Problem Gambling Service DATA COLLECTION AND SUBMISSION MANUAL

Transcription

1 DATA COLLECTION AND SUBMISSION MANUAL Version 1.3 July 2008

2 Reproduction of Material The Ministry of Health permits the reproduction of material from this publication without prior notification, providing all the following conditions are met: the information must not be used for commercial gain, must not be distorted or changed, and the Ministry of Health must be acknowledged as the source. Disclaimer The Ministry of Health gives no indemnity as to the correctness of the information or data supplied. The Ministry of Health shall not be liable for any loss or damage arising directly or indirectly from the supply of this publication. All care has been taken in the preparation of this publication. The data presented was deemed to be accurate at the time of publication, but may be subject to change. Reporting Environments Reporting environments such as Business Objects and data extracts will not necessarily contain all data described in this document. Publications Any enquiries about or comments on this publication should be directed to: Manager, Problem Gambling Population Health Ministry of Health PO Box 5013, Wellington. Phone: (04) NZHIS publications are available from: New Zealand Health Information Service PO Box 5013 Wellington Phone: (04) Most NZHIS publications are also available from Published by the Ministry of Health, New Zealand 2008, Ministry of Health, New Zealand 11 August 2008 Version 1.3 Page 2 of 41

3 Table of Contents 1 Introduction Purpose Contents of this Document Intended Audience Related Documents Data Collection and Submission Process Process Overview and Timeframes Procedure for Providers that Submit CLIC Forms Procedure for Providers that Submit a Local CLIC Database Completing CLIC Forms CLIC Forms Completing CLIC Forms CLIC Form Scenarios CLIC Form Fields Client Form Client Multiple Sessions Form Group Therapy Session Form Batch Submission Form Data Quality Report Overview Continuous Quality Improvement Report Format Information, Error and Warning Messages Version History August 2008 Version 1.3 Page 3 of 41

4 1 Introduction 1.1 Purpose The purpose of this manual is to advise the Ministry of Health s contracted Problem Gambling Service providers on how they should collect and submit service utilisation data into the Client Information Collection CLIC database. In this manual the service utilisation data is referred to as the CLIC data. Note that this manual describes the minimum requirements, and that providers are expected to expand these processes to include their own administration and quality monitoring requirements. 1.2 Contents of this Document Section 1 provides an introduction to this manual and its context in the Problem Gambling Service. Section 2 describes the processes, timeframes and the procedure for collecting and submitting CLIC data. Section 3 describes how the CLIC Forms are used together to capture Clients CLIC data. Section 4 describes how to complete each field on the CLIC Forms and any special considerations. Section 5 introduces the Data Quality Report. This report is a tool to enable providers to continuously improve the quality of their data. Section 6 maintains a history of the changes to this manual Intended Audience This manual is intended for Problem Gambling Service Providers that are contracted by the Ministry of Health to collect and submit monitoring of service data into the CLIC system. 1.4 Related Documents This manual is to be used in conjunction with the following related documents: Data Management Manual, (Problem Gambling Service, Ministry of Health), Intervention Service Practice Requirements Handbook CLIC Database Manual, Paton-Simpson & Associates Limited, 11 August 2008 Version 1.3 Page 4 of 41

5 2 Data Collection and Submission Process This section describes the processes, timeframes and the procedure for collecting and submitting CLIC data. Note that these are generic processes and that most Providers will need to add their specific internal requirements to the process. 2.1 Process Overview and Timeframes On or before the 7 th of each month, all Problem Gambling Service Providers are to submit their CLIC data for the previous month. The CLIC data is submitted to Paton-Simpson Associates Limited (PSAL) who is contracted by the Ministry of Health to validate and collate the data into a Master CLIC Database. On the 24 th of the month, PSAL send a current CLIC Dataset to the Ministry of Health who then create the Problem Gambling Service monitoring reports. These timeframes apply to all Providers. However, the process varies depending on whether the Provider: a) Collects and submits their data on hardcopy CLIC Forms, or b) Has a Local CLIC Database and submits a copy of their CLIC database. These two processes are presented below. 2.2 Procedure for Providers that Submit CLIC Forms The process for Providers that submit CLIC Forms is: 1. Providers collect Client data on CLIC Forms throughout the month. 2. Providers collate all their CLIC Forms for the month and create a batch of CLIC Forms to be submitted. 3. At the end of the month, the Provider coordinator prepares the Batch Submission Form, photocopies all CLIC Forms in the batch and submits the batch to PSAL, on or before the 7 th of the following month. Providers are to dispatch the forms so that they are received by PSAL on or before the 8 th of the following month. Note that a Batch Submission Form is to be sent each month even if there are no CLIC Forms to be sent. This is a nil return. 4. PSAL receive CLIC Forms and enter them into the CLIC System, on or before the 22 nd of the following month. 5. PSAL generate a Data Quality Report for the Provider s batch, completes the information and s it to the Provider and to the Ministry of Health. Provider are to action errors identified. 11 August 2008 Version 1.3 Page 5 of 41

