering National Institute of Health and Clinical Excellence (NICE) approved interventions to people suffering from depression and anxiety disorders. Since this time IAPT services have been commissioned by Primary Care Trusts (PCTs) and delivered by a plurality of providers in a range of settings including NHS, Independent and Third sectors. The programme has developed the data set to support service delivery and inform clinical decision-making. The programme will provide a central data repository to which the data set can flow to. It will then be processed and used in service reporting to improve the delivery of patient care. The data standard will provide national definitions, allowing providers to extract from their systems in a consistent manner which allows national and local reporting to be undertaken. The programme is designed to support the NHS in delivering:

NICE approved, evidenced-based psychological therapies for people with depression and anxiety disorders.

Access to services and treatments by people experiencing depression and anxiety disorders from all communities within the local population, irrespective of age, gender, ethnicity, diagnosis, socio-economic status, sexuality, faith or disability.

Increased health and wellbeing, with at least 50% of those completing treatment moving to recovery and 90% experiencing a meaningful improvement in their condition.

Patient choice and high levels of satisfaction from people using services and their carers.

Timely access, with people waiting no longer than locally agreed waiting times standards.

Improved employment, benefit, and social inclusion status including help for people to retain employment, return to work, improve their vocational situation and participate in the activities of daily living.

2.2 Details of Standard

The IAPT data set will be used to generate information to support and monitor the delivery and performance of IAPT services. Data is collected on the following entities:

Person

Disability

Referrals

Appointments The standard will support the information needs of national bodies, service providers and commissioners by providing information in a consistent and comparable way across services.

IAPT User Guidance


3 Additional Information about the changes The IAPT Information Standard has been updated to include some minor changes to a number of data items. Changes to the Improving Access to Psychological Therapies (IAPT) data set were required to ensure that the dataset remains ‘fit for purpose’ and continues to reflect policy and practice, as well as supporting the NHS in service delivery. This Standard Specification amends the IAPT Standard to support the Information Standards as follows:

Removal of default ‘W’ code from all outcome measures in the Appointments Table. No default code should exist for the outcome measures included.

PHQ-9 – Alignment with PHQ-9 collection within the Mental Health Minimum Dataset

(MHMDS). This is a correction to naming convention to ensure consistency of collection with MHMDS and is not a change to the outcome measure itself.

Removal of attended or did not attend code ‘0 – Not applicable, appointment occurs in

the future’. No requirement exists to collect future appointments as part of the dataset.

Generalized Anxiety Disorder Penn State Worry Questionnaire score range was incorrectly described in the original documentation. This requires to be amended to reflect the correct range 16-80.

Rename data item: 'British Armed Forces Indicator' to 'Ex- British Armed forces' as

serving personnel are not seen by IAPT services. This also includes the removal of the following codes from the value list: - ‘01 – Yes, currently serving (including reservists)’ - ’04 – Dependant of current serving member’

Addition of specifying default codes for a number of data items (to ensure alignment

with NHS Data Dictionary): - Ethnic Category - Organisation Code of Commissioner - Appointment Purpose - Employment Support Indicated

Removal of explicit guidance in relation to validation rules from the ISB Standard

Specification document. The proposal is to create a separate guidance document (which will be maintained by the Information Centre). The intention is that this will be a live document in order that the IC can create updates as and when necessary in order to correct errors or address issues without the need to go through the change request process via ISB (as these corrections are not considered to be a change to the standard itself, instead relate to the processing of data).

Section 7 of this document provides additional detail in relation to the above changes.

3.1 Who is the subject of this change?

The cohort of the IAPT data set is those people accessing NHS commissioned IAPT services for depression and anxiety in England.

IAPT User Guidance


The data set applies to adults aged 18 or over, but children and adolescents aged 16 to 18 may be included where they are in receipt of care from an IAPT service provider.

3.2 How and when should data be captured?

Data should be captured at the relevant point within the care pathway. This may be at an initial referral, at first contact, at subsequent contacts, at discharge or following any change in a patient’s circumstances.

3.3 Who should capture the data set?

Some of the data items will typically be captured locally by clinicians, such as outcome measures. Administrative staff may also capture data routinely; however it would not be appropriate for administrative staff to capture clinical information.

3.4 How often should data be updated?

Information should be updated on a regular basis following activity, events or changes in status as well as at other key points within the patient care pathway. Although, providers are working towards real-time capture of information, it is important to ensure updates take place as soon as a change is known or as soon as is possible after an event has occurred with a patient.

3.5 How often does data need to be submitted

Data is submitted on a monthly basis. Each month a primary submission of the current reporting month must be made. An optional refresh of the previous month can also be undertaken. No annual refresh is undertaken, monthly refreshes offer the means by which to update data already submitted. Please see the HSCIC website for details of the submission timetable: http://www.hscic.gov.uk/iapt

3.6 Reporting Period

IAPT submissions cover all the activity for patients within a defined period of time. This includes not only things that occurred during that time, but also ongoing episodes which may have started earlier and continue after the period. This defined period is described as the Reporting Period and data is processed according to date parameters which mark the start and end of the Reporting Period.


IAPT User Guidance


3.7 Timescales

A voluntary submission period will exist prior to the mandation of the data set. Where providers have compliant systems in place and are already capturing the data set it is recommended that they commence submission. The use of the voluntary submission period will allow understanding to be gained of the issues associated with the compiling, validating and submitting the data set. It is anticipated that the voluntary submission period will commence in December 2011 to all the submission of Septembers data set. Providers may commence voluntary submissions any time in the period between December 2011 and March 2012. It is expected that providers of IAPT services WILL be fully conformant and able to adhere to this standard from April 2012 at which time that data set is mandated.

3.8 Conformance Criteria

The IAPT IDB is available on request from the HSCIC via the contact centre [email protected] IAPT providers MUST be fully conformant and flow the data set to the Mental Health Bureau Service from April 2012.

3.9 Commercial Issues

The data set has been developed by the HSCIC and the Improving Access to Psychological Therapies (IAPT) National Programme there are consequently no known commercial licensing or Intellectual Property Rights issues relating to the use of this standard by IAPT providers. The diagram below shows the data flow associated with the infrastructure developed by the System and Service Delivery (SSD) Team:


IAPT User Guidance


The IAPT data set is submitted via the Bureau Service Portal (BSP) provided by the Systems and Service Delivery Team at Connecting for Health using the Open Exeter web based portal. The Bureau Service Portal provides pseudonymised extracts for commissioners, as well as a national pseudonymised extract for the HSCIC, for analysis and reporting – Instructions for making IAPT submissions together with details of how the data is processed and the outputs of processing available via the BSP to providers are described in Section C of this document. Specification for the data extracts produced for providers and commissioners are detailed in the IAPT extract specification documents available on the HSCIC IAPT webpage.

3.10 Potential Safety/Confidentiality/Risk Considerations

The Improving Access to Psychological Therapies (IAPT) data set uses data already collected in a variety of disparate provider systems and collated in a non-clinical setting for secondary uses purposes. There are consequently no known safety implications or potential adverse effects for patients in the application of the Information Standard. Stakeholders including the NHS were encouraged to raise any potential safety risks or adverse incidents during Definitional Testing and Consultation exercises. To date no significant issues relating to safety or potential adverse incidents have been identified.

As with all secondary use datasets there is a small underlying risk that the capture of additional information may be time consuming thus potentially impacting upon patient care. To mitigate this risk every effort has been taken to maximise the use of data already routinely captured for primary use purposes.

