441—25.41 (331) Minimum data set. Each county shall maintain data on all clients served through the MH/DD services fund.
	 25.41(1) Submission of data. Each county shall submit to DHS a copy of the data regarding each individual that the county serves through the central point of coordination process.
	  a.   	 DHS state payment program, state supplementary assistance program, mental health institutes, state resource centers, Medicaid program, and Medicaid managed care contractors shall provide the equivalent data in a compatible format on the same schedule as the required submission from the counties.
	  b.   	 DHS shall maintain the data in the data analysis unit for research and analysis purposes only. Only summary data shall be reported to policymakers or the public.
	 25.41(2) Data required. The data to be submitted are as follows:
	  a.   	 Basic client information including a unique identifier, name, address, county of residence and county of legal settlement.
	  b.   	 The state I.D. number for state payment cases.
	  c.   	 Demographic information including date of birth, sex, ethnicity, marital status, education, residential living arrangement, current employment status, monthly income, income sources, type of insurance, insurance carrier, veterans’ status, guardianship status, legal status in the system, source of referral, DSM IV diagnosis, ICD-9 diagnosis, disability group (i.e., mental retardation, developmental disability, chronic mental illness, mental illness), central point of coordination (county number preceded by A 1), and central point of coordination (CPC) name.
	  d.   	 Service information including the decision on services, date of decision, date client terminated from CPC services and reason for termination, residence, approved service, service beginning dates, service ending dates, reason for terminating each service, approved units of services, unit rate for service, expenditure data, and provider data.
	  e.   	 Counties shall not be penalized in any fashion for failing to collect data elements in situations of crisis or in outreach efforts to identify or engage people in needed mental health services. For the purposes of this rule:
	 (1) 	 Situations of crisis include but are not limited to voluntary and involuntary hospitalizations, legal and transportation services associated with involuntary hospitalizations, emergency outpatient services, mobile crisis team services, jail diversion services, mental health services provided in a county jail, and other services for which the county is required to pay but does not have access to the client to collect the required information.
	 (2) 	 Outreach efforts to identify or engage people in needed mental health services include but are not limited to mental health advocate services; services for homeless persons, refugees, or other legal immigrants; services for state cases who do not have documentation with them and are unable to help the county locate appropriate records; consultation; education to raise public awareness; 12-step or other support groups for persons with dual disorders; and drop-in centers.
	  f.   	 Although all of the data in the minimum data set are important to provide support for program analysis, a county shall be penalized for noncompliance with this rule if the county does not provide 100 percent reporting of the data elements listed in this paragraph. Beginning with the data reported for state fiscal year 2008, less than 100 percent reporting for the following items shall be viewed as noncompliance unless the data are exempted by paragraph “e”:
	 (1) 	 Client identifiers:
	  1. 	 Lname3 (the first three letters of the client’s last name).
	  2. 	 Last4SSN (the last four digits of the client’s social security number).
	  3. 	 SEX (the client’s sex).
	  4. 	 BDATE (the client’s birth date).
	 (2) 	 CPC (central point of coordination).
	 (3) 	 Payment information:
	  1. 	 PYMTDATE (CoMIS payment date).
	  2. 	 FUND CODE (CoMIS fund code).
	  3. 	 DG (CoMIS diagnosis).
	  4. 	 COACODE (CoMIS chart of accounts code).
	  5. 	 BEGDATE (CoMIS service beginning date).
	  6. 	 ENDDATE (CoMIS service ending date).
	  7. 	 UNITS (CoMIS units of service).
	  8. 	 COPD (CoMIS county paid).
	 (4) 	 ValidSSN (valid social security number indicator).
	 (5) 	 IsPerson (IsPerson indicator).
	  g.   	 Although all of the data in the minimum data set are important to provide support for program analysis, a county shall be penalized for noncompliance with this rule if the county does not provide 90 percent reporting of the data elements listed in this paragraph beginning with the data reported for fiscal year 2008. Less than 90 percent reporting for the following items shall be viewed as noncompliance unless the data are exempted by paragraph “e”:
	 (1) 	 Application Date (application date).