6 6. PSAL close-off the Master CLIC database and a CLIC Dataset to the Ministry of Health Data Analyst, on or before the 24 th of the following month. 7. The Ministry of Health Data Analyst receives the CLIC Dataset and produces the MOH Reports, on or before the 30 th of the following month. This process is presented in Figure 1 below. Figure 1: Process for Providers that Submit CLIC Forms Provider 1st Month 31st On or before 7 th Submit Batch CLIC Forms Data Quality Report PSAL 8 th 22 nd 24 th Enter Forms and distribute Quality Reports Consolidate CLIC Database CLIC Ministry 25 th 30 th Data Quality Report CLIC MOH Reports MOH produce reports by 30 th Detailed Procedure for Providers that Submit CLIC Forms The detailed procedure and business rules associated with this process are: 1. Providers collect Client data on CLIC Forms throughout the month. a) Providers collect Client data on the CLIC Forms throughout the month. The CLIC Forms should normally be completed at the end of each Client session. This is the preferred time as the Client is likely to still be available and can clarify any information. The Provider staff could alternatively complete the CLIC Forms at the end of the day, or possibly at the end of each week. However, it is preferred that the CLIC Forms are not completed at the end of the month as it will often be too late to clarify any information with a Client and could also delay the collation and submission of the CLIC Forms. Instructions on how to complete the CLIC Forms are provided in Section 3 and Section Providers collate all their CLIC Forms for the month and create a batch of CLIC Forms to be submitted. a) On the last working day of the month, Provider staff gather all CLIC Forms containing data for sessions completed between the 1st and 11 August 2008 Version 1.3 Page 6 of 41

7 31st of that month. Also include any CLIC Forms from previous months that have not yet been submitted. For each CLIC Form, strikeout any sections that are not required. If a Client is to receive more sessions in the following month then the Provider commences a new CLIC Form at the time of that next session. b) Check that the CLIC Forms have been completed correctly. Every completed CLIC Form must have: A valid Client ID and correct Form Sequence Number for Client recorded at the top of the form. Each Section of each completed CLIC Form to be either struckout, or to have a valid value for each field. The only optional field is the Additional column for the Problem Gambling Mode in the Episode Start section of the Client Form. A full checklist is provided on the bottom of the Batch Submission Form. c) Provider staff at branches or subcontracted Providers are then to: Sort the CLIC Forms into Client ID / Form Sequence Number for Client order. Group Session Forms should be sorted by the Group Session ID and placed at the end of the batch. Photocopy their completed CLIC Forms. Send the copy to the person that coordinates the submission of the Provider CLIC Forms. 3. At the end of the month, the Provider coordinator prepares the Batch Submission Form, photocopies all CLIC Forms in the batch and submits the batch to PSAL, on or before the 7 th of the following month. Providers are to dispatch the forms so that they are received by PSAL on or before the 8 th of the following month, 4. Note that a Batch Submission Form should be submitted each month even if there are no CLIC Forms to submit. This is a nil return and advises PSAL and the Ministry of Health that the Provider s data submission has been completed for that month. This is a most unusual situation and would only occur if the Provider had not delivered any sessions that month. a) Provider coordinator checks all CLIC Forms are complete and have been received from all Provider staff and sub-contracted Providers. b) Provider coordinator prepares a Batch Submission Form for that month by selecting a new Batch Submission Form and entering the Batch Submission ID for that month in the top right of the form. The Batch Submission Form is shown in Figure 2 below. The Batch Submission ID is in the format: 11 August 2008 Version 1.3 Page 7 of 41

8 pp yy mm, where: pp is the Provider identifier yy mm is the year and month of the month s data being submitted. e,g, AB 0706 on the following form. Figure 2: Batch Submission Form Provider coordinator then: Writes the Batch Submission ID on each CLIC Form in the top right corner. Counts the number of each type of CLIC Form and writes this and the Batch Submission Date on the Batch Submission Form. Places the Batch Submission Form at the front of the batch. 11 August 2008 Version 1.3 Page 8 of 41

9 Photocopies the batch to create a copy of the CLIC Forms that are going to be submitted. Couriers the batch of CLIC Forms to PSAL to be received no later than 7 th every month. 5. PSAL receive CLIC Forms and enter them into the CLIC System, on or before the 22 nd. every month. a) PSAL receive the batch of CLIC Forms from the Provider and record the date received on the Batch Header Form. All Batches from Providers should be received by PSAL by the 7 th. Provider batches received after the 7 th will still be entered by PSAL if there is time available, but: Batches of CLIC Forms and Local CLIC Database files received from other Providers before the 7 th will be given priority, and The Provider s batch of CLIC Forms will be reported as late. If there are data errors in a batch of forms then: PSAL will attempt to resolve minor errors in CLIC Forms via s and phone calls with Provider staff. If an issue cannot be resolved then PSAL and the Provider coordinator will decide the appropriate action. If a batch of CLIC Forms has a significant number of major data issues, PSAL may return the batch to the Provider for correction and resubmission with the following month s data. PSAL will notify the Provider Manager and the Ministry of Health before taking this action. 6. PSAL generate a Data Quality Report for the Providers batch, completes the information and s it to the Provider and to the Ministry of Health. a) After a Provider s CLIC Forms have been successfully entered, and by the 22 nd of the month, PSAL will generate a Data Quality Report for the Provider. The Data Quality Report is an Excel spreadsheet that contains: The number of CLIC Forms sent by the Provider and received by PSAL The IDs of any CLIC Forms in the batch that could not be entered and the reason why. A CLIC generated table of the information, error and warning messages. The format and use of the Data Quality Report is described in detail in Section 5. b) PSAL complete the number of CLIC Forms sent and received, and the IDs of CLIC Forms not able to be entered. c) PSAL then s the completed Data Quality Report to the Provider coordinator and the Ministry of Health Data Analyst. 11 August 2008 Version 1.3 Page 9 of 41