IAPT User Guidance


Any concerns, potential safety risks identified or adverse incidents resulting from the implementation of the data set should be reported immediately to the HSCIC via the contact centre [email protected]


IAPT User Guidance


4 Additional Sources of Information Documents referenced in this Guidance document can be found on the following web sites: The data set, submission timetable and updates The Health and Social Care Information Centre website: http://www.hscic.gov.uk/iapt IAPT policy and service developments The IAPT programme website: http://www.iapt.nhs.uk/iapt/ IAPT NHS Data Dictionary Full details of changes to data items, including definitions and associated value lists are available on the NHS Data Dictionary website: http://www.datadictionary.nhs.uk/data_dictionary/messages/clinical_data_sets/data_sets/improving_access_to_psychological_therapies_data_set_fr.asp?shownav=1 NHS Information Standards Board (ISB) Full details of the IAPT ISB submission and supporting documents formally approved by the NHS Information Standards Board (ISB), including customer need, purpose and risk, are available on the ISB website: http://www.isb.nhs.uk/documents/isb-1520/amd-51-2010/index_html


http://www.iapt.nhs.uk/iapt/

http://www.datadictionary.nhs.uk/data_dictionary/messages/clinical_data_sets/data_sets/improving_access_to_psychological_therapies_data_set_fr.asp?shownav=1



IAPT User Guidance


5 Support For specific enquiries relating to the IAPT Information Standard including scope, data items, definitions and data values, obtaining the intermediate database, future requirements and changes, submission deadlines, analysis and reporting of IAPT data please contact: Health and Social Care Information Centre Telephone: 0845 3006016 Email: [email protected] (please include ‘FAO IAPT’ in subject line)

For enquiries relating to technical products including data submissions using the Bureau Service Portal (Open Exeter) please contact: Open Exeter Helpdesk Telephone: 01392 251289 Email: [email protected] (please include ‘FAO IAPT’ in subject line)



IAPT User Guidance


SECTION B

How to Prepare IAPT Data Set Submissions

IAPT User Guidance


6 Preparing IAPT Submission Data

6.1 Populating the IAPT Intermediate Database

IAPT submissions must be made using the IAPT Intermediate Database (IDB). The IDB is available from the HSCIC (please see Section 5 for contact details). Only the IAPT IDB can be used for submissions and its structure MUST NOT be altered in any way. All the tables must be present; please do not alter the structure of the database as this will lead to a rejection of the submission. All the fields listed in each table must also be present and the field types must be exactly as specified. The data items required to populate the IAPT IDB should be extracted directly from the appropriate local information system such as a clinical system or Patient Administration System (PAS). Data is submitted on a monthly basis with each submission containing all the relevant activity for the reporting period. Two types of submission are possible, a primary (P) and a refresh (R). A primary is the first submission of data for the current collection period. A refresh is a resubmission of the previous period data. A primary submission must be undertaken. A refresh is optional if a requirement exists to update already submitted data, such as to include improved data quality or additional data not available at the time of the primary submission. This guidance provides further details about the data required in the submission and should be read in conjunction with the Data set Specification. The differences in these two sources of information are highlighted below.

6.2 How to read the IAPT Dataset Specification

Full details of all the data items in IAPT are included in the IAPT Data set Specification. The table below shows the categories of information provided in the Data set Specification (data items, definitions, formats etc) as an example of how data items are presented. This document is available to download from the Information Standards Board (ISB) website.

Access Name

M/R O

Data Item Name

Definition Format National Codes

Value Descriptions

NHS Data Dictionary

DOB R Person Birth Date

The date on which a person was born or is officially deemed to have been born.

CCYY-MM-DD

Data Element: PERSON BIRTH DATE

SEX R Person Gender Code

The current gender of the Patient.

an1 0 Not known Data Element: PERSON 1 Male


http://www.datadictionary.nhs.uk/data_dictionary/data_field_notes/p/pers/person_birth_date_de.asp?shownav=0





http://www.datadictionary.nhs.uk/data_dictionary/data_field_notes/p/pers/person_gender_code_current_de.asp?shownav=0



IAPT User Guidance


Current Note: The classification is phenotypical rather than genotypical, i.e. it does not provide codes for medical or scientific purposes.

2 Female GENDER CODE CURRENT 9 Not specified

6.2.1 Table Heading Names (Standard Specification document)

Access Name: The name of the data item within the IAPT intermediate

Database M/R/O Letters M/R/O are used to identify the mandation level

(Mandatory, Required or Optional) of the data item in terms of submission requirements

Data Item Name The unique title or name of the data item Definition The definition of the data item provides a description and

explains in detail what information the data item is requiring the user to capture

Format The format of the dataset item is explicitly defined in the dataset and is expressed in data type and length, where: - a: indicates an alphabetic character; - n: represents a numeric character;

- an: represents an alpha‐numeric character (i.e. A‐Z

and 0‐9);

Number: indicates the maximum length of the characters (although characters must meet a minimum of one character). Note: Local provider systems may collect data in a different manner than that described in the data set

National Codes The permissible values associated with a particular data item value for data submission and analysis purposes

Value Descriptions Provides a list of permissible data value definitions associated with the data item where applicable

Data Dictionary Includes the associated NHS data dictionary element where applicable

6.3.3 Data Item Mandation Levels

The Mandatory or Required (M or R) column indicates the requirements for the inclusion of data: This column has been included within the table specifications to identify whether a data item is mandatory or required as follows:

(M) Mandatory: These data items MUST be reported. Failure to submit these items will result in the rejection of the full dataset submission file.

(R) Required: These data items SHOULD be reported where they apply. Failure to submit these items will not result in the rejection of the submission but may affect the derivation of national indicators or national analysis.

(O) Optional: Optional data items are to be used at the Trusts discretion, as they may or may not be appropriate for all services and conditions. These data items MAY be submitted on an optional basis at the submitters discretion.




IAPT User Guidance


Note: There are no data items within the IAPT data set which have been marked as Optional

6.3 How to read the IAPT User Guidance tables

Further information about the data that should be included in every table in the IDB is provided in this guidance. In particular, the guidance aims to provide the details necessary for providers to understand exactly how their data will be processed. These details should also make it easier for providers to supply ONLY the data required for each submission; reducing processing time and making the submission process for efficient. 6.3.3 Table Heading Key (User Guidance Document)

Within each table the following details are provided. The first four items are also in the Data Specification. The last four are unique to this guidance and provide information about the way the data is processed. The IAPT Data Inclusion Rules can be used to create an IDB with only the required data. Access Name: The name of the data item within the IAPT Intermediate

Database M/R/O Letters M/R/O are used to identify the mandation level

(Mandatory, Required or Optional) of the data item in terms of submission requirements

Data Item Name The unique title or name of the data item Format The format of the dataset item is explicitly defined in the

dataset and is expressed in data type and length, where: - a: indicates an alphabetic character; - n: represents a numeric character;

- an: represents an alpha‐numeric character (i.e.: A‐Z

and 0‐9);

Number: indicates the maximum length of the characters (although characters must meet a minimum of one character). Note: Local provider systems may collect data in a different manner than that described in the data set

Description The definition of the data item provides a description and explains in detail what information the data item is requiring the user to capture

Data Inclusion Rules Data Inclusion Rules are used for extracting data from the IDB that are specific to the individual data item.

Derived Flag (D) Derivation Flag marked with a ‘D’ in this column indicates that the data item is used to derive another data item, which is either present in the test extract or final IAPT record (or both). In many cases this applies to data items that are potentially disclosive (e.g. NHS number) and not included in all (or any) extracts. Other derived items support analysis of the data by making it easy to categorise certain records.

Submission Validations Validation rules are applied to some data items that could result in the whole submission being rejected (e.g., invalid NHS number). A description of the scenario that will cause the submission to fail is provided.

IAPT User Guidance


6.3.3 Explanatory Headings

Following each table the following sections provide additional detail as outlined below:

General Table Guidance This section may include some general guidance around the data requirements for this table

Detailed Data Item Guidance 4 This section may provide further detailed guidance or offer clarifications on each individual data item.

Sources of Further Information Provides links to related information, weblinks or appendices

Please note, changes to existing data item are shown as: additions / deletions.

4 These sections may be amended to address any queries or issues raised. Any changes made will be version-controlled and

the latest document will be made available on the HSCIC website.

IAPT User Guidance


7 Summary of IDB Tables

7.1 Table 1 - Person Table (PERSON)

Submission Requirements Submission Validation(s)

At patient level, data can only be included where the following data items are present for each patient: Local Patient Identifier; Organisation Code of Provider; Date of Birth and Postcode Submission will be rejected if: - this table is empty - this table is missing from the submission file - this table is missing any specified columns or the structure has been altered

Patient details should be captured at the time of registration. These should be reviewed at each new referral to ensure they are accurate and up to date. Note: When submitting patient details only one record for each patient should be sent, showing the patient’s details as at the time of data extraction. Access Name

MRO

Data Item Name

Format Description Data Inclusion Rules and other item notes

D Submission Validations DQM

NHSNO R NHS Number n10 The NHS Number, the primary identifier of a person, is a unique identifier for a Patient within the NHS in England and Wales. Note: This will not vary by

any organisation of which a person is a Patient.

