|
Process Monitoring Reporting Requirements
Developing Data Collection Tools
Collecting Client-level Data
Reporting Risk Population Served
Documenting the Number of Sessions Received
Data Reporting and Management Systems Overview
Choosing a Data Reporting and Management System
This chapter:
- Reviews process monitoring reporting requirements;
- Distinguishes process monitoring and process evaluation;
- Presents strategies for data collection including developing data
collection tools, collecting client-level data, documenting the risk
population served by the intervention, and tracking the number of
intervention sessions received by clients; and
- Describes three systems for process monitoring data collection and
reporting.
Process Monitoring Reporting Requirements
Process Monitoring is the routine documentation of data describing
the characteristics of the population served, the services provided,
and the resources used to deliver those services. Health departments
are required to report annually to CDC aggregate process monitoring
data on their CDC-funded interventions. The core set of data to be reported
for all interventions includes:
- Type of agency;
- Number of clients served, categorized by race/ethnicity and gender3 (except for HC/PI);
- Number of full time equivalent (FTE) staff used to provide the intervention;
and
- Expenditures for the intervention.
Some data are only reported for certain interventions. These intervention-specific
data are listed below. See the Evaluation Guidance volume 1, chapter
4, for a complete description of core and intervention-specific data
reporting requirements for process monitoring.
| Intervention-Specific
Process Monitoring Data |
Interventions |
| Number of clients
served by setting |
ILI, GLI, Outreach |
| Number of clients
receiving 1, 2, or 3 or more sessions |
ILI, GLI, PCM |
| Number of prevention
materials distributed |
Outreach |
| Average number
of PCM sessions per client |
PCM |
| Number of partners
identified, counseled, tested, and tested positive |
PCM |
| Number of HC/PI
interventions by type of agency |
HC/PI |
Distinguishing Process Monitoring and Process Evaluation
For this Guidance, process monitoring is distinct from process evaluation.
Additional data are collected for process evaluation to answer more
detailed questions about implementation of the intervention. Questions
may include:
- Was the intervention implemented in a manner consistent with its
design?
- Did the intervention reach the population most at risk?
- What barriers did clients experience in accessing the intervention?
Process evaluation is strongly encouraged, but not required, by the
Guidance. See the Guidance, volume 2, chapter 4 for more information
about process evaluation.
Data Collection Strategies
A health department should choose a process monitoring data collection
method that is best suited to their jurisdiction. This section describes
strategies for process monitoring data collection in four areas:
- Developing data collection tools,
- Collecting client-level data,
- Documenting the risk population served by the intervention, and
- Tracking the number of intervention sessions received by clients.
Developing Data Collection Tools
Contractors use various data collection tools to collect and report
process monitoring data including simple tally sheets for documenting
aggregate data about clients served through outreach or questionnaires
for collecting detailed demographic and risk behavior data for each
individual client receiving GLI, ILI, or prevention case management.
Data collection tools may be the same for all contractors in a jurisdiction
or they may vary from one contractor to another, even when the same
type of intervention is being implemented. Health departments may choose
either way, but it is important to consider the advantages and limitations
of each approach.
See the Appendix, p. 87-90, for examples of a data collection tools
from Wisconsin, Virginia, Maryland, and New Jersey. Suggestions for
developing data collection tools and sample questions can be found in
the Guidance, volume 2, chapter 6.
Contractors Use the Same Data Collection Tools
Health departments and their funded contractors can collaborate to
standardize process monitoring data collection tools. Tools can be designed
to collect data needed to meet Guidance reporting requirements, as well
as to gather other information of interest in the jurisdiction (e.g.,
client zip code, sexually transmitted disease history). Data collection
tools that were in place prior to release of the Guidance may be modified
to meet reporting requirements or new data collection tools may need
to be developed.
Using the same data collection tools facilitates collecting uniform
data throughout the jurisdiction and enables comparisons across interventions
and populations. Development of these tools provides an opportunity
for collaboration between the health department and contractors to define
local data needs and helps cultivate "buy-in" to evaluation.
Some contractors may have invested resources in developing their own
data collection prior to the Guidance. These contractors may not want
to adopt new data collection tools and requiring them to do so can erode
their support for conducting evaluation. Health departments should carefully
consider the balance between retaining elements of existing data collection
tools and establishing new standardized tools for use throughout the
jurisdiction.