10 7. PSAL close-off the Master CLIC Database (NZ Latest version) and a CLIC Dataset to the Ministry of Health Data Analyst, on or before the 24 th of the month. a) PSAL close-off the Master CLIC Database (NZ Latest version) and a CLIC Dataset to the Ministry of Health Data Analyst, on or before the 24th of the month. The close-off is the point where the CLIC Dataset is ed to the Ministry of Health for reporting. Data will continue to be added into the Master CLIC Database after this time, but it will not be included in that month s Ministry of Health reports. b) PSAL also attach with the CLIC Dataset a brief report that identifies the Providers that were late submitting data and the amount of any known Provider data that was not able to be entered into the Master CLIC Database before the close-off on the 22nd. 8. The Ministry of Health Data Analyst receives the CLIC Dataset and produces the MOH Reports, on or before the 30 th of the month. a) The Ministry of Health Data Analyst receives the CLIC Dataset and produces the MOH Reports, on or before the 30 th of the month. This process is documented in the Ministry of Health s internal MOH Reports Guide. 11 August 2008 Version 1.3 Page 10 of 41

11 2.3 Procedure for Providers that Submit a Local CLIC Database The process for Providers that submit a Local CLIC Database is: 1. Providers collect Client data on their forms and their internal information system throughout the month and also enter CLIC data into their Local CLIC Database. 2. At the end of the month, the Provider coordinator checks that all CLIC data has been entered into the Local CLIC Database, generates a Data Quality Report and resolves any errors or warnings. 3. Provider coordinator s the Local CLIC Database to PSAL, on or before the 7 th of the following month. Providers are to dispatch the Local CLIC Database so that they are received by PSAL on or before the 7 th of the month. 4. PSAL receive the Local CLIC Database and merge the information into the Master CLIC Database, on or before the 22 nd of the month. 5. PSAL generate a Data Quality Report for each Provider and it to the Provider and to the Ministry of Health. 6. PSAL close-off the Master CLIC database and a CLIC Dataset to the Ministry of Health Data Analyst, on or before the 24 th of the month. 7. The Ministry of Health Data Analyst receives the CLIC Dataset and produces the MOH Reports, on or before the 30 th of the month. The process is presented in Figure 3 below. Figure 3: Process for Providers that Submit a Local CLIC Database Provider 1st Month 31st On or before 7 th Data Quality Report CLIC Run Data Quality Report Submit Local CLIC Database Data Quality Report PSAL 8 th 22 nd 24 th Enter Forms and distribute Quality Reports Consolidate CLIC Database CLIC Ministry 25 th 30 th Data Quality Report CLIC MOH Reports MOH produce reports by 30 th 11 August 2008 Version 1.3 Page 11 of 41

12 Detailed Procedure for Providers that Submit a Local CLIC Database The detailed procedure and business rules associated with this process are: 1. Providers collect Client data on their forms and their internal information system throughout the month and also enter CLIC data into their Local CLIC Database. a) Providers collect Client data on their forms and internal information systems. b) A Provider coordinator obtains the required CLIC data from these forms and systems and enters it into their Local CLIC Database. The instructions for entering data into and managing the CLIC Database are provided on the PSAL website 2. At the end of the month, the Provider coordinator checks that all CLIC data has been entered into the Local CLIC Database, generates a Data Quality Report and attempts to resolve any data errors or warnings. a) On the last working day of the month, the Provider coordinator checks that all CLIC data has been entered into the Local CLIC Database. Note that all CLIC data (Registration, Episode, Session and Group Session data) for sessions completed between the 1st and 31st of that month is to be entered into the Local CLIC Database by the end of the month. b) Provider coordinator then generates a Data Quality Report using the Local CLIC Database. c) Provider coordinator reviews the Data Quality Report and attempts to resolve any errors and warnings. Changes to resolve error and warnings should be recorded on the Providers forms, systems and in the Local CLIC Database before it is submitted to PSAL. 3. Provider coordinator s the Local CLIC Database to PSAL, on or before the 7 th of the month. a) Provider coordinator exports the Local CLIC Database data into a file which does not contain any Client identifiable information. b) Provider coordinator zips and password-protects the exported file and s it to PSAL on or before the 7th of the month. 4. PSAL receive the Local CLIC Database and merge the information into the Master CLIC Database, on or before the 22 nd of the month. a) PSAL receive the Local CLIC Database file. Local CLIC Database files received by PSAL after the7 th of the month will still be entered by PSAL if there is time available, but: Batches of CLIC Forms and Local CLIC Database files received from other Providers on or before the 7 th will be given priority, and The Provider s Local CLIC Database file will be reported as late. 11 August 2008 Version 1.3 Page 12 of 41