A patient must have either an NHS number or a Local Patient Identifier. When an NHS number is provided it must pass the modulus 11 check. When an NHS number is provided it should have a corresponding status indicator code.

When an NHS number is not provided, a Local Patient ID must be present. When an NHS number is provided it must pass the modulus 11 check. Failure to comply with this validation will result in a failure of the submission. When an NHS number is provided it should have a corresponding status indicator code.

NHSNOSTATUS

R NHS Number Status Indicator Code

an2 NHS number status indicator code

LPTID M Local Patient Identifier

an10 an20

This number is used to identify a Patient uniquely within a Health Care Provider. It may be different from the Patient's case note number and may be assigned automatically by the computer system.

A patient must have either an NHS number or a Local Patient Identifier.

When an NHS number is not provided, a Local Patient ID must be present. Failure to comply with this validation will result in a failure of the submission.

ORGCODEPROVIDER

M Organisation Code of Provider

an5 Organisation Code (Code of Provider) is the same as the attribute Organisation Code. This is the Organisation Code of the organisation acting as a Health Care Provider.

IAPT User Guidance


DOB M Date of Birth CCYY-MM-DD

The date on which a person was born or is officially deemed to have been born.

Patients under the age of 16 should not be present in the data set. A warning will be returned if any are found. Must be valid date.

Person birth date must be in a valid format and be less then the reporting period end date. Failure to comply with this validation will result in a failure of the submission.

GENDER

R Gender an1 The current gender of the Patient. Note: The classification is phenotypical rather than genotypical, i.e. it does not provide codes for medical or scientific purposes.

Valid code required. Will be checked for validity against permissible codes. Where issues are identified, warnings will be issued

POSTCODE

M Postcode an8 The postcode of an address nominated by the Patient and classified as their 'Main Permanent Residence' or 'Other Permanent Residence'.

If a Postcode of usual address is supplied it must be a valid postcode as shown within NHS postcode file

If no code is provided a warning will be returned to the user. If a code is provided, it must be valid. If it is not the submission will be rejected.

GMPC R Code of GP Practice (Registered GMP)

an6 The General Medical Practice Code (Patient Registration) is an Organisation Code. This is the code of the GP Practice that the Patient is registered with.

If a General Medical Practice code (Patient registration) is provided it must be either a valid or default ODS code

If no code is provided a warning will be returned to the user. If a code is provided, it must be valid. If it is not the submission will be rejected.

ETHNICITY

R Ethnic Category

an2 The information recorded about Ethnic Categories must be obtained by asking the Patient. Note: - National code Z should be used where the person has been given the opportunity to

state their Ethnic Category but chose not to. - Default code 99 should be used where the person's Ethnic Category is not known.


RELIGION

R Religion an4 The Religious or Other Belief System Affiliation of a person, as specified by a person. Note: This is the Religious Affiliation of a person, not their Religion.


SEXUAL ORIENTATION

R Sexual Orientation

an1 The current Sexual Orientation of a person.


BAFINDICATOR

R British Armed Forces Indicator Ex- British Armed Forces Indicator

an2 An indication of whether the person is or was in the British Armed Forces, i.e. army, navy or air force. An indication of whether the person was in the British Armed Forces, i.e. army, navy or air force, or is a dependent of a person who is an ex-services member


LTCONDITIONS

R Long Term Conditions

an1 An indication of whether the Patient has a Long Term Physical Health Condition, as stated by the Patient.


General Table Guidance

IAPT User Guidance


This table will contain personal demographic data that relates to individual patient differences such as age, faith, gender, ethnicity, employment status, and sexuality. The patient is someone in receipt of services for depression or anxiety. Patient details should be captured at the time of registration. On a patient’s first referral and each subsequent referral, the following data items should be updated/recorded:

NHS number (if known) Date of birth Postcode Code of GP Practice (Registered GMP) (if known) All other relevant demographic information where possible.

These should be reviewed at each new referral to ensure they are accurate and up to date. Only one record per patient is required when submitting patient details and this should contain the patient’s most up–to-date details as at the time of data extraction. Data items within this table must be recorded for every patient and updated at each new referral if required. Any items marked as ‘Mandatory’ must be present within the table. Any items marked as ‘Required’ should be reported if collected. Failure to comply with validations outlined in the table may result in a failure of the submission. Should this occur the identified data quality issues should be rectified and the data set re-submitted. Detailed Data Item Guidance

NHS Number

A patient must have either an NHS number or a Local Patient Identifier as the NHS number/Local Patient Identifier are used to identify and link the patient’s details across other tables (disability, referral and appointment). Where the providers system records both, they must both be submitted. If the system only records one, then it must be recorded in every table.

IAPT Local Patient Identifier:

A patient must have either an NHS number or a Local Patient Identifier as the NHS number/Local Patient Identifier are used to identify and link the patient’s details across other tables (disability, referral and appointment). Where the providers system records both, they must both be submitted. If the system only records one, then it must be recorded in every table.

This may be different from that used in any of the source systems. The IAPT Local Patient Identifier is used to identify a patient uniquely within a local IAPT service provider. It enables health care providers to create a complete record of care provided by the IAPT service for a patient where patient data is recorded in two or more operational systems that use different Local Patient Identifiers.

IAPT User Guidance


This data item is a mandatory field in ALL the IAPT tables and if any records are submitted in this table or any other table then the record MUST contain a valid IAPT Local Patient Identifier.

Where a common IAPT Local Patient Identifier is used across all local IAPT services, this should be adopted.

To avoid the incorrect linkage of records the IAPT Local Patient Identifier must not be reused i.e. it should only ever relate to one patient. This ensures that the patient’s identifiable data does not appear against more than one patient identifier.

Local Patient ID format specified as an20 in the IAPT Intermediate Database (IDB) and Release Notes document. Standard Specification to be updated in a future change to align with IDB.

Gender:

Explanation of Gender codes:

[0] ‘Not known’: The [0] ‘Not Known’ code should only be used where the gender of a person has not been recorded. [9] ‘Not Specified’: The [9] ‘Not Specified’ code should only be used where the gender of the person is indeterminate, i.e. unable to be classified as either male or female.

Postcode:

All Postcodes must be formatted as specified in the NHS Data Dictionary. Providers must ensure that they conform to the eight character Postcode format (as listed below):

The fifth character of all standard Postcode format is always a space, and separates the outward and inward parts of the Postcode. The outward part of the Postcode is left-justified and can contain 2, 3 or 4 characters, and is space-filled in character positions 3 and 4 where required. The inward part of the Postcode is always 3 characters (as shown in the example below.

1 2 3 4 5 6 7 8

A B 1 2 C D

A B 3 4 5 E F

For further information in relation to formatting of Postcodes, please see the NHS Data Dictionary website: http://www.datadictionary.nhs.uk/web_site_content/supporting_information/nhs_postcode_directory.asp?shownav=1)

Ethnic Category:

Trusts are reminded that the capture and submission of Ethnic Category within the Improving Access to Psychological Therapies (IAPT) is already mandated for ALL patients,

http://www.datadictionary.nhs.uk/data_dictionary/attributes/p/pos/postcode_de.asp?shownav=1



http://www.datadictionary.nhs.uk/web_site_content/supporting_information/nhs_postcode_directory.asp?shownav=1

http://www.datadictionary.nhs.uk/web_site_content/supporting_information/nhs_postcode_directory.asp?shownav=1

IAPT User Guidance


This is to support ethnic monitoring as required of public bodies under the Equalities Act 2010.

Explanation of Ethnic Category codes:

[Z] ‘Not Stated’: The [Z] ‘Not Stated’ national code should only be used where the patient had been asked and had declined either because of refusal or genuine inability to choose.