	 (2) 	 RESCO (residence county).
	 (3) 	 LEGCO (legal county).
	 (4) 	 Provider ID (vendor number).
	  h.   	 The department shall analyze the data received on or before December 1 each year by December 15 or by the next business day if December 15 falls on a weekend or holiday.
	 (1) 	 When a county’s data submission does not meet the specifications in paragraph “f” or “g,” the department will notify the county by E-mail.
	 (2) 	 The county shall have 30 days from the date of the E-mail notice to submit the missing data or to provide an explanation of why the data cannot be reported.
	 (3) 	 If the county does not report the data or provide an adequate explanation within 30 days, the department shall find the county in noncompliance.
	  i.   	 The department shall post the aggregate reports received by December 1 on the department’s Web site within 90 days.
	 25.41(3) Method of data collection. A county may choose to collect this information using the county management information system (CoMIS) that was designed by the department or may collect the information through some other means. If a county chooses to use another system, the county must be capable of supplying the information in the same format as CoMIS.
	  a.   	 Except as provided in subparagraph (3), each county shall submit the following files in Microsoft Excel format (version 97 to 2000) or comma-delimited text file (CSV) format using data from the associated CoMIS table or from the county’s chosen management information system:

Files to submit	Associated CoMIS Table	 	
WarehouseClient.xls or WarehouseClient.csv	Client Data	 	
WarehouseIncome.xls or WarehouseIncome.csv	Income Review	 	
WarehousePayment.xls or WarehousePayment.csv	Payment	 	
WarehouseProvider.xls or WarehouseProvider.csv	Provider	 	
WarehouseProviderServices.xls or WarehouseProviderServices.csv	tblProviderServices	 	
WarehouseService.xls or WarehouseService.csv	Service Authorizations	 	
	 (1) 	 Paragraphs “b” through “g” list the data required in each file and specify the structure or description for each data item to be reported.
	 (2) 	 The field names used in the report files must be exactly the same as indicated in the corresponding paragraph, including spaces, and must be entered in the first row for each sheet.
	 (3) 	 The file labeled WarehouseService.xls or WarehouseService.csv or service authorization (described in paragraph “g” of this subrule) shall be removed from this requirement on June 30, 2011, if data from this file have not been used by that date.
	  b.   	 File name: WarehouseClient.xls or WarehouseClient.csv.
Sheet name: Warehouse_Client_Transfer_Query.

Field Name	Data Type	Field Size	Format	Description	
CPC	Number	3	0 decimal places	Central point of coordination number: county number preceded by a 1	
RESCO	Number	3	0 decimal places	Residence county of client:
1-99 = County number
100 = State of Iowa
900 = Undetermined or in dispute	
LEGCO	Number	3	0 decimal places	Legal county of client:
1-99 = County number
100 = State of Iowa
900 = Undetermined or in dispute	
Lname3	Text	3	 	The first 3 characters of the last name	
Last4SSN	Text	4	 	The last 4 digits of the client’s social security number. If that number is unknown, then use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”	
BDATE	Date	10	mm/dd/yyyy	Date of client’s birth	
SEX	Text	1	 	Sex of client:
M = Male
F = Female	
Last Update	Date	10	mm/dd/yyyy	Date of last update to client record	
SID	Text	8	9999999a	State identification number of client, if applicable (format of a valid number is 7 digits plus 1 alphabetical character).	
ADD1	Text	50	 	First address line	
ADD2	Text	50	 	Second address line (if applicable)	
CITY	Text	50	 	City address line	
STATE	Text	2	 	State code	
ZIP	Number	5	0 decimal places	5-digit ZIP code	
ETHN	Number	1	0 decimal places	Ethnicity of client:
0 = Unknown
1 = White, not Hispanic
2 = African-American, not Hispanic
3 = American Indian or Alaskan native
4 = Asian or Pacific Islander
5 = Hispanic
6 = Other (biracial; Sudanese; etc.)	