13 b) PSAL merge the Local CLIC Database files into the Master CLIC Database (NZ Latest version). This is also known as the combined harvester process. 5. PSAL generate a Data Quality Report for each Provider and it to the Provider and to the Ministry of Health. a) After a Provider s Local CLIC Database files have been merged into the Master CLIC Database, PSAL will generate a Data Quality Report. Note that although the Provider will have previously produced and reviewed the Data Quality Report, this Data Quality Report will enable PSAL and the Ministry of Health to maintain data quality records for all Providers. The Data Quality Report is an Excel spreadsheet that contains: The number of CLIC Forms sent by the Provider and received by PSAL. (Note that this is not completed for Providers that submit a Local CLIC Database.) The IDs of any CLIC Forms in the batch that could not be entered and the reason why. (Note that this is not completed for Providers that submit a Local CLIC Database.) A CLIC generated table of the information items, data error and warning messages. The format and use of the Data Quality Report is described in detail in Section 5. b) PSAL then the Data Quality Report to the Provider coordinator and the Ministry of Health Data Analyst. 6. PSAL close-off the Master CLIC database and a CLIC Dataset to the Ministry of Health Data Analyst, on or before the 24 th of the month. a) PSAL close-off the Master CLIC Database (NZ Latest version) and a CLIC Dataset to the Ministry of Health Data Analyst, on or before the 24 th of the month. The close-off is the point where the CLIC Dataset is copied and ed to the Ministry of Health for reporting. Data will continue to be added into the Master CLIC Database after this time, but it will not be included in that month s Ministry of Health reports. b) PSAL also attach with the CLIC Dataset a brief report that identifies the Providers that were late submitting data and the amount of any known Provider data that was not able to be entered into the CLIC Database before the close-off on the 22nd. 7. The Ministry of Health Data Analyst receives the CLIC Dataset and produces the MOH Reports, on or before the 30 th of the month. a) The Ministry of Health Data Analyst receives the CLIC Dataset and produces the MOH Reports, on or before the 30 th of the month. This process is documented in the Ministry of Health s internal MOH Reports Guide. 11 August 2008 Version 1.3 Page 13 of 41

14 3 Completing CLIC Forms This section provides an overview of how CLIC Forms are used together to collect Client information. Instructions on how to complete the fields on the CLIC Forms are provided in Section CLIC Forms There are now 4 CLIC Forms. These forms are: CLIC Form Client Form Client Multiple Session Form Usage Use for all new Clients (registration and episode start sections) Use the Episode start section to start all new episodes (including existing Clients who are starting a new episode) This form is used to record all session details (brief, full intervention, facilitation, or follow-up). Use to close an episode when it has finished Group Therapy Session Form Batch Submission Form Used to record a group therapy session detail and the Client IDs of those Clients attending the group therapy session. There is only one Group Therapy Session Form per group therapy session. Used by the Provider coordinator once each month to summarise the number of CLIC Forms being submitted. 11 August 2008 Version 1.3 Page 14 of 41

15 3.2 Completing CLIC Forms The CLIC Forms are intended to be used together as follows. Key processes for recording client and service data are listed below. 1. Client s Registration is Recorded on a Client Form When a Client has their first session with a Provider, the Provider commences a Client Form and completes the Registration Section and the, Episode Start Section. If the Client has already been registered with the Provider then the registration details are not required and the Registration section is to be struck-out. 2. Every Client Episode Starts with a Client Form As every Client s new episode requires Episode Start details to be collected, a new episode will always start on a new Client Form. 3. Episode types are: Brief Episode Full Episode Follow-up Episode 4. The Client Multiple Session Form allows for up to two sessions to be recorded. All sessions in an Episode are recorded on a Client Multiple Session Form. If more than two sessions are delivered in either the Brief or Full Episode, additional Client Multiple Session Forms are to be used. 5. Recording Episode End Following the last session in an Episode, the Episode End Section on the Client Multiple Session Form must be completed. This is a requirement before a new Episode is commenced. 6. The Client Information is recorded in Sequence with unused sections of the forms being struck-out. All Client information is recorded in sequence. On a providers client file, all CLIC forms are given a form sequence number with unused sections of the forms being struck out. When a Provider starts a new Client Multiple Session Form, the unused Episode End section on the previous form is to be struckout. When an episode ends on a Client Multiple Sessions Form, any unused Session Detail sections are struck-out and the Episode End section is completed. At the end of a month, all CLIC Forms are completed by strikingout any unused sections. This is done so that all CLIC Forms can be submitted. When client s receive their next session in the following month, the Provider commences a new form. 11 August 2008 Version 1.3 Page 15 of 41

16 7. A Group Therapy Session Form is completed for Each Group Therapy session. A new Group Therapy Session From is completed for each group therapy session. The Group Therapy Session Form records the group therapy session details and the Client IDs of the Clients that attended the session. 11 August 2008 Version 1.3 Page 16 of 41