[99] ‘Not Known’: The [99] ‘Not Known’ national default code should be used where the patient had not been asked

Detail of changes made to data items Ethnic Category:

Addition of specifying default code [99] Not Known to align with NHS Data Dictionary

Sexual Orientation

Addition of specifying default code [9] Unknown to align with NHS Data Dictionary Following the Implementation of Equality Act 2010, it was identified that a national

code for the NHS Data Model and Dictionary attribute Sexual Orientation Code requires updating code 2 as follows:

[2] ‘Homosexual’ revised to [2] ‘Gay/Lesbian’

Standard Specification to be updated in a future change to align with NHS Data

Dictionary. For further information, please see the NHS Data Dictionary link:


British Armed Forces Indicator:

Data item name and definition revised to ‘Ex- British Armed forces’ from ‘British Armed Forces Indicator’ in order to exclude reference to current serving members.

Explanation of British Armed Forces codes:

[03] ‘Not an ex-services member or their dependant’: dependents are considered to be the spouse and/or children [05] ‘Dependent of an ex-services member’: dependents are considered to be the spouse and/or children

Sources of Further Information

For further information on this table and the data items included, please see the IAPT Dataset Specification on the HSCIC website.



IAPT User Guidance


For further information on data quality measures for any data items within this table, please see Draft DQ Measure Rules document on the HSCIC website.

For further information on how data items from this table are used to derive data items in the IAPT extracts, please see the extract specifications on the HSCIC website.

For further information on pre-deadline processing, including warnings and diagnostics, please see Draft summary of validations on the HSCIC website.

IAPT User Guidance


7.2 Table 2 - Disability Table (DISABILITY)


At patient level, data can only be included where the following data items are present for each patient: Local Patient Identifier only for any patients with a disability, in which case there must be a corresponding entry for the Local Patient Identifier in the Person table, Submission will be rejected if: - this table is missing from the submission file (even if to contains no data) - this table is missing any specified columns or the structure has been altered

This table holds details of patient disability. A patient may have multiple disabilities, or they may have none. Any disabilities which are present should be recorded within this table. A patient should only appear in this table if they have disability/disabilities. If they do not, then there is no need to record any details for the patient in this table. Access Name

MRO

Data Item Name

Format Description Data Inclusion Rules D Submission Validations

DQM

NHSNO R NHS Number n10 The NHS Number, the primary identifier of a person, is a unique identifier for a Patient within the NHS in England and Wales. Note: This will not vary by any organisation of which a person is a Patient.

If the NHS number is provided a check will ensure that there is a corresponding entry in the P Person table. If there is no NHS number then the Local Patient Identifier will be checked to ensure a corresponding value appears in the Person table. If neither is provided the submission will fail. Failure to comply with this validation will result in a failure of the submission.

LPTID R

Local Patient Identifier

an10 an20


If the NHS number is provided a check will ensure that there is a corresponding entry in the Patient table. If there is no NHS number then the Local Patient Identifier will be checked to ensure a corresponding value appears in the Person t table. If neither is provided the submission will fail. Failure to comply with this validation will result in a failure of the submission.

ORGCODEPROVIDER

R Organisation Code of Provider


DISABILIT R Disability an2 The Disability of a person. Valid code only Disability code will be

IAPT User Guidance


Y This could be where: - the person has been diagnosed as disabled or - the person considers them self to be disabled. An indication of whether a person is disabled. Note: Under the Disability Discrimination Act (DDA), a disabled person is defined as 'someone who has a physical or mental impairment that has a substantial and long-term adverse effect on his or her ability to carry out normal day-to-day activities'.

checked against a list of valid values.

General Table Guidance This table holds details of patient disability. A patient may have multiple disabilities, or they may have none. Co-morbid physical or mental health disability should be collected early in the care pathway, some even prior to initial assessment where this data is available from the referrer. Any disabilities which are present should be recorded within this table. On a patient’s first referral and each subsequent referral the Disability data item should be updated: A patient should only appear in this table if they have a disability/disabilities. If they do not, then there is no need to record any details for the patient in this table. Note: a patient can have more than one disability recorded. Data items within this table must be recorded for every patient and updated at each new referral if required. Any items marked as ‘Mandatory’ must be present within the table. Any items marked as ‘Required’ should be reported if collected. Detailed Data Item Guidance Local Patient Identifier


Disability

Under the Equalities Act 2010 a disabled person is defined as 'someone who has a physical or mental impairment that has a substantial and long-term adverse effect on his or her ability to carry out normal day-to-day activities'.

This table may contain more than once record for instances where a patient has multiples disabilities.

If a patient has a disability, then either the NHS number or Local Patient Identifier must appear in the Patient details table



IAPT User Guidance


For further information on data quality measures for any data items within this table, please see Draft DQ Measure Rules document on the HSCIC website.


IAPT User Guidance


7.3 Table 3 - Referral Table (REFERRAL)


At patient level, data can only be included where the following data items are present for each patient: Local Patient Identifier (there must be a corresponding entry for the Local Patient Identifier in the Person table), Organisation Code of Provider, and Service Request ID. Include referrals active in current reporting period and referrals associated with follow up appointments in the current reporting period. Submission will be rejected if: - this table is empty - this table is missing from the submission file - this table is missing any specified columns or the structure has been altered

A referral is a request for care to be provided for a patient. It includes self referrals. Whilst a patient may have multiple referrals which require recording within the table, only one record is required for each referral.

Access Name

MRO Data Item Name

Format Description Data Inclusion Rules

Submission Validations DQM

NHSNO R NHS Number n10 The NHS Number, the primary identifier of a person, is a unique identifier for a Patient within the NHS in England and Wales. Note: This will not vary by any organisation of which a person is a Patient.

If the NHS number is provided, a check will ensure that there is a corresponding entry in the Person table. If there is no NHS number then the Local Patient Identifier will be checked to ensure a corresponding value appears in the Person table. If neither is provided, the submission will fail. Failure to comply with this validation will result in a failure of the submission.


an10 an20


ORGCODEPROVIDER



Warning issued if code does not match valid ODS code (includes default codes)

SERVICEID

M Service Request ID

an20 Service Request ID Service Request ID - Relationship key to allow link data linkage between referral and activity (this will normally be the referral identifier).

Service request identifier must not be NULL and must be unique in the table Failure to comply with this validation will result in a failure of the submission.

REFRECDATE

R Date Referral Received

CCYY-MM-DD

Date Referral Received Must be valid date. Any data that has a date that appears before the reporting period start date

Invalid date format will result in failure of the submission file. If the Referral Request Received date is not completed then a warning will be presented back to

IAPT User Guidance


will be excluded from data processing. Any data that has a date that appears after the reporting period end date will be excluded from processing.

the user

SOURCEREFERRAL

R Source of Referral

an2 A classification which identifies the source of referral.

SERVREQACCIND

R Service Request Acceptance Indicator

an1 An indication of whether a SERVICE REQUEST was accepted by a Health Care Provider. For an IAPT Services, this is following the initial APPOINTMENT with the Therapist.

ORGCODECOMM

R Org Code of Commissioner

an5 Organisation Code (Code Of Commissioner) is the Organisation Code of the Organisation commissioning health care. Note: See NHS Data Dictionary for list of default codes

Where an Organisation code (Code of commissioner) is provided it must be a valid ODS code If no code is provided a warning will be returned to the user. If a code is provided, it must be valid. If it is not the submission will be rejected.

PROVDIAG

R Provisional Diagnosis

an6 This is the provisional Patient Diagnosis for the main condition treated or investigated during the relevant episode of healthcare.

If provisional diagnosis is not completed for each referral a warning will be presented back to the user

ONSETDATE

R Date of Onset of Current Episode

YYYY-MM

The year and month the PATIENT first experienced the mental health symptoms, as stated by the PATIENT.

RECURIND

R Recurrence indicator

an1 An indication of whether this is a recurrence of a previously diagnosed condition, as stated by a PERSON.

ENDCODE

R Reason for End of IAPT Care Pathway

an2 A classification which identifies the reason for the termination of an Improving Access to Psychological Therapies Care Spell as determined by the CARE PROFESSIONAL.

If the IAPT spell end code is NOT NULL and the end date (IAPT) is NULL a warning will be presented to indicate that the date is missing. If the End date is NOT NULL and the IAPT spell end code is NULL a warning will be presented to indicate that the IAPT spell end code is missing

ENDDATE

R Date of End of IAPT Care Pathway

CCYY-MM-DD

The date the Patient is deemed by the Care Professional to have completed the current Improving Access to Psychological Therapies Care; this will be the last Improving Access to Psychological Therapies Contact.