MARITAL	Number	1	0 decimal places	Marital status of client:
1 = Single, never married
2 = Married (includes common-law marriage)
3 = Divorced
4 = Separated
5 = Widowed	
EDUC	Number	2	0 decimal places	Education level of the client	
RARG	Number	2	0 decimal places	Residential arrangement of client:
1 = Private residence/household
2 = State MHI
3 = State resource center
4 = Community supervised living
5 = Foster care or family life home
6 = Residential care facility
7 = RCF/MR
8 = RCF/PMI
9 = Intermediate care facility
10 = ICF/MR
11 = ICF/PMI
12 = Correctional facility
13 = Homeless shelter or street
14 = Other	
LARG	Number	1	0 decimal places	Living arrangement of client:
1 = Lives alone
2 = Lives with relatives
3 = Lives with persons unrelated to client	
INS	Number	1	0 decimal places	Health insurance owned by client:
1 = Client pays
3 = Medicaid
4 = Medicare
5 = Private third party
6 = Not insured
7 = Medically Needy	
INSCAR	Text	50	 	First insurance company name, if applicable	
INSCAR1	Text	50	 	Second insurance company name, if applicable	
INSCAR2	Text	50	 	Third insurance company name, if applicable	
VET	Text	1	 	Veteran status of client:
Y = Yes
N = No	
CONSERVATOR	Number	1	0 decimal places	Conservator status of client:
1 = Self
2 = Other	
GUARDIAN	Number	1	0 decimal places	Guardian status of client:
1 = Self
2 = Other	
LEGSTAT	Number	1	0 decimal places	Legal status of client:
1 = Voluntary
2 = Involuntary, civil commitment
3 = Involuntary, criminal commitment	
REFSO	Number	1	0 decimal places	Referral source of client:
1 = Self
2 = Family or friend
3 = Targeted case management
4 = Other case management
5 = Community corrections
6 = Social service agency other than case management
7 = Other	
DSMIV	Text	50	 	DSM IV diagnosis code of client	
ICD9	Text	50	 	ICD-9 diagnosis code (optional for county use; not tied to CoMIS entry)	
DG	Number	2	0 decimal places	Disability group of client:
40 = Mental illness
41 = Chronic mental illness
42 = Mental retardation
43 = Other developmental disability
44 = Other categories	
Application Date	Date	10	mm/dd/yyyy	Date of client’s initial application	
Outcome decision	Number	1	0 decimal places	Decision on client’s application:
1 = Application accepted
2 = Application denied
3 = Decision pending	
Decision date	Date	10	mm/dd/yyyy	Date decision was made on client’s application	
Denial reason	Text	2	 	Denial reason code:
00 = Not applicable
01 = Over income guidelines
1A = Over resource guidelines
02 = Does not meet county plan criteria
2A = Legal settlement in another county
2B = State case
3A = Brain injury
3B = Alzheimer’s
3C = Substance abuse
3D = Other
04 = Does not meet service plan criteria
05 = Client desires to discontinue process
5A = Client fails to return requested information	
Client exit date from CPC	Date	10	mm/dd/yyyy	Date client was terminated from CPC services	
Exit reason	Number	1	0 decimal places	Reason client left the CPC system:
0 = Unknown
1 = Client voluntarily withdrew
2 = Client deceased
3 = Unable to locate consumer
4 = Ineligible due to reasons other than income
5 = Ineligible, over income guidelines
6 = Client moved out of state
7 = Client no longer needs service
8 = Client has legal settlement in another county	
Review Date	Date	10	mm/dd/yyyy	Date of last application review	
PhoneNumber	Text	50	 	Phone number of client	
ValidSSN	Text	3	Generated for CoMIS users in the data extract only	Populate this field with YES if the client has a valid social security number. If the client does not have a valid social security number, populate this field with NO.	
IsPerson	Text	3	Generated for CoMIS users in the data extract only	Populate this field with YES if the client is a person. If the client entry represents a nonperson such as administrative costs, populate this field with NO.	
	  c.   	 File name: WarehouseIncome.xls or WarehouseIncome.csv.