17 3.3 CLIC Form Scenarios The following scenarios illustrate when the various CLIC Forms should be used and when the sections on the forms should be completed or struck-out. 1. A One-Session Brief Episode Scenario: A new Client receives a simple one-session Brief intervention. Note: All information for the Brief Episode is recorded on two forms (the Client Form and the Client Multiple Sessions Form). As this is a new Client, the Registration section has been completed. As this is a new Client, this is the first form for the Client and the Form Sequence Number for the Client is 001. Usually, as the Client is only registered once, the Registration section will normally only be completed on the 001 form. Episode start is completed including Episode type, Start date referral source, Problem Gambling Mode. The Session details are recorded on the Client Multiple Session Form and the form sequence number for the Client Multiple Session Form is 002 If the Episode is concluded in one session then the unused session details on the Client Multiple Session Form should be struck out and the Episode End box completed. 11 August 2008 Version 1.3 Page 17 of 41

18 2. Three Full Intervention Episode Sessions Scenario: An existing Client receives three Full Intervention Episode sessions and is then discharged. Note: As this is for an existing Client the registration information is not required and therefore the Registration section has been struckout. As three Session sections are required, two Client Multiple Sessions Forms must be used to record the three Sessions. The fourth session section has been struck out. The Client ID and Form Sequence Number for the Client (002 and 003 in the forms above) enable the forms to be kept in sequence and to be uniquely identifiable. The Episode End Section on Form 002 has been struck out as the second session was not the final session in the Episode The Episode End Section on the second multiple sessions form is completed as the Client is being discharged. 11 August 2008 Version 1.3 Page 18 of 41

19 3. Two Full Intervention Episode Sessions and a Group Session Scenario: An existing Client receives two Full Intervention Episode sessions, a group therapy session and is then discharged. This scenario is a variation on the previous scenario. In this scenario the second session is a group therapy session and therefore the session is recorded on a Group Therapy Session Form. Note: The Form Sequence Number for the Client continues to be incremented for each consecutive Client Form or Client Multiple Session Form. The Group Session Form is uniquely identified by the Group Session ID. This ID is comprised of the Provider ID, Location ID and date of the group therapy session. Providers might elect to file a copy of the Group Therapy Session Form in each Client s file to maintain a full record of all Client sessions. 11 August 2008 Version 1.3 Page 19 of 41

20 4 One Full Intervention Episode Session in One Month and Another Session in the Following Month Scenario: An existing Client with an open Full Intervention Episode receives one session that month, and receives another session the following month and is then discharged after that session. On the last day of the month, all open forms need to be completed so that the monthly data can be submitted. This will mean that any unused session sections should be struck out if they are not applicable. In this example Client ABXY will have one session section and the episode end section struck out, because the episode is NOT closed and further sessions, within this Full Intervention Episode, will continue in the next month. In the next month, when further information needs to be recorded, a new Client Multiple Session form (with the next Form Sequence Number for the Client ) will need to be started. Note: At the end of Month 1, the Client Multiple Sessions Form has all unused sections struck-out so that the form can be submitted (See form ABXY above). In Month 2, when the Client receives their next session, a new Client Multiple Sessions Form is created with the next Form Sequence Number for Client, which is 012 in the above example. As the session in Month 2 is the Client s last session for this episode, the other one Session section that is unused is struck-out and the Episode End section is completed. 11 August 2008 Version 1.3 Page 20 of 41

21 5. Sessions with Multiple Clients Scenario: An existing long-term Client (Client A) and a new Client (Client B) who has a relationship to Client A, attend the same session. Client A s session is recorded on a Client Multiple Session Form as their episode is already open. The Form Sequence Number for Client is the same as his previous sessions, but the sequence will be incremented by 1. In Client A s Session Details Other Client IDs Attending box, Client B is recorded as Client B attended Client A s session. Client B s Registration is recorded on a Client Form as they are new and this is the start of an episode for this new Client B. The Form Sequence Number for Client for this Client is -001 as it is the Client s first visit. A new Client Multiple Session Form is started for Client B to record the client s first session. This form will be sequenced 002. In Client B s Session Details Other Client IDs Attending box, Client A is recorded as Client A attended Client B s session. Note: If more Clients attended the same session, then each Client s session details would have the other Client ID s recorded in the Other Client IDs Attending box. For example, if a Client C and Client D also attended the session then: o Client A would have Client B, Client C and Client D recorded. o Client B would have Client A, Client C and Client D recorded. o Client C would have Client A, Client B and Client D recorded. o Client D would have Client A, Client B and Client C recorded. If a a comprehensive assessment was completed for a Client during the session, then the assessment screen score would be recorded in that Client s Session Details section. 11 August 2008 Version 1.3 Page 21 of 41

22 4 CLIC Form Fields The CLIC Forms contain fields for recording CLIC data. This section provides an overview on how to complete each of the fields on the CLIC Forms. Further information on each field can be found in the data dictionary in the Problem Gambling Service, Data Management Manual. 4.1 Client Form The Client Form is used to record the start of all new episodes and the registration of a new client. Episode types can be : Brief Full Intervention (includes Facilitation sessions) Follow-Up If the Client is new to the Provider, then the Client Form is used to record the Client s Registration details. The Episode End details are now recorded on a separate form the Client Multiple Session form. 11 August 2008 Version 1.3 Page 22 of 41