"Part of the problem with developing a common data
collection system was that we had two real distinct groups of contractors.
We had people who needed tons of help and any system was going to be
a challenge for them because they didn't have anything. And we had people
that already had something in place and were really resentful that we
were replacing their system. We sort of made a decision in the beginning
that if we're going to have a system, it's going be a system everybody
uses. Otherwise we can't pool the data and make planning decisions."
Health Department Staff Member
Contractors Use Different Data Collection Tools
Health departments may permit variation in how process monitoring data
are collected, with each contractor developing and using its own data
collection tools. Contractors may continue to use data collection tools
that preceded the Guidance, or they may modify their tools or develop
new ones to better meet Guidance reporting requirements. Regardless
of the data collection tools used, health departments need to ensure
that contractors collect the data required for reporting.
Allowing contractors to use different data collection tools helps avoid
the risk of upsetting those who are using data collection tools developed
prior to the Guidance. However, variation in data collection tools will
likely yield variation in data quality, limiting comparisons across
interventions and populations within the jurisdiction. In addition,
contractors that do not currently have data collection tools, or lack
tools that collect data required by the Guidance, may not have the capacity
to develop these tools on their own. Health departments can provide
technical assistance to help contractors develop their own tools or
they may develop optional data collection tools for those contractors
that need them.
Collecting Client-level Data
Client-level data collection involves gathering data about each individual
client and maintaining that information in a database. Client data can
then be retrieved, sorted, grouped, and analyzed across different variables
of interest. In contrast, aggregate data collection combines information
about all clients served by an intervention and does not retain client-specific
data in a database. Client-level data can be pooled to yield aggregate
data; however, information collected in aggregate form cannot be converted
to client-level data.
Health departments can decide if they want to collect client-level
data and for which interventions. Client-level data collection is usually
limited to GLI, ILI, and prevention case management because these interventions
usually provide sufficient interaction with clients to collect this
information. Client-level data is rarely, if ever, collected during
outreach or HC/PI interventions.
Client-level data collection typically involves assigning a unique
identifier or code to each client. Linking a client's code and the client's
data permits tracking of the individual client over time, as well as
the aggregation, analysis, and reporting of data from multiple clients.
The client code may be included on questionnaires and other forms for
collecting data on client demographics, risk behaviors, intervention
services received, and other variables of interest. Client codes can
be generated by the client or the contractor.
- Client-Generated Codes: The client creates a code by responding
to a series of prompts, such as client initials, birth date, and mother's
first name. With client-generated codes, the code is designed so that
clients know all the information needed to complete the code themselves,
though contractors may assist if necessary.
- Contractor-Generated Codes: The contractor assigns a code
to a client based on a series of prompts, such as provider initials
and a number for each consecutive client seen by the provider. With
contractor-generated codes, the contractor must create the code for
the client because the client may not have all the information needed
(e.g., provider initials). A master list is often maintained linking
client codes and client names to ensure that clients are assigned
the same code during subsequent contacts.
Client Code Examples
Methods used by different jurisdictions to create client codes are
described below. Following these, a method suggested by the Health Resources
Service Administration (HRSA) is described. The examples provided are
for a white male, non-Hispanic client named John Doe, born on March
16, 1963. John is the fifteenth client served by a provider named Mary
Smith.
| Examples
of How to Create Client Codes |
| Jurisdiction |
Who
Creates Code |
How
Code is Created |
Example |
| Virginia |
Client |
1st
and 3rd letter of first name, 1st and 3rd letter of last name |
JHDE |
| Maryland |
Client |
birth
month, birth day, complete birth year, gender, race, ethnicity |
03161963MWN |
| New
Jersey |
Client |
1st
and 3rd letter of first name, 1st and 3rd letter of last name, birthmonth,
last two digits of birth year |
JHDE0363 |
| Wisconsin |
Contractor |
Provider
initials, consecutivenumber from the first client |
MS015 |
HRSA creates a client code, called a Unique Record Number (URN), using
the following method: 1st and 3rd letter of first name (if blank, use
the middle initial), 1st and 3rd letter of last name (if blank, use
the middle initial), birth month, last two digits of birth year, and
gender code (1=male, 2=female). For example, JHDE03631. After this number
is created, it is encrypted, or scrambled, using a complex algorithm.