Sheet name: Warehouse_Income_Transfer_Query.

Field Name	Data Type	Field Size	Format	Description	
CPC	Number	3	0 decimal places	Central point of coordination number: county number preceded by a 1	
RESCO	Number	3	0 decimal places	Residence county of client:
1-99 = County number
100 = State of Iowa
900 = Undetermined or in dispute	
LEGCO	Number	3	0 decimal places	Legal county of client:
1-99 = County number
100 = State of Iowa
900 = Undetermined or in dispute	
Lname3	Text	3	 	The first 3 characters of the last name	
Last4SSN	Text	4	 	The last 4 digits of the client’s social security number. If that number is unknown, then use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”	
BDATE	Date	10	mm/dd/yyyy	Date of client’s birth	
SEX	Text	1	 	Sex of client:
M = Male
F = Female	
EMPL	Number	2	0 decimal places	Employment situation of client:
1 = Unemployed, available for work
2 = Unemployed, unavailable for work
3 = Employed full-time
4 = Employed part-time
5 = Retired
6 = Student
7 = Work activity employment
8 = Sheltered work employment
9 = Supported employment
10 = Vocational rehabilitation
11 = Seasonally employed
12 = In the armed forces
13 = Homemaker
14 = Other or not applicable
15 = Volunteer	
House Hold Size	Number	2	0 decimal places	Number of people in client’s household	
INCSOUR	Number	2	0 decimal places	Primary income source of client:
1 = Family and friends
2 = Private relief agency
3 = Social security disability benefits
4 = Supplemental Security Income
5 = Social security benefits
6 = Pension
7 = Food assistance
8 = Veterans benefits
9 = Workers compensation
10 = General assistance
11 = Family investment program (FIP)
12 = Wages	
Public Assistance Payments	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
Social Security	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
Social Security Disability	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
SSI	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
VA Benefits	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
R/R Pension	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
Child Support	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
Employment Wages	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
Dividend Interest	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
Other Income	Currency	14	2 decimal places	Monthly dollar amount for this income source (where applicable)	
Description 1	Text	50	 	Description of “Other Income”	
Cash on hand	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Checking	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Savings	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Stocks/Bonds	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Time Certificates	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Trust Funds	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Other Resources	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Description 2	Text	50	 	Description of “Other Resources” (where applicable)	
Other Resources 2	Currency	14	2 decimal places	Dollar amount for this resource type (where applicable)	
Description 3	Text	50	 	Description of “Other Resources 2”	
Date reviewed	Date	10	mm/dd/yyyy	Date income was last reviewed (where applicable)	
	  d.   	 File name: WarehousePayment.xls or WarehousePayment.csv. Sheet name: Warehouse_Payment_Transfer_Quer.

Field Name	Data Type	Field Size	Format	Description	
CPC	Number	3	0 decimal places	Central point of coordination number: county number preceded by a 1	
RESCO	Number	3	0 decimal places	Residence county of client:
1-99 = County number
100 = State of Iowa
900 = Undetermined or in dispute	
LEGCO	Number	3	0 decimal places	Legal county of client:
1-99 = County number
100 = State of Iowa
900 = Undetermined or in dispute	
Lname3	Text	3	 	The first 3 characters of the last name	
Last4SSN	Text	4	 	The last 4 digits of the client’s social security number. If that number is unknown, use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”	
BDATE	Date	10	mm/dd/yyyy	Date of client’s birth	
SEX	Text	1	 	Sex of client:
M = Male
F = Female	
PYMTDATE	Date	10	mm/dd/yyyy	Date county approves or makes payment	
VENNAME	Text	50	 	Vendor or provider paid	
COCODE	Number	3	0 decimal places	County where service was provided	
FUND CODE	Text	10	 	Fund code for payment	
DG	Number	2	0 decimal places	Disability group code for payment:
40 = Mental illness
41 = Chronic mental illness
42 = Mental retardation
43 = Other developmental disability
44 = Other categories	
COACODE	Number	5	0 decimal places	Chart of accounts code for payment	
BEGDATE	Date	10	mm/dd/yyyy	Beginning date of payment period	
ENDDATE	Date	10	mm/dd/yyyy	Ending date of payment period	
UNITS	Number	4	0 decimal places	Number of service units for payment	
COPD	Currency	14	2 decimal places	Amount paid by the county	
RECEIVED	Currency	14	2 decimal places	Amount received for reimbursement (if applicable)	
	  e.   	 File name: WarehouseProvider.xls or WarehouseProvider.csv. Sheet name: Warehouse_Provider_Transfer_Que. (If the provider has more than one office location, enter information for the headquarters office.)