Must be valid date format.

Invalid date format will result in failure of the submission file.

General Table Guidance A referral is a request for a care service to be provided for a patient. It includes self referrals. Whilst a patient may have multiple referrals which require recording within the table, only one record is required for each referral. This table will contain summary information including provisional diagnosis and key dates should be updated at relevant points along the patient’s care pathway. Date information can

IAPT User Guidance


be used to calculate waiting times. Provisional diagnosis is included to inform the clinical approach and to ensure patients receive the right treatment. On a patient’s first referral and each subsequent referral the following data items should be updated:

Disability details if they have changed since a previous referral or are now known (when previously unknown)

Date the referral request was received

Source of referral

If the referral was accepted by the service

Commissioner details of the referral

For referrals ended, record the spell end code and the date the spell ended

For subsequent referrals, these should be recorded as a new referral (rather than a follow on) such as to allow the monitoring of relapse.

Provisional diagnosis Data items within this table must be recorded for every patient and updated at each new referral if required. Any items marked as ‘Mandatory’ must be present within the table. Any items marked as ‘Required’ should be reported if collected. Detailed Data Item Guidance Local Patient Identifier


Provisional Diagnosis

The IAPT Data Standard provides a coding framework for the range of diagnoses suitable for treatment within IAPT services, including relevant ICD-10 coding. On determination of an anxiety disorder provisional diagnosis by the IAPT worker at initial assessment, the appropriate outcome measurement tools can be applied from the range of relevant anxiety disorder specific measures (ADSMs).

Provisional diagnoses record patterns of symptoms and do not replace in any way the

patient-centred assessment required to personalise treatment plans. Date of End of IAPT Care Pathway

Some systems may be unable to capture an End Date when a referral is not accepted

by the Service (Reason for End of IAPT Care Pathway recorded as ‘05 - Not suitable for service’), in which case it is advised that these records should have the End Date populated with the same date as that recorded date for the Date Referral Received data item.


IAPT User Guidance




IAPT User Guidance


7.4 Table 4 - Appointment Table (APPOINTMENT)


At patient level, data can only be included where the following data items are present for each patient: Local Patient Identifier (there must be a corresponding entry for the Local Patient Identifier in the Person table), Organisation Code of Provider, Appointment Date, Attendance and Service Request ID (there must be a corresponding entry for the Service Request ID in the Referral table). Submission will be rejected if: - this table is empty - this table is missing from the submission file - this table is missing any specified columns or the structure has been altered

An appointment is an interaction with a patient by a health care professional with the objective of making a contribution to the health care of the patient. This table holds details of each appointment. A patient may have multiple appointments which require recording.

Access Name

MRO

Data Item Name Format Description Data Inclusion Rules Submission Validations

DQM

NHSNO R NHS Number n10 The NHS Number, the primary identifier of a person, is a unique identifier for a Patient within the NHS in England and Wales. Note: This will not vary by

any organisation of which a person is a Patient.

If the NHS number is provided, a check will ensure that there is a corresponding entry in the Person table. If there is no NHS number then the Local Patient Identifier will be checked to ensure a corresponding value appears in the Person table. If neither is provided, the submission will fail. Failure to comply with this validation will result in a failure of the submission.


an10 an20


ORGCODEPROVIDER



SERVICEID

M Service Request ID

an20 Service Request ID Service request identifier must not be NULL. Each service request identifier must appear in the referral table Failure to comply with this validation will result in a failure of the

IAPT User Guidance


submission.

APPOINTMENT

M Appointment Date

CCYY-MM-DD

Appointment Date The appointment date must be completed and in a valid format. Failure to comply with this validation will result in a failure of the submission.

PRIMARYROLE

R Primary Role in IAPT Service

an2 Identifies the primary role undertaken by a CARE PROFESSIONAL administering the therapy session in an Improving Access to Psychological Therapies Contact.

ATTENDANCE

M Attendance an1 This indicates whether an APPOINTMENT for a CARE CONTACT took place. If the APPOINTMENT did not take place it also indicates if advance warning was given. When an APPOINTMENT is cancelled the APPOINTMENT CANCELLED DATE should also be recorded.

Attend or did not attend code must be completed. Failure to comply with this validation will result in a failure of the submission.

CONTACTDURATION

R Contact Duration (Clinical time)

n3 The duration of the direct clinical contact at an APPOINTMENT in minutes, excluding any administration time prior to or after the contact and excluding the CARE PROFESSIONAL's travelling time to an APPOINTMENT. This is calculated from the Start Time and

APPTYPE R Appointment Purpose

an2 The type of Improving Access to Psychological Therapies APPOINTMENT.

CONSMEDIUM

R Appointment Medium

an2 CONSULTATION MEDIUM USED identifies the communication mechanism used to relay information between the CARE PROFESSIONAL and the PERSON who is the subject of the consultation, during a CARE ACTIVITY.

Care professional role code should be completed.

Where it is not a warning will be presented back to the user.

THERTYPE1

R Intervention Given

an2 The type of therapy given to a PATIENT or planned to be given to a PATIENT during an APPOINTMENT.

If the appointment type is not completed a warning will be returned to the user.

EMPSTATUS

R Employment status

an2 EMPLOYMENT STATUS is the current EMPLOYMENT status of a PERSON.

Where employment support suitability indicator code is NOT NULL and the employment support referral date is NULL a warning will be given.

EMPSUPPORTIND

R Employment Support Indicated

an2 An indication of whether the PATIENT is a suitable candidate for referral to Employment Support.

Where employment support referral date is NOT NULL and employment support suitability indicator code is NULL a warning will be given.

EMPSUPPORTREFERRAL

R Employment Support Referral Date

CCYY-MM-DD

The date the PATIENT was referred for Employment Support.

PSCYHMED PSYCHMED

R Use of Psychotropic Medication

an2 An indication of whether the PATIENT is taking Psychotropic Medication, as stated by the PATIENT.

SSPIND R Receiving Statutory sick pay (SSP)

an1 An indication of whether a PERSON is currently receiving Statutory Sick Pay, as stated by the PERSON.

PHQ9_SCORE

R PHQ-9 Total Score

an2 max n2

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Patient

Valid score.

IAPT User Guidance


Health Questionnaire-9". The score will be between 00 0 and 27.

GAD7SCORE

R GAD7 Score an2 max n2

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Generalised Anxiety Disorder Questionnaire". The score will be between 00 0 and 21. If one or two values are missing from the score, then they can be substituted with the average score of the non-missing items. Questionnaires with more than two missing values should be disregarded.

Valid score.

WSASSCORE

R W&SAS Score an2 max n2

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Work and Social Adjustment Scale". The score will be between 00 0 and 40. If a PATIENT has selected "not applicable" for question 1 or if one value is missing, then theses scores can be substituted with the average score of the non-missing items. Questionnaires with more than one missing value should be disregarded.

Valid score.

AGORASCOREACC

R Agoraphobia: Mobility Inventory Score (when accompanied)

an3 max n3

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Agoraphobia Mobility Inventory Questionnaire 'When Accompanied'". The score will be between 0 and 135.

Valid score.

AGORASCOREALONE

R Agoraphobia: Mobility Inventory Score (when alone)

an3 max n3

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Agoraphobia Mobility Inventory Questionnaire 'When Alone'". The score will be between 0 and 135.

Valid score.

AGORASCORE

R Agoraphobia Score

an1 n1

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Agoraphobia Questionnaire". The score will be between 0 and 8.

Valid score.

GENANXSCORE

R Generalized Anxiety Disorder Penn State Wworry Questionnaire Score

an2 max n2

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Generalised Anxiety Disorder Penn State Worry Questionnaire". The score will be between 00 16 and 80. If one or two values are missing from the score, then they can be substituted with the average score of the non-missing items.

Questionnaires with more than two missing values should be disregarded.

Valid score.

HEALTHA R Health Anxiety an2 This is the PERSON SCORE Valid score.

IAPT User Guidance


NXSCORE Inventory Short Week Score

max n2 for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Health Anxiety Inventory Short Week Scale". The score will be between 0 and 54.