The resulting nine-digit code does not resemble the original information
in any way. It is virtually impossible to retrace the information in
the URN or retrace any personal information about a client. Decoding
a URN is not feasible; too much of the original information is removed
during the encryption process to be able to work backwards to the original
11 digit information. 4
Client Confidentiality
Concerns about confidentiality can hinder efforts to collect client-level
data and should be considered. Client codes typically avoid using complete
names, portions of social security numbers, or any other information
that may reveal the client's identity. Even in the absence of information
that could reveal client identity, clients may perceive the potential
for breeches of confidentiality and therefore be hesitant to report
risk behaviors or to utilize prevention services that collect client-level
data. These concerns may be particularly salient for clients engaged
in illegal or stigmatized behaviors. Contractors may also be concerned
about confidentiality issues and resist collecting client-level data.
Confidentiality concerns can be addressed in different ways. One health
department conducted focus groups with clients and learned that they
would feel more comfortable if contractors did not see client-level
data. In this jurisdiction, clients generate their own code and complete
questionnaires. These questionnaires are placed in a sealed envelope,
which the contractor collects without seeing the information and sends
to the health department for data entry and analysis. In a different
jurisdiction, clients did not want the health department to have access
to client-level data. In this case, the contractor collects and aggregates
client-level data. Only aggregate reports are submitted to the health
department. Both approaches show a positive response to the particular
concerns in each jurisdiction.
Benefits of Client-Level Data
Collecting client-level data facilitates reporting several process
monitoring data elements required by the Guidance, including client
race, ethnicity, gender, and age; risk population served; number of
clients served; and number of intervention sessions received for ILI,
GLI, and PCM. (See p. 38 for more information about documenting the
number of intervention session received.) In the absence of client-level
data, health departments may not be able to report this information
accurately. These data also may be useful for local evaluation and planning
purposes beyond the Guidance requirements.
The advantages of client-level data are contrasted with aggregate data
in the following example. A three session GLI targeting heterosexuals
serves six clients. Jurisdiction A collects aggregate data, and Jurisdiction
B collects client-level data. Both jurisdictions collect data on risk,
race, gender, and the number of intervention sessions received.
Aggregate Data Collection: Jurisdiction A collected and reported
the following aggregate data upon completing the three sessions GLI.
| Number
of clients attending intervention sessions by risk, race and gender
|
Number
of clients attending the first, second and third intervention session
|
| Risk
|
Race
|
Gender
|
First
|
Second
|
Third
|
5 Hetero
1 MSM |
3 White
3 Black |
3 Male
3 Female |
6 |
3 |
3 |
In this example, aggregate data do not permit reporting of client race
by gender because these demographic data were collected and reported
independently. There is no way to identify the race of the one MSM client
served by the intervention nor is it possible to know how many intervention
sessions were received by each client (i.e., only the number of clients
attending each session is known). Without this information it is difficult
for Jurisdiction A to report all required Guidance data.
Client-Level Data Collection: Jurisdiction B collected and reported
the following client-level data upon completing the three session GLI.
| Client |
Risk |
Race |
Gender |
Number
of sessions completed |
| Client 1: |
Hetero |
White |
Female |
2 |
| Client 2: |
MSM
|
Black |
Male |
3 |
| Client 3: |
Hetero |
Black |
Male |
3 |
| Client 4: |
Hetero |
Black |
Female |
3 |
| Client 5: |
Hetero |
White |
Male |
2 |
| Client 6: |
Hetero |
White |
Female |
2 |
In contrast to aggregate data, client-level data reveals greater demographic
detail about clients served. These data show that the one MSM client
was Black and that none of the White clients received more than two
intervention sessions. These data also reveal that three clients received
two intervention sessions and three clients received three intervention
sessions. This more detailed information makes it easier for Jurisdiction
B to report Guidance data.
Client-level data can reduce the need for contractors to collect data
each time they see a repeat client. For example, if contractors collect
demographic and other data during the first contact with a client, they
can then use the client's code to access the information for reporting
subsequent visits.
Challenges of Client-Level Data
Client codes must protect client confidentiality. Ideally, these codes
are a unique, unduplicated identifier for each client. Using last names
or portions of social security numbers (e.g., last four digits) in the
code can decrease the possibility of code duplication. However, these
elements are usually avoided to mitigate client concerns about confidentiality.