23 4.1.1 Client ID and Team Field Client ID Description The Client ID uniquely identifies a Client to a Provider. A Client only has one Client ID with a Provider and it does not change. If a Client moves to a different Provider and consents to the new Provider having a copy of their records from the previous Provider, then the Client ID and Client file can be transferred to the new Provider. If the Client does not consent, then the Client is allocated a new Client ID by the new Provider. The Client ID field is in the format: Client ID Agency Code Location Code Client Number The Agency Code and Location Codes are assigned to each Provider by PSAL. The Client Number is allocated by the Provider. Form Sequence Number for Client This is a three digit number that starts at 001 for each Client and is incremented for each new Client Form or Client Multiple Session Form required by the Client. Allocate the Form Sequence Number for Client by looking in the Client s file, identifying the most recent Form Sequence Number for Client number and then incrementing that by one. This field, used with the Client ID, provides a unique identifier for the Client Form and Client Multiple Session Form. Team This is the name of the Provider s Team that is managing the Client s support Registration Section Field Date of Birth Gender Description The Date of Birth of the Client. If the Client does not provide a Date of Birth, then the Provider should ask for a Year of Birth. The gender of the Client as either Male, or Female. 11 August 2008 Version 1.3 Page 23 of 41

24 Suburb, City, Local Authority Ethnicity The Suburb and City fields are the location where the Client normally lives. Record where the Client normally lives and ensure that it is not the address where they are staying temporarily. Note that nothing should be recorded that could enable the Client to be identified. The Suburb and City are used to determine the Local Authority. This is also often referred to as the Territorial Local Authority (TLA). The Local Authority can be identified by looking up the City and Suburb in the Local Authority list provided in the Data Management Manual. The ethnicities to which the Client identifies. The Ethnicity field is aligned to the NZHIS / Statistics NZ standard. All ethnicity(s) stated by the Client are recorded on the form. The person entering the forms into CLIC will group each ethnicity to Level 2 and enter this high-level ethnicity into CLIC Episode Start Section Field Description Episode Type The Episode Type is either a: Brief Episode requires Client to be screened, engaged in at least a 15 minute contact (phone or face to face), provided education and next steps discussed Full Intervention Episode requires a face-to-face Comprehensive Assessment to be completed during the episode Follow-up Episode requires outcomes to be discussed and documented at nominated intervals Episode Start Date Usually the date of the first session in the episode. Client Type Problem Gambling Mode Specify if the Client is a Gambler, Affected Family Member, or Affected Other Person. If the Client is a Gambler and also an Affected Family Member, or Affected Other Person, then specify Gambler. If the Client is an Affected Family Member and an Affected Other Person, then specify Affected Family Member. The Problem Gambling Modes are the types of gambling activities/venues causing the Client harm. For Affected Family Member or Affected Other Person, this field is to specify the Problem Gambling Modes of the Gambler. When a Client (Gambler or Significant Other) is starting a new treatment episode, the Counsellor must ask the Client to identify the gambling activities/venues (Problem Gambling 11 August 2008 Version 1.3 Page 24 of 41

25 Modes) that are causing the Client significant harm (e.g. Out of Control gambling, excessive money lost or time spent) and record these as Primary Problem Gambling Modes. At least one Primary Problem Gambling Mode must be recorded. A maximum of five Primary Problem Gambling Modes are permitted. The Counsellor must also ask the Client to identify any other gambling activities/venues used that are not causing significant harm. These gambling activities/venues are to be recorded as Additional Problem Gambling Modes. A maximum of five Additional Problem Gambling Modes are permitted. Club Gaming Machine and Pubs Gaming Machines While it is reasonably easy to distinguish between most Problem Gambling Modes, it can be difficult to determine if a gaming machine venue is a Club or a Pub. A Club is defined as a venue where a person usually has to be a member to enter in order to drink, eat or participate in activities. The Counsellor must determine if the venue is a Club or a Pub. If a Client is unable to provide sufficient information for the Counsellor to identify the venue as a Club or a Pub then the Counsellor will have to make the determination using their knowledge of the Gambler or Significant Other and the gambling venues in the area. Questions that might assist in identifying the venue as a Club include: 1. What is the name of the venue where the pokies are played? The name of the venue might give an indication as to whether or not the venue is a Club. There are three main types of Clubs: Chartered Clubs, which include Cosmopolitan Clubs Workingmen s Clubs Sports Clubs, which include rugby clubs and racing clubs Returned Services Associations (RSAs) 2. Do people usually have to be a member to go into the venue to drink, eat, or participate in activities? If the answer is yes then the venue is a Club. If not, then the venue is most likely a Pub. Referral Source Specify the Referral Sources that resulted in the Client contacting the Provider. 11 August 2008 Version 1.3 Page 25 of 41