Field Name	Data Type	Field Size	Format	Description	
Provider ID	Text	50	 	Provider identifier (tax ID code)	
Provider Name	Text	50	 	Provider name	
Provider Address1	Text	50	 	Provider address line 1	
Provider Address2	Text	50	 	Provider address line 2 (if applicable)	
City	Text	50	 	Provider city	
State	Text	2	 	Provider state code	
Zip	Text	10	 	Provider ZIP code	
COCODE	Number	3	0 decimal places	Provider county code	
PhoneNumber	Text	50	 	Provider phone number	
Date of Last Update	Date	10	mm/dd/yyyy	Provider last updated date	
	  f.   	 File name: WarehouseProviderServices.xls or WarehouseProviderServices.csv. Sheet name: Warehouse_Provider_Services_Tra.

Field Name	Data Type	Field Size	Format	Description	
Provider ID	Text	50	 	Provider identifier (tax ID code)	
Provider Name	Text	50	 	Provider name	
FUND CODE	Text	10	 	Fund code for payment	
DG	Number	2	0 decimal places	Disability group code for payment:
40 = Mental illness
41 = Chronic mental illness
42 = Mental retardation
43 = Other developmental disability
44 = Other categories	
COACODE	Number	5	0 decimal places	Chart of accounts code for service	
RATE	Currency	14	2 decimal places	Payment rate	
	  g.   	 File name: WarehouseService.xls or WarehouseService.csv. Sheet name: Warehouse_Service_Transfer_Quer.

Field Name	Data Type	Field Size	Format	Description	
CPC	Number	3	0 decimal places	Central point of coordination number: county number preceded by a 1	
RESCO	Number	3	0 decimal places	Residence county of client:
1-99 = County number
100 = State of Iowa
900 = Undetermined or in dispute	
LEGCO	Number	3	0 decimal places	Legal county of client:
1-99 = County number
100 = State of Iowa
200 = Iowa nonresident
900 = Undetermined or in dispute	
Lname3	Text	3	 	The first 3 characters of the last name	
Last4SSN	Text	4	 	The last 4 digits of the client’s social security number. If that number is unknown, then use the last 4 digits of the client id# field and mark column “ValidSSN” with the value “No.”	
BDATE	Date	10	mm/dd/yyyy	Date of client’s birth	
SEX	Text	1	 	Sex of client:
M = Male
F = Female	
FUND CODE	Text	10	 	Fund code for service	
DG	Number	2	0 decimal places	Disability group code for payment:
40 = Mental illness
41 = Chronic mental illness
42 = Mental retardation
43 = Other developmental disability
44 = Other category	
COACODE	Number	5	0 decimal places	Chart of accounts code for service	
Begin Date	Date	10	mm/dd/yyyy	Beginning date of service period	
End Date	Date	10	mm/dd/yyyy	Ending date of service period	
Ending Reason	Number	1	0 decimal places	Reason for terminating approval of service:
0 = NA
1 = Voluntary withdrawal
2 = Client no longer needs service
3 = Ineligible, over income guidelines
4 = Ineligible due to other than income
5 = Client moved out of state
6 = Client deceased
7 = Reauthorization	
Units	Number	4	0 decimal places	Average number of service units approved monthly	
Rate	Currency	14	2 decimal places	Dollar amount per service unit	
Review Date	Date	10	mm/dd/yyyy	Date for next service review	
This rule is intended to implement Iowa Code sections 331.438 and 331.439.