Efforts to maintain confidentiality can make it difficult to avoid duplication,
reducing the quality of client-level data.
Codes may also be unstable over time for the same client. For example,
a client may have multiple names or nicknames that undermine the consistency
of a code that uses initials or letters from their name. It may not
be possible, therefore, to create client codes that eliminate the possibility
of duplication and that are completely stable over time. Duplicate and
unstable codes can compromise data quality. Health departments should
be mindful of these problems and try to minimize their occurrence.
Reporting Risk Population Served
Contractors report data to the health department about which risk populations
were served by their interventions (e.g., MSM, IDU). For some intervention
types (e.g., PCM), conducting a risk assessment can provide data to
be used to report on the risk population served. With other interventions
(e.g., outreach), a risk assessment cannot always be conducted and other
methods must be used to report on the population served. Three strategies
can be used to document the risk of clients served by an intervention:
- Client self-report,
- Contractor perception, and
- Intervention intention.
Although some approaches produce better quality data than others, health
departments may choose which method they will use. One strategy may
be used by all contractors throughout a jurisdiction or strategies may
vary across interventions and contractors within a jurisdiction.
Client Self-Report
With this strategy, contractors gather self-reported data about risk
from the clients they serve. Risk-assessment data should always be collected
with PCM interventions. Risk assessment may also be conducted for clients
in GLI and ILI if there is sufficient contact with the client to perform
an assessment. Data may be collected as part of a comprehensive risk
assessment appropriate for PCM, may involve a shortened risk assessment
tool, or may be a simple questionnaire in which clients indicate the
risk population to which they belong. Questionnaires may be completed
by clients themselves or the contractor can elicit the information and
complete the questionnaire for them. Client codes may be included on
the questionnaire to facilitate collection of client-level data. (See
p. 33 for more information about collecting client-level data.)
Clients may not always be truthful about reporting their risk behaviors,
and the sensitive nature of risk behavior questions may alienate some
clients. Despite these concerns, self-reported data are likely to yield
the most reliable information about the risk populations served. Contractors
may find that clients are more truthful about reporting their risk behaviors
as trust and rapport develops after several contacts. Under these circumstances,
self-reported risk data may give the appearance that a client's risk
is initially increasing during the course of the intervention. For this
reason, contractors may consider waiting until the second or third contact
with the client to collect risk data; however, if a client does not
return for services, then an opportunity to collect data during the
first contact will have been missed. Health departments are encouraged
to carefully consider the circumstances under which they would allow
a contractor to delay collecting data on self-reported risk.
Contractor Perception
When it is not possible to collect self-reported data, the risk population
served may be based on a contractor's perception of a client's risk.
This approach is often used during outreach interventions because it
is difficult to conduct a risk assessment during the brief contacts
with clients typical in this intervention. Accurate reporting depends
on contractor knowledge of the prevalence of risk behaviors in an outreach
location (e.g., gay bar, shooting gallery) or knowledge of the particular
risk population with whom they are working. Although reporting risk
based on contractor perception minimizes the possibility of alienating
a client by asking explicit questions about risk, it is likely to be
less accurate than client self-reported data.
Intervention Intention
When risk assessment is not possible, and the contractor is unsure
of client risk, the risk population may be reported based on the intention
of the intervention. For example, if an intervention is designed to
serve MSM, then everyone reached by the intervention is assumed to be
MSM and is reported as such. This approach may misclassify the risk
of some clients and yield unreliable data. Although reporting risk in
this manner is in compliance with the minimum expectations of the Guidance,
this method should only be used when there is no alternative.
Documenting the Number of Sessions Received
Health departments are required to report the number of clients receiving
only 1, only 2, or 3 or more intervention sessions for GLI, ILI and
PCM. The number of sessions received by a client is one measure of the
intensity of the intervention. Documenting the number of sessions is
fairly easy for ILI and PCM. The one-on-one nature of the interaction
between contractor and client simplifies record keeping to collect this
data.
GLI can present some unique challenges to documenting the number of
sessions because attendance may be fluid during the course of the intervention.
