Improving Access to Psychological Therapies (IAPT)

1. Improving Access to Psychological Therapies (IAPT) “A practical guide to the data set” Thursday 3rd May 2012

2. Netta Hollings Programme Manager for Mental Health and Community Welcome and Introductions

3. Introduction • Team introductions • Today is a practical ‘end to end’ consideration of data set processes • Data set mandated from 1st April 2012 – data collection is hopefully underway! • First submission window opens 7th May (for Aprils data) and closes on 25th May • Window opens next Monday ! • Today is the opportunity to gain more understanding about what is required, ask questions and go away ready to start making submissions.

4. The ‘end to end’ process IDB uploaded to Bureau Service Portal (BSP) Data uploaded to IAPT Intermediate database (IDB) Data collected in local system Data extracted and validated Data quality and other feedback reports made available Data validation and processing Analysis and reporting Data extracts downloaded

5. Current status • System has been available for voluntary submission since December 2011 • 30+ sites have made a submission in readiness for mandation • Pre deadline processing outputs are available • Post deadline will not be available when submission window closes on 25th May. • Assurance work still to complete • Updates will be given as the development work progresses • Continue to submit as normal and make use of data quality reports and pre deadline extracts to refine processes

6. Alan Scott and Gary Sargent NHS Connecting for Health Systems and Service Delivery The Bureau Service Portal

7. Open Exeter web page The Open Exeter page where all the documents live http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/vaprodopenexe

8. Open Exeter web page The Open Exeter page where all the documents live http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/vaprodopenexe

9. Caldicott Guardian Form The Caldicott Guardian form which all sites will need to have in place before we can allocate users to the system http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/caldicottcert.pdf

10. Data User Certificate The DUC form (Data User Certificate) which the Caldicott Guardian signs to allow access http://www.connectingforhealth.nhs.uk/systemsandservices/ssd/prodserv/iaptduc.pdf

11. The Bureau Service Portal https://nww.openexeter.nhs.uk/nhsia/index.jsp

12. Tim Holdsworth Information Products Testing Manager Building a Submission

13. The IDB contains the IAPT data set • IAPT data set submitted to the Bureau Service Portal (BSP) as the IAPT Intermediate database (IDB): • A Microsoft Access database • No alternative method for submission exists • Contains 4 empty data tables - no additional functionality such as a data entry interface • Defined validation rules on submission leading to warnings or failures. • Requires skills in data manipulation & an understanding of Microsoft Access to populate the database in the required manner. • Request the database from the Health and Social Care Information Centre Contact Centre at enquiries@ic.nhs.uk or via the BSP following registration.

14. The Intermediate database (IDB) • Support for all versions of Access since 2002. • Tables: Person, Referral, Appointment & Disability. • Required / mandatory / optional fields. • Linkage: • LPTID links tables • Service Request ID links referrals to activity (distinct from MHMDS) • Defined structure which cannot be changed – removal of tables / amending structure will lead to a rejection.

15. Content of the IDB • Inclusion rules: • Referrals either opened in the RP or already open at the start of the RP • Referrals closed before the RP with a follow-up appointment (type ‘06’) • Appointments linked to those referrals • Patients associated with those referrals • Disabilities associated with those patients • Referrals don’t necessarily have appointments & not all patients have disabilities. • For more details see ‘IAPT IDB data inclusion rules’ document available at www.ic.nhs.uk/iapt. RP = Reporting Period

17. Data collation & submission • Local data collection & validation (invest): • NHS management management • Postcode management • Mapping to secondary use standard • Data extraction from local system(s) for the required RP (month). • Import into the IDB in the required format. • Submit to the Bureau Service Portal (BSP). RP = Reporting Period

18. Data validation • Undertaken on each submission leading to either: • A failure message: indicating a significant issue(s) has been identified causing the file to be rejected. Issue needs to be rectified & the full data set resubmitted. • Warning messages: indicate issues have been identified that won’t stop the file processing. Where possible/necessary these issues should be rectified & the data set resubmitted. • More detail on the validations is available in the ‘Summary of validations undertaken upon receipt of data set by Bureau Service Portal’ document available at www.ic.nhs.uk/iapt.

19. Examplevalidations Warnings • NHS number status indicator code is null when a NHS number is provided. • General medical practice code is not a valid ODS code. Failures • Local patient ID is null in any of the 4 IDB tables. • Any date is not in a valid format. • NHS number fails Mod 11 check.

20. Datasummaryreportwarnings

21. Datasummaryreportdiagnostics

22. Datasubmissionscenarios • Only one single unique organisation (provider/site) code per IDB. • Each provider/site code used must be associated with its own BSP account. • Provider/site code & commissioner code are in the person & referral tables respectively. • Explanation in the User Guidance for making submissions in the case of 1/multiple providers & 1/multiple commissioners. Your choice.