OCDSCORE

R Obsessive Compulsive Disorder Inventory Score

an3 max n3

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Obsessive Compulsive Disorder Inventory Questionnaire". The score will be between 0 and 168. If one or two values are missing from the score, then they can be substituted with the average score of the non-missing items. Questionnaires with more than two missing values should be disregarded.

Valid score.

PANICSCORE

R Panic Disorder Severity Scale Score

an2 max n2

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Panic Disorder Severity Scale". The score will be between 00 0 and 28.

Valid score.

PTSDSCORE

R Post Traumatic Stress Disorder Impact of Events Scale Revised Score

an2 max n2

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Post Traumatic Stress Disorder Impacts of Events Scale". The score will be between 00 0 and 88. If one or two values are missing from the score, then they can be substituted with the average score of the non-missing items. Questionnaires with more than two missing values should be disregarded.

Valid score.

SOCPHOBIAINVSCORE

R Social Phobia Inventory Score

an2 max n2

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Social Phobia Inventory Questionnaire". The score will be between 0 and 68.

Valid score.

SOCPHOBIASCORE

R Social Phobia Score

an1 n1

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Social Phobia Questionnaire". The score will be between 0 and 8.

Valid score.

SPECPHOBIASCORE

R Specific Phobia Score

an1 n1

This is the PERSON SCORE for an APPOINTMENT where the ASSESSMENT TOOL TYPE is "Specific Phobia Questionnaire". The score will be between 0 and 8.

Valid score.

General Table Guidance

IAPT User Guidance


An appointment is an interaction with a patient by a health care professional with the objective of making a contribution to the health care of the patient. This table holds details of each appointment. A patient may have multiple appointments which require recording. On each appointment, the following data items should be updated/recorded:

Appointment date Attended or did not attend code Appointment type Therapy type if one (or more then one) was used Appointment medium

Data items within this table must be recorded for every patient and updated at each new referral if required. Any items marked as ‘Mandatory’ must be present within the table. Any items marked as ‘Required’ should be reported if collected. For further information on ach of the outcome scores please see the IAPT programme website: http://www.iapt.nhs.uk/downloads/ Detailed Data Item Guidance Local Patient Identifier


Service Request Identifier This data item must be recorded at each appointment for every patient. Appointment Date

This data item must be recorded at each appointment for every patient.

Recommended practice is that a patient should only have one therapy type per appointment. However in certain circumstances patients may have more then one therapy in a single appointment, indeed this may be at the patient’s request. To allow for this, up to four therapy types can be recorded in the appointment table.

Primary Role in IAPT Service

The primary role undertaken by a Care Professional refers to the lead therapist.

Where group therapy sessions include more than one therapist administering treatment, then this should be flowed as a single record (containing the lead therapist details only). Group therapy sessions should NOT be reported using multiple records for each combination of therapists’ present during the contact.

http://www.iapt.nhs.uk/downloads/

IAPT User Guidance


Attendance

This data item must be recorded at each appointment for every patient.

If the appointment is conducted via text message or email details of this event must be recorded in the normal manner i.e.; Code 5 – ‘Attended on time or, if late, before the relevant care professional was ready to see the patient’.

Employment status

[01] Employed: Employed refers to those who are employed by a company and have their National Insurance paid for directly from their wages.

It also includes those who are self-employed (i.e. those who work for themselves and generally pay their National Insurance themselves); those who are in supported employment; and those who are in permitted work (i.e. those who are in paid work and who are also receiving Incapacity Benefit). It should also include those who are unpaid family workers (i.e. those who do unpaid work for a business they own or work for a business a relative owns).

[02] Unemployed and Seeking Work: Unemployed refers to those who are not in paid work but are actively seeking work and are available to start, or are waiting to start a paid job they have already obtained.

Other Employment Status codes include those who are economically inactive (03, 04, 05, 06, 07, 08, ZZ), that is, those who are not in paid work and who are not actively seeking work, or they are not available to start.

If the Employment Status of the patient remains the same, Trusts are advised against leaving the original date unchanged, until such a time there is a change to the Employment Status. Therefore the Date of Employment Status should change with each review even if the Employment Status remains the same. This is to evidence and report against the National Indicators that providers are asking these questions on a regular basis.

Detail of changes made to data items Attendance

Removal of attended or did not attend code ‘0 – Not applicable, appointment occurs in the future’. No requirement exists to collect future appointments as part of the dataset.

Appointment Purpose

Addition of specifying default code [08] Not Recorded to align with NHS Data Dictionary

Employment Support Indicated

Addition of specifying default code [N/A] Not Applicable to align with NHS Data Dictionary

IAPT User Guidance


Outcome Measures

Removal of default ‘W’ code from all outcome measures in the Appointments Table. No default code should exist for the outcome measures included.

As a result of above change, changes have also been made to all the data item

definitions, formats and national codes. Generalized Anxiety Disorder Penn State Worry Questionnaire

Data Item definition amended to reflect the correct score range which should be 16-80 (incorrectly stated as 0-21).



For further information on pre-deadline processing, including warnings and diagnostics, please see Draft Summary of Validations on the HSCIC website.

For further information on each of the outcome score measures please see the IAPT programme website: http://www.iapt.nhs.uk/downloads/

http://www.iapt.nhs.uk/downloads/

IAPT User Guidance


SECTION C

How to submit IAPT submissions

IAPT User Guidance


8 Submitting IAPT Data Once the data the Intermediate Database has been populated for the chosen reporting period(s) the file should be submitted using the Bureau Service Portal (BSP), provided by the Systems and Service Delivery Team at Connecting for Heath.

8.1 How to gain access to the Bureau Service Portal

You need to register for access to the Bureau Service Portal for IAPT on Open Exeter. Your organisation may already be registered for Open Exeter.

I. Go to https://nww.openexeter.nhs.uk/nhsia/index.jsp and click on the blue box at the bottom that says Caldicott Guardian Register and check that the correct name is given for the Caldicott Guardian of your organisation.

II. If the name is incorrect or missing, download and complete the

http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/caldicottcert.pdf form to register the correct Caldicott Guardian and send this back to the address on the form.

III. Complete the form

http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/bspducform.doc to request access to Open Exeter for IAPT v 4 and send it to the address on the form (Note: the addresses for the two forms are different)

IV. If the name of your organisation’s Caldicott Guardian is correct then just complete the

following form http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/bspducform.doc to request access to Open Exeter for IAPT v4 and send it back to the address on this form.

Please note that once issued, accounts must be activated within a short period of time. For further help please contact [email protected]

8.2 How to make the IAPT submission

This section provides details on how to make IAPT submissions for your own organisation and on behalf of other providers. IDB Creation Scenarios In relation to creating an IDB file for submission, the main requirement is to only include a single unique organisation code per IDB (this may be the provider code or the site code). Different provider/site codes cannot be included in the same IDB. If a requirement exists to submit for multiple providers or sites, then multiple IDB’s must be submitted, one for each provider or site. Each provider or site code used must be associated with its own Bureau

https://nww.openexeter.nhs.uk/nhsia/index.jsp

http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/caldicottcert.pdf

http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/caldicottcert.pdf

http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/bspducform.doc





IAPT User Guidance


Service Portal account. For instance, the requirement to submit for two providers requires two portal accounts gained through completing two DUC (Data User Certificate) forms. Below are various scenarios describing how an IDB could be submitted based on local IAPT service configuration and/or submission requirements. Scenario 1 - One provider and one commissioner

Single IDB is submitted by the provider with the following details: One ODS Organisation code (Code of Provider) – Person table One ODS Organisation code (Code of Commissioner) – Referral table

A requirement exists for the provider undertaking data upload to the portal to have made a single DUC application.

Scenario 2 - One provider and multiple commissioners

Single IDB is submitted by the provider with the following details: One ODS Organisation code (Code of Provider) – Person table Multiple ODS Organisation codes (Code of Commissioner) – Referral table


Scenario 3 - Multiple providers or sites and one commissioner This scenario entails two options (option used to be determined locally). Option 1: Each provider or site must be submitted in a separate IDB (each containing data for a single provider or site). Therefore, each IDB submitted must have the following details:

One ODS Organisation code (Code of Provider or site) – Person table One ODS Organisation code (Code of Commissioner) – Referral table

A requirement exists for the provider undertaking data upload to the portal to have made multiple DUC applications – one per provider or site Option 2: The activity from the multiple providers or sites is combined and assigned to a single provider code. The decision over which provider code is most appropriate to use is a local decision. A single IDB is submitted with the following details:

One ODS Organisation code (Code of Provider) – Person table One ODS Organisation code (Code of Commissioner) – Referral table


Scenario 4 - Multiple providers or sites and multiple commissioners

This scenario entails two options (option used to be determined locally).