For example, in a four session group-level intervention, some clients
may drop out after the first session, others may attend just the first
and third, and others will participate in all four. With several participants
in a group and multiple sessions over time, it can be difficult to track
the number of sessions received by clients.
Health departments can use the method they prefer to collect data documenting
the number of intervention sessions received. The following four strategies
are discussed below:
- Client-level data,
- Sign-in sheets,
- Contractor recall, and
- Client recall.
One strategy may be used by all contractors in a jurisdiction or health
departments may allow variation in how these data are collected. Using
one strategy throughout the jurisdiction will likely yield uniform data,
facilitating comparison across contractors and interventions. Variation
in methods allows flexibility to accommodate the needs of different
interventions, but may yield data of varying quality. Health departments
are encouraged to consider the advantages and disadvantages of each
strategy and to collect these data in a manner most appropriate for
their jurisdiction.
Client-Level Data
Collecting data on each individual client is one way to document the
number of sessions received. (See p. 33 for more information about collecting
client-level data.) These data can be tabulated to determine the distribution
of sessions received by all clients. In a variation of this method,
some contractors use client codes without collecting the risk behavior
data that usually accompanies client-level data collection. Clients
maintain their confidentiality by using their code to sign-in for each
intervention session attended and these data are used to track the number
of sessions received. See the Appendix, p. 91, for an example of a sign-in
sheet from Maryland.
| Example: |
A four session GLI is conducted for
six clients. Clients sign-in at each session using a client code
based on the 1st and 3rd letter of their first name, 1st and 3rd
letter of their last name, birth month, and last two digits of birth
year. (See p. 33 for information about creating client codes.) The
following table shows data collected after four sessions. |
| Client
Code Data for a Four-Session GLI |
| Session
1 |
Session
2 |
Session
3 |
Session
4 |
| CMLA0573 |
CMLA0573 |
CMLA0573 |
CMLA0573 |
| DVNP0363 |
|
|
|
| DDRA1164 |
DDRA1164 |
|
DDRA1164 |
| SKCH0970 |
|
SKCH0970 |
|
| ARIA1071 |
ARIA1071 |
ARIA1071 |
ARIA1071 |
| |
CRMK1265 |
|
|
This data can be used to determine the number of intervention sessions
received, e.g., 2 clients attended 1 session, 1 client attended 2 sessions,
and 3 clients attended 3 or more sessions
"One of the biggest problems was collecting information
about the number of sessions. It was really difficult to track that
without having a unique identifier for each client. We were asking questions
like how many clients completed a one session ILI, how many completed
two sessions, and that relied on the contractor having the ability to
track that information. What we found was they just couldn't do it without
a client code." Health Department Staff Member
Sign-In Sheets
Clients can use their name to sign an attendance sheet for each intervention
session received. Attendance is tracked over time to determine the number
of sessions received by each client and aggregated to determine the
distribution for all clients. Although this approach is simple to use,
clients may not feel comfortable revealing their names or may use different
names each time they sign in (e.g., nicknames), compromising the quality
of the data collected. Any identifying information used on the sign-in
sheet must be kept confidential.
Contractor Recall
This approach relies on the contractors' ability to recognize clients
and remember who did and did not attend sessions. Alternatively, contractors
may rely on the staff at the agency or institution hosting the intervention
to remember how many sessions clients attended. Similar to the other
methods, this information is used to determine the number of sessions
received by each client and aggregated to determine the distribution
for all clients. Although this approach is unobtrusive, poor recall
can compromise data quality.
Client Recall
Contractors can ask clients to self-report how many intervention sessions
they have attended. For example, at the end of a three session GLI,
clients can be asked to report how many of the three sessions they attended.
Although the simplicity of this approach may be appealing, data cannot
be collected from clients who do not attend the last session. Data quality
may also be compromised by poor client recall and the possibility that
some clients will be biased to over-report the number of sessions they
attended.
Data Reporting and Management Systems Overview
Data reporting and management systems are used by health departments
to collect, aggregate, and analyze process monitoring data. These systems
establish procedures for monitoring data quality, transmitting data
from contractors to the health department, creating a database, and
producing CDC- and jurisdiction-specific reports. Three data reporting
and management systems are described below:
- Health Department-Based Systems,
- Contractor-Based Systems, and
- Web-Based Systems.