23. Tim Holdsworth Information Products Testing Manager Known Issues

24. Examples • Importing local system data into the IDB via Microsoft Excel causes truncation of values – retain in CSV format. • Unhelpful warnings e.g. • Missing diagnosis when not yet assessed • Missing scores when haven’t yet attended an appointment • Several system specific issues (e.g. around NHS numbers & postcodes). • Consult our FAQ document available at: www.ic.nhs.uk/iapt

25. IDBsummary • Only method of submission. • Requires data manipulation/database skills. • Careful transfer of data from local systems – not via Excel. • Can submit data for more than one RP – inclusion rules will extract required information. • Warnings are meant to inform

26. Break 11.40 – 11.55

27. Sarah McDiarmid Senior Information Analyst Stages of Processing

28. Basicsubmissionprinciples(recap) • Monthly submissions of data via the BSP. • Submission types: • Primary (P): current RP & compulsory • Refresh (R): previous RP & optional (last chance) • Primary & Refresh (P & R): 2 files at once (can’t queue) • Not for Submission (NFS): testing purposes, user defined RP (not necessarily current or previous) • One Submission Period covers pre-deadline & post-deadline processing of submissions received during the current Submission Window. RP = Reporting Period

29. Pre-deadlineprocessing • Occurs while the Submission Window is still open & is applied to every IDB (including NFS) uploaded to the BSP. Includes: • On submission validation. • Extraction of data for the chosen upload type in accordance with submission requirements & data inclusion rules. • Derivation of additional data items e.g. age at start & end of the RP, PCT of GP practice & postcode district. • For every submission: a Data Summary Report containing warnings, validation failures, diagnostics & aggregate counts to help providers assess the quality of their submission. • For every successful submission: flattening/normalising of the IDB into 5 CSV files to produce a provider’s ‘pre-deadline (test) extract’.

30. Post-deadlineprocessing • Occurs after the Submission Window has closed - during the final week of the Submission Period. • Applied to only the ‘last good’ P & R (if submitted) IDBs that have passed validation by the submission deadline. NFS files are not post-deadline processed. • All data which meets the pre-deadline inclusion criteria will flow to post-deadline (unlike MHMDS). • At the end of post-deadline processing: • Providers can download their post-deadline (final) extracts • Commissioners & the HSCIC can download their extracts • Extracts contain post-deadline derivations e.g. IAPT record number & First/Last scores.

31. Outputsfrompost-deadlineprocessing • IAPT providers only receive data related to the patients they have treated. • IAPT commissioners only receive data related to the patients for whom they have commissioned a service. • The HSCIC receives data for all patients seen by all providers.

32. Provideroutputs from pre & postdeadlineprocessing • Data Summary Report - txt • Summary • Warnings • Validation failures • Diagnostics • Aggregate counts • Provider post-deadline • (final) extract - zip • Header csv • Patient csv • Referrals csv • Appointments csv • Disabilities csv Linked on LPTID & IAPT record no • IAPT IDB - mdb • Person table • Referral table • Appointment table • Disability table • (PbR table) Linked on LPTID Post-deadlineprocessing • Provider pre-deadline • (test) extract - zip • Header csv • Patient csv • Referrals csv • Appointments csv • Disabilities csv Linked on LPTID & IAPT record no Pre-deadline processing

33. Pre & post deadline derivations • Pre-deadline processing • Various derivations utilising data only present within the current submission & reference data e.g. age at referral received date. • Post-deadline processing • Various derivations utilising data from one or more submissions (across RPs) e.g. • GAD first and last scores. • IAPT person ID (used to track patients across providers & submissions). Not included in provider extracts as LPTID & Person ID cannot appear together.

35. Submission & processing timescales • Window opens on a Monday for 3-4 weeks. • Window closes on a Friday for a week of post-deadline processing. • Post-deadline extracts available the following Monday & the same day the new window opens.

36. Website: http://www.ic.nhs.uk/iapt Queries: enquiries@ic.nhs.ukPlease include IAPT in the subject line Call us: 0845 300 6016 Question and Answers

37. Lunch 13.00 – 13.45

38. Navin Bose and Matthew Parkinson Information Analyst & Higher Information Analyst Bureau Service Portal Demonstration

39. Navigation • Login screen • IAPT home page • Submission Period details • Days left until the submission deadline • IDB template • Upload screen • Submission history screen • Post-deadline extracts screen • Known issues with the screens

40. Homepage

41. Fixedperiodprocessing • Data is automatically processed for a fixed period of time e.g. an IDB submitted as a primary file in May will be processed as April data even if the data relates to another RP. • Submissions cannot be made for the current Submission Period after the submission window has closed. • 2 opportunities (months) to submit data for a RP – primary & refresh.

42. Uploadscreen - overview • Submit & assess the quality of your IDB. • Shows the status of all IDB files that have been uploaded in the current Submission Window. • All IDBs assigned unique BSP ID – 2 IDs are assigned for combined P & R files. • Can download the Data Summary Reports (as text files) for all submissions in the current Submission Period. • Can download pre-deadline (test) extracts for only for your latest good P and R submissions in the current Submission Period (replacement). • Empties when post-deadline processing is run.

43. Upload screen - process • Click on upload button from IAPT homepage to enter screen. • Select ‘submission upload type’ (primary, refresh, primary & refresh or NFS) & browse to select IDB to be uploaded. • Monitor progress of submission in the ‘processing status’ & ‘output status’ fields: • Processed & complete with warnings (check warnings in DS report) • Failed (view Validation Failures in DS report) • Failed & referred to support (review file & re-submit. If occurs again then contact helpdesk). • Email notification when the file has finished processing. If successful the submission will turn yellow indicating ‘last good (P or R) file’. • Download extract & view Data Summary Report to check quality/expectations, rectify any issues & re-submit if required.

44. Upload screen – upload type

45. Upload screen – NFS upload

46. Upload screen – select IDB

47. Upload screen - processing status

48. Upload screen – DS report

49. Upload screen – download extract

50. Upload screen – download extract