Option 1: Each provider or site must be submitted in a separate IDB (each containing data for a single provider or site). Therefore, each IDB will be submitted must have the following details:

IAPT User Guidance


One ODS Organisation code (Code of Provider or site) – Person table Multiple ODS Organisation code (Code of Commissioner) – Referral table

A requirement exists for the provider undertaking data upload to the portal to have made multiple DUC applications – one per provider or site.

Option 2: The activity from the multiple providers or sites is combined and assigned to a single provider code. The decision over which provider code is most appropriate to use is a local decision. A single IDB is submitted with the following details:

One ODS Organisation code (code of provider) – Person table Multiple ODS Organisation code (code of commissioner) – Referral table


8.2.1 Step 1: Select Upload from IAPT home page

Navigate to the IAPT Home Page from the BSP Home Page. Note that the IAPT home page describes the periods of time currently being used to process IAPT submissions and the number of days left until the submission deadline. No submissions can be made after the deadline. Data is automatically processed for a fixed period of time. During each submission window there is a Primary reporting period and a Refresh reporting period.

IAPT User Guidance


A submission for the Primary reporting period is compulsory, a submission for the Refresh reporting period is optional, as data for this period will have been submitted in the previous Fixed Period as a Primary submission. The Refresh submission is the provider's last chance to amend data for the reporting period (there is no requirement for an annual IAPT submission). To make a submission, select Upload

8.2.2 Step 2: Select Upload Type

Select the Submission upload type from the drop down menu. Choose whether the Intermediate Database (IDB) which you are about to upload should be processed for the current Primary or Refresh reporting period - or for both. You can submit separate files to be processed for the primary and refresh reporting periods or a single IDB can be processed to produce a separate primary and refresh file.

You can also upload an IDB that is 'not for submission' and select your own date parameters for processing the file (please note reporting period date restrictions of up to 365 days apply). A 'not for submission' file cannot subsequently be turned into a Primary or Refresh file. If you decide you wish to use this IDB for your submission you will need to upload it again and select a primary, refresh or primary and refresh upload type. Please note you will not be able to queue submissions or upload more than one IDB at any one time.

IAPT User Guidance


8.2.3 Step 3: Select the IDB file to be uploaded

Browse to select the file to be uploaded on your local system.

If

the file is large you may compress it using a PK zip compatible programme prior to upload to make the upload quicker.

IAPT User Guidance


Note: Do not put more than one IDB in the zip file and do not add a password. Understanding the status of files uploaded in the current submission window The upload screen shows the status of all IDB files that have been uploaded in the current submission window. Once you have uploaded an IDB you can use this screen to follow the progress of this submission, but all IAPT users at your organisation will receive an email notification when the file has processed. You should not close your browser window until the Processing Status indicates that the file is being processed. The BSP Unique ID is the system’s unique identifier for the submission that has been uploaded and this is used to track the file through the system. It is recommended that you save a local copy of the file you have uploaded and give it this ID, for audit purposes. Where a single IDB is uploaded for primary and refresh submissions, two BSP Unique IDs will be generated, one for each reporting period and the system treats these as two separate files (with separate rows in the list of uploaded files). This ID will also be attached to your extracts. The Processing status column shows the status of the current file and previous files uploaded in this fixed period. Only one file can be processed at a time. The most recent successfully processed file ('the last good file') for the Primary and Refresh reporting periods is highlighted. This/these are the files that will be used in post deadline processing and provided to commissioners and the HSCIC for analysis. If you send a subsequent file for the same reporting period that is successfully processed, it will automatically become the ‘last good file’.

IAPT User Guidance


It is recommended that all submitted IDBs are retained, with the relevant BSP Unique ID, in case you decide that an earlier file was better than the most recently submitted successful file. Then you can submit it again. A file whose status is Error or Failed will not be processed further. The majority of files are likely to be ‘Processed with warnings’.

8.2.4 Step 4: Retrieve feedback on file

When your file has processed, select View from the Summary Report column for the file you have uploaded. The Summary Report provides information to help you assess the quality of your submission. The Summary tab shows the output status of the file, provides a count of patient records and, importantly, the BSP assigned unique file ID. This ID will be attached to the extracts from both pre and deadline processing so that the file can be tracked through the system.

IAPT User Guidance


If the output status of the file is 'failed', then the Validation Failures tab gives details of the errors that meant the file could not be processed. You must submit another file to make your submission. These submission validations are described in the previous section on Preparing the IAPT data submission. Further details of the validations carried out on submission that would cause a file to be rejected are included in Section B of this document (please see individual tables for further details. Each screen within the Summary Report can be printed, or downloaded as a text file. It is recommended that this file is first Saved and then Opened using Wordpad – which will format the text in an accessible way.

IAPT User Guidance


The Warnings tab highlights issues which suggest the data might be incomplete or of poor quality. These warnings might prompt you to make another submission, but this is still a successful file and will be treated as the ‘last good file’ if another subsequent file is not sent before the submission deadline.

Select the ‘?’ symbol for a description of the issue. Select list details to see the local patient IDs to which this warning applies. These IDs are included in the report that can be downloaded for local investigation.

IAPT User Guidance


The Diagnostics tab provides basic reports in line with some existing information requirements and data quality measures. The construction of the Data Quality Measures is in IAPT DQ Measure Rules.

The Aggregate Counts tab provides counts of basic elements of the data (e.g. number of patients, number of rows in various Event and Episode tables) which should help you to assess the completeness of the data. The low counts in the screenshot below suggest that the uploaded IDB contained very little data for the chosen reporting period. Some of these counts also provide the denominator figure for Data Quality Measures. Providers might consider setting up some similar queries on local systems, or on the IDB, to assure the submission all the way through the process. The HSCIC would be interested to know of other basic counts that could be used to assure the processing of the data, please forward any suggestions to the HSCIC: [email protected]


IAPT User Guidance


8.2.5 Step 5: Retrieve test extract

Please note while any uploaded files are being processed, users are locked out and will be unable to load any further files until the current file has been processed. Once the submitted file has been processed you can also download a test extract. The download extract function is only available from the Upload Screen, used to upload the file. NOTE: that extracts are only available for the most recent successful Primary and Refresh files as shown in the screenshot below, where the last good file is highlighted in yellow. This is the only file where the option to download extract is available. It is recommended that you download the extract as soon as possible and store it with the relevant BSP file ID. If more than one person has access to the system and can upload submissions, you must coordinate to ensure that one file has been reviewed and the available outputs collected, before another is uploaded.

IAPT User Guidance


Extracts are packed in a zip file. There are 5 elements to your extract:

- header.csv - patients.csv - disabilities.csv - referrals.csv - appointments.csv

Specifications for the extracts can be found in the IAPT extract specification documents.

IAPT User Guidance


The header file provides details of when the file was uploaded and its unique BSP ID.

8.2.6 Step 6: Decide whether to make a further submission

You can make as many submissions as you wish up until the submission deadline. Then no further submissions can be made and your organisation’s ‘last good’ primary and refresh submissions will be used to produce the final extract. Some further processing is required to produce the final extracts and this takes place AFTER the submission deadline. You will receive an email when your final extracts are ready to be collected. It is anticipated that once business as usual is established this will be 6 working days after the submission deadline.

IAPT User Guidance


8.2.7 Step 7: Retrieve final extracts

When your final extracts are ready, log in to the Bureau Service Portal and select Final Extract from the IAPT Home Page. Each extract is packed in a zip file. There are 5 elements to your extract:

- header.csv - patients.csv - disabilities.csv - referrals.csv - appointments.csv

Specifications for the extracts can be found in the IAPT extract specification documents. Please note the differences between test and final extracts, which are explained in the section below. The BSP is designed to retain your extracts for the most recent Primary and Refresh Submissions, the submissions from the previous Fixed Period, and the Primary submission from the period before that. Once fully operational the system will hold up to 5 final extracts, depending on whether both primary and refresh submissions were made, as shown in the example below:

1. March Primary most recent submissions 2. February Refresh most recent submissions PLUS 3. February Primary 4. January Refresh 5. January Primary

9 How is the data processed? IAPT submissions are processed in two stages:

Pre deadline processing

Post deadline processing

9.1 Pre deadline processing

Pre deadline processing is applied to every file uploaded to the BSP. It produces test extracts and Data Summary reports as described above. Pre deadline processing consists of:

On submission validation

Extracting the data for the chosen upload type (primary or refresh) in accordance with the submission requirements and data inclusion rules

Deriving some additional data items

Flattening, or normalising the data into 5 csv files

IAPT User Guidance


Producing data summary reports to assist providers in assessing the quality of the submission

Producing test extracts A specification for the extract and further information about the construction of the Data Summary reports can be found in the Appendix.

9.2 Post deadline processing

Post deadline processing is only applied to the ‘last good’ primary (and refresh, if submitted) files that have passed validation by the submission deadline. This is because files need to flow in sequence through the post deadline processing, with all refresh files processed before primary files and only one of each type for each provider. A specification for the extract and further information about the derivation of the data items relating to the Spell can be found in the IAPT extract specifications NOTE: For further detailed guidance about the Bureau Service Portal please contact: [email protected]


IAPT User Guidance


APPENDICES Please note the following related documents are available on the HSCIC website: http://www.hscic.gov.uk/iapt

IAPT data set standard specification (external)

Draft summary of validations

IAPT Provider extract specification

IAPT Commissioner extract specification

IAPT draft data inclusion rules

IAPT draft user guide

IAPT implementation checklist

IAPT frequently asked questions

Presentation: a practical guide to the IAPT data set

Guidance for organisations taking part in the Payment by Results pilot


IAPT User Guidance


Appendix 1 – IAPT Intermediate Database Release Notes


IAPT - Intermediate Database Release Notes

Purpose of this document The purpose of this document is to highlight the changes to the Improving Access to Psychological Therapies (IAPT) Data set Specification.

Document version history

Version Date Issued Brief Summary of Change Owner’s Name

1.0 09/04/2011 Final version for publication Nick Bridges

1.1 18/11/2011 Incorporated changes made to the IAPT dataset specification:

- Access names changed to uppercase to align with documentation

- Data Item descriptions revised to align with documentation

- Formats revised to align with changes approved in Standard Specification document

- Corrected LPTID format from an20 to an10

Shagufta Bibi

1.1 30/11/2011 Revised LPTID format from an10 to an20 Shagufta Bibi

NOTE: This document should be read in conjunction with the corresponding IAPT User Guidance, IAPT Standard Specification and the Information Standards Notice (Amd 29/2011).

Author information

For more information on the status of this document, please see the covering letter or contact:

Mental Health and Community Team

Health and Social Care Information Centre

1 Trevelyan Square

Boar Lane

Leeds, LS1 6AE

Tel: 0845 300 6016

E-mail: [email protected]

Internet: www.hscic.gov.uk

Date of Issue 30/11/2011

Reference

Copyright © 2013 The Health and Social Care Information Centre


IAPT User Guidance



IAPT Intermediate Database Version 1.1.00 – Release Notes Introduction This document supports the first release of the Improving Access to Psychological Therapies (IAPT) data set Intermediate Database (IDB). The IDB will facilitate the flow of information following the approval of Information Standards Notice (ISN) Amd 29/2011. This document should be read in conjunction with the IAPT Standard Specification document. http://www.isb.nhs.uk/documents/isb-1520/amd-51-2010/index_html Summary of the IAPT Dataset Specification The database consists of four tables: Person, Disability, Referral and Appointment, which have been added to the IAPT Intermediate DB v1.1.00: Table name: Person table

Access name Data item name Format

NHSNO NHS Number n10

NHSNOSTATUS NHS Number Status Indicator Code an2

LPTID Local Patient Identifier an20

ORGCODEPROVIDER Organisation Code (Code of Provider) an5

DOB Date of Birth CCYY-MM-DD

GENDER Gender an1

POSTCODE Postcode an8

GMPC Code of GP Practice (Registered GMP) an6

ETHNICITY Ethnic Category an2

RELIGION Religion an4

SEXUALORIENTATION Sexual Orientation (Current) an1

BAFINDICATOR Ex- British Armed Forces Indicator an2

LTCONDITION Long Term Conditions an1

Please note that permitted values may be found in Amd 29/2011


IAPT User Guidance


Table name: Disability




ORGCODEPROVIDER Organisation Code of Provider an5

DISABILITY Disability an2

Please note that permitted values may be found in Amd 29/2011 Table name: Referral





SERVICEID Service Request ID an20

REFRECDATE Date Referral Received CCYY-MM-DD

SOURCEREFERRAL Source Of Referral an2

SERVREQACCIND Service Request Acceptance Indicator an1

ORGCODECOMM Organisation Code of Commissioner an5

PROVDIAG Provisional Diagnosis an6

ONSETDATE Date of Onset of Current Episode YYYY-MM

RECURIND Recurrence Indicator an1

ENDCODE Reason for End of IAPT Care Pathway an2

ENDDATE Date of End of IAPT Care Pathway CCYY-MM-DD

Please note that permitted values may be found in Amd 29/2011 Table name: Appointment





SERVICEID Service Request ID an20

APPOINTMENT Appointment Date CCYY-MM-DD

PRIMARYROLE Primary Role in IAPT Service an2

ATTENDANCE Attendance an1

CONTACTDURATION Contact Duration (Clinical Time) n3

APPTYPE Appointment Purpose an2

CONSMEDIUM Appointment Medium an2

THERTYPE1 Intervention Given an2




EMPSTATUS Employment Status an2

EMPSUPPORTIND Employment Support Indicated an2

EMPSUPPORTREFERRAL Employment Support Referral Date CCYY-MM-DD

PSYCHMED Use of Psychotropic Medication an2

IAPT User Guidance


SSPIND Receiving Statutory Sick Pay (SSP) an1

PHQ9_SCORE PHQ-9 Total Score max n2

GAD7SCORE GAD7 Score max n2

WSASSCORE W&SAS Score max n2

AGORASCOREACC Agoraphobia: Mobility Inventory Score (when accompanied) max n3

AGORASCOREALONE Agoraphobia: Mobility Inventory Score (when alone) max n3

AGORASCORE Agoraphobia Score n1

GENANXSCORE Generalized Anxiety Disorder Penn State Worry Score max n2

HEALTHANXSCORE Health Anxiety Inventory Short Week Scale Score max n2

OCDSCORE Obsessive Compulsive Disorder Inventory Score max n3

PANICSCORE Panic Disorder Severity Scale Score max n2

PTSDSCORE Post Traumatic Stress Disorder Impact of Events Scale Revised Score max n2

SOCPHOBIAINVSCORE Social Phobia Inventory Score max n2

SOCPHOBIASCORE Social Phobia Score n1

SPECPHOBIASCORE Specific Phobia Score n1

Please note that permitted values may be found in Amd 29/2011 Release of IAPT Intermediate Database v1.1.00 The IAPT IDB will be made available through the HSCIC Contact Centre and web site. http://www.hscic.gov.uk/iapt Further Information and Support

For all enquiries relating to technical products including the IAPT IDB, Bureau Service Portal and data validation reports, please contact: Open Exeter Helpdesk Telephone: 01392 251289 Email: [email protected] (please include ‘FAO IAPT’ in subject line)

For all enquiries relating to the IAPT Information Standard including scope, data items, definitions and data values, future requirements and changes, submission deadlines, analysis and reporting of IAPT data, please contact: Health and Social Care Information Centre Telephone: 0845 3006016 Email: [email protected] (please include ‘FAO IAPT’ in subject line)




IAPT User Guidance


Appendix 2 - Data Set Submitted By Provider To SSD

To access this diagram – please see embedded file:

Adobe Acrobat Document

IAPT User Guidance


Appendix 3 - Data Set Made Available To Providers Following SSD Processing



IAPT User Guidance


Appendix 4 - Data Set Made Available To Commissioner Following SSD Processing