The key features of each system are summarized on p. 42. No one system
is best for all jurisdictions. Health departments are encouraged to
consider the strengths and limitations of each system as they develop
a data reporting and management system for their jurisdiction.
Health Department-Based System
Health departments use data management software such as Microsoft Access
or Excel to enter and manage process monitoring data reported to them
by their contractors. Contractors typically collect process monitoring
data on paper forms and submit these records to the health department
for data entry.
Jurisdictions using this approach have established different schedules
for data submission. Data may be sent to the health department after
each intervention event or it may be accumulated and submitted in batches
monthly, quarterly, or bi-annually. In some cases, the contractor collects
and aggregates data over time and submits a summary report to the health
department. This approach, however, requires that the contractor has
a method for tabulating data.
Data submitted to the health department are reviewed by health department
staff, checked for missing or inconsistent data, and either scanned
or entered manually into a database. Missing or inconsistent data may
be identified by visually reviewing the data for apparent errors (e.g.,
no risk population is reported) or by using a computer-based data edit
program. This process allows the health department to identify and correct
reporting errors and to assist contractors in improving the quality
of future data submissions.
The health department uses these data to produce reports for CDC in
compliance with Guidance requirements and may also generate reports
for use by health department staff, contractors, and other stakeholders.
Data management software may be preprogrammed to conduct data analysis
and produce reports that meet CDC and jurisdiction-specific information
needs.
Contractor-Based System
Contractors use data management software housed at their agency to
enter and manage their own process monitoring data. This approach requires
that all contractors have access to a computer and data management software
and that they are all collecting and reporting the variables specified
in the Guidance, regardless of the software they are using. Some health
departments have made standard software available to all contractors.
Others have allowed them to use the software of their choice (e.g.,
Microsoft Excel, Access). Contractors typically collect process monitoring
data on paper forms and later enter the information into a database.
In some cases, data are entered directly into the computer while the
intervention is being conducted, eliminating the need for a paper form.
Data entry is performed by the staff member delivering the intervention
or by other staff within the agency. Data entry screens can be designed
to minimize data entry errors by incorporating skip patterns and menus
with set options for data entry. After data entry, data can be submitted
to the health department by e-mail or on diskette, usually on a monthly,
quarterly, or bi-annual schedule. These data are reviewed, checked for
errors, and then combined to create a master database at the health
department. By checking for missing or inconsistent data, the health
department can correct mistakes and assist contractors in improving
the quality of future data submissions. However, since the original
data collection forms are usually not submitted to the health department,
it may be difficult to detect data errors that occurred during the data
collection or entry process.
The master database is used to produce reports for CDC in compliance
with Guidance requirements. Additional reports may also be generated
for use by health department staff, contractors, and other stakeholders.
Data management software may be preprogrammed to conduct data analysis
and produce these reports.
Web-Based System
Contractors may access a web-based system at their agency to enter
process monitoring data and to transmit the data to the health department.
This approach requires that all contractors have access to a computer
with an Internet connection linked to a web page for data entry. Similar
to the contractor-based system described above, contractors collect
process monitoring data on paper forms and later enter the information
into the Internet system. Alternatively, they may enter the data directly
into the computer while the intervention is being conducted, eliminating
the need for a paper form.
Data entry screens can be designed to minimize data entry errors by
incorporating skip patterns and menus with set options for data entry.
Data entry and submission to the health department generally occurs
immediately after the intervention, or on a monthly or quarterly schedule.
Data are automatically aggregated by the system to create a master database
at the health department. This database is used to produce reports for
CDC in compliance with Guidance requirements. Additional reports may
also be generated for use by health department staff, contractors, and
other stakeholders. The system may be preprogrammed to conduct data
analysis and produce these reports.
Combining Systems
These three systems may be used alone or in combination depending on
the needs of the jurisdiction. For example, a health department may
use a contractor-based system with most of their contractors and use
a health department-based system for those contractors that do not have
the capacity to enter and manage their own data. This combination may
be used as an interim strategy while data entry and management capacity
of contractors is further developed. Likewise, these strategies may
be sequenced over time as part of a developmental approach for the jurisdiction.
For example, a health department-based system might be used for all
contractors as a way to closely monitor and improve data quality as
a first step in a long-range plan to establish a web-based system.
"The grantees have a choice about doing data