26 4.1.4 Session Details Section Field Session Date Duration Setting Comprehensive Assessment Completed This Session Session Medium Session Activity Description The date on which the session was delivered. The duration of the session in hours and quarter hours. The location where the session is delivered. Yes or No. A Comprehensive Assessment is the identification of problem gambling and all other issues, completion of screen scores, followed by the development of an appropriate treatment plan with goals set and possible referral to other services Specify how the session was provided: Phone, or Face-to-face Specify what was provided in the session: Assessment (If an assessment test was completed or an assessment interview undertaken.) Counselling only, or Facilitation Session Attendees Specify who attended the session: Individual Couple, or Family, Whanau or Others with a relationship with the Client A person is considered to be attending whether or not they are a registered Client. Note that Group is a valid Session Attendees option, but is not included on the Client Form. Group is used for Group Therapy sessions and these sessions are all recorded on the Group Therapy Session Form. When the PSAL Data Entry person enters Group Therapy sessions, the Session Attendees field is entered as Group. Other Client IDs Attending Enter the Client IDs of other Clients with an open episode attending this session. This field enables the PSAL data entry person to link all Clients to a session that they all attended. For each Other Client ID Attending Client recorded, there should be a Client Form or Client Multiple Session Form for that Client with the same session recorded and this Client specified in the Other Client IDs Attending field. 11 August 2008 Version 1.3 Page 26 of 41

27 Assessments Completed This Session Record the score of each assessment test undertaken during this session. (for Screen details see the Intervention Service Practice Requirements Handbook (PRM)) Following are the list Screens: Brief Gambler Screen (section of PRM) Brief Family/Other-Awareness (section of PRM) Brief Family/ Other-Effect (section of PRM) Gambler: Harm (Section of PRM) Gambler: Outcome-Control (Section of PRM) Gambler: Outcome Dollars Lost (Section of PRM) Gambler: Outcome-Household Income (Section of PRM Family/Other: Harm Awareness (Section of PRM) Family/Other: Harm Effect (Section of PRM) Family/Other: Outcome-Gambling Frequency (Section of PRM) Family/Other: Outcome-Coping (Section of PRM) Coexisting Alcohol (Section of PRM) Coexisting-Drug Use (Section of PRM) Coexisting-Depression (Section of PRM) Coexisting-Suicidality (Section of PRM) Coexisting-Family/Other Concern (Section of PRM) Episode End Section Field Episode End Date Discharge Code Description Usually the date of the last session in the episode. Specify the status of the Client s treatment at the end of the episode: Treatment completed Client completes episode as planned. Treatment partially completed Client has advised that they no longer wish to see the Provider and the Counsellor considers that the Client should have continued this episode. Client transferred to other Agency (Provider) Administrative Treatment Status Unknown. Used where the episode is open and there has been no contact with a Client for a long period. 11 August 2008 Version 1.3 Page 27 of 41

28 4.2 Client Multiple Sessions Form The Client Multiple Session Form contains two Session Details sections and an Episode End section. For instructions on how to complete these sections, please refer to the instructions above in Section and Further advice on Scoring Screens and Client Assessment is provided in the Intervention Service Practice Requirements Handbook. 11 August 2008 Version 1.3 Page 28 of 41

29 4.3 Group Therapy Session Form 11 August 2008 Version 1.3 Page 29 of 41

30 Field Group Session ID Description The Group Session ID uniquely identifies a Group Therapy Session. It is used to uniquely identify each Group Therapy Session Form. This field is not entered into CLIC. The Group Session ID field is in the format: Group Session ID Agency Code Location Code y y m m d d Group Session Date The Agency Code and Location Codes are assigned to each Provider by PSAL. The Group Session Date is the date that the session is delivered. Team Session Date Duration Setting Counsellor(s) Name This is the name of the Provider s Team that is managing the delivery of the group therapy session. The date on which the group therapy session was delivered. The duration of the group therapy session in hours and quarter hours. The location where the group therapy session was delivered. To record the names of the counsellors who provided the session. It enables more than one counsellor name to be recorded where there is more then one person running the Group Session. Client IDs The Client IDs of the Clients that attended the group therapy session. 11 August 2008 Version 1.3 Page 30 of 41

31 4.4 Batch Submission Form Batch Submission Form Problem Gambling Service Office Use Only Batch Submission ID Agency Code (Provider) y y m m Month being Submitted The Batch Submission Form is completed by the Provider and is sent to PSAL with that month s batch of CLIC Forms. PSAL use the Batch Submission Form to check that all forms sent by the Provider have been received and entered. Batch Submission Date Date the Provider dispatched the Forms / / day month year Forms Client Forms Client Multiple Sessions Forms Group Therapy Session Forms Number Submitted Checklist for CLIC Forms Client Form / Client Multiple Session Form 1 A valid Client ID and correct Form Sequence Number for Client recorded at the top of the form. 2 Each Section of each completed form to be either completed in full, or struck-out. 3 Registration Section All fields are required. If Client declines to specify Ethnicity, then record Not Stated. 4 Episode Start Section All fields are required except the Additional column for Problem Gambling Mode. If Referral Source is unknown, then tick unknown. 5 Session Details Section The following fields must always be completed: Session Date, Duration, Setting, Comprehensive Assessment Completed in this Session?, Session Medium, Session Activity and Session Attendees. If the Session Attendees is Couple or Family, Whanau or Others with a relationship to the Client then any other attendees who are registered Clients with an open episode, must have their Client ID recorded in the Other Client IDs Attending field. If an assessment in Assessments Completed this Session is ticked, then a Score must be recorded. 6 Episode End Section All fields are required. Group Therapy Session Form 7 The Group Session ID to be recorded at the top of the form. Note that this field is for identifying the form and is not entered into CLIC. 8 All fields are required. Note that Group Therapy sessions are recorded in CLIC as: Session Medium as Face-to-face, Session Activity as Counselling only and Session Attendees as Group. The Batch Submission Form is only used by the Provider coordinators when submitting a batch of CLIC Forms to PSAL. A Batch Submission Form should be submitted each month even if there are no CLIC Forms to submit. This is a nill return and advises PSAL and the Ministry of Health that the Provider s data submission has been completed for that month. Note that this is a most unusual situation and would only occur if the Provider had not delivered any sessions that month. The Provider coordinator uses this form to record the number of each type of CLIC Form that is being submitted to PSAL. This batch form is attached to the front of the batch of CLIC Forms so that PSAL can check the number of forms that are received. 11 August 2008 Version 1.3 Page 31 of 41

32 Field Batch Submission ID Batch Submission Date Description The Batch Submission ID identifies each batch of CLIC Forms being submitted. The Batch Submission ID is also written on each form in the batch so that the Provider and PSAL can easily identify the batch in which the form was submitted. The Batch Submission ID is in the format: pp yy mm, where:. pp is the Provider identifier yy mm is the year and month of the month s data being submitted. e,g, AB The date the batch of CLIC Forms physically left the Providers offices. Forms Number Submitted The number of each type of CLIC Form submitted by the Provider: Client Form Client Multiple Sessions Form Group Therapy Session Form 11 August 2008 Version 1.3 Page 32 of 41

33 5 Data Quality Report 5.1 Overview The Data Quality Report is a tool to support Providers data quality improvement processes. For Providers submitting CLIC Forms, the Data Quality Report is produced by PSAL and ed back to a Provider each month after they enter their monthly CLIC Forms. For providers submitting a Local CLIC database, the Providers are to produce the Data Quality Report themselves after they have entered their data for the month. They should also take any corrective action before submitting their Local CLIC Database to PSAL. The Data Quality Report aims to answer the following questions: Have all the Provider s CLIC Forms been received by PSAL? Can all the CLIC Forms received be entered into CLIC? How many episodes and sessions have been entered this month? In analysing the data entered, what data quality alarms, errors and warnings need to be investigated by the Provider? Note that the first two points are not relevant to Providers that submit a Local CLIC Database as they do not submit CLIC Forms to PSAL. 5.2 Continuous Quality Improvement The Data Quality Report is provided in an Excel format so that Providers can use it to record notes and resolutions when investigating data errors and warnings. For all data quality issues, providers should record the outcome of their investigations and corrective actions on the Data Quality Report and retain this in a Data Quality File. Every three months, providers are to review their Data Quality File to identify common issues and develop process improvements that will prevent these issues from occurring in the future. This will improve the quality of data over time and contribute to each Providers on-going quality improvement activities. The Data Quality File and output from data improvement processes will be a valuable record for future audits. 5.3 Report Format The Data Quality Report is produced as an Excel workbook with three worksheets. 1. Forms Sheet a) Forms Received This section compares the number of CLIC Forms that the Provider said they sent against the number that PSAL received. 11 August 2008 Version 1.3 Page 33 of 41

34 The Batch Submission ID on this Forms sheet, is the Provider number recorded by the Provider on the Batch Submission Form. If the number of CLIC Forms is different to the number specified by the Provider, then PSAL will also note any known details that might assist the Provider to investigate the issue. The Provider is to investigate and resolve any issues identified. b) Forms Not Able to Be Entered This section lists any CLIC Forms that cannot be entered due to essential information not being provided e.g. The Provider providing session information on a Client Multiple Session Form without any pre-requisite registration or episode information. Note that PSAL will attempt to contact the Provider staff to resolve any data issues so that all data is entered each month. However, this is dependent on the number of errors in the Providers data and the PSAL data-entry person s time available to resolve errors. Any data errors in this section that are outstanding need to be investigated and resolved by the Provider as soon as possible. Any additional CLIC Forms to be entered must be submitted no later than with the next month s submission. An example of the Forms sheet is presented in Figure 4 below: Figure 4: Entry Issues Sheet CLIC Data Quality Report - Forms Provider: A Provider Batch Submission ID: AA0707 Forms Received CLIC Form Specified by Provider Received by PSAL Notes Client Forms 6 6 Client Multiple Session Forms Group Session Forms 8 8 Forms Not Able to be Entered Form 'Client ID and Form Sequence Number' Requirement Not Met and Action to be Taken AALL Episode section required but not completed by provider. Provider to resend form in next monthly batch submission. 11 August 2008 Version 1.3 Page 34 of 41

35 2. Summary Sheet and Detail Sheet The Summary sheet and Detail sheet analyse the data that has been entered and produce information, error and warning messages. The report analyses data entered for the previous three months so that Providers can track progress in resolving issues. The Summary sheet presents the information messages and the number of error and warning messages for each month. The Detail sheet presents the same data as the Summary sheet, but reports each entry by Client ID and Session Date. This is to enable Providers to identify The individual data item and the cause of it s error or warning message for correction where necessary. Every three months, Providers, the Ministry of Health and PSAL will review issues and may identify new data quality tests to be added to this report. An example of the Summary sheet is presented in Figure 5 below: 11 August 2008 Version 1.3 Page 35 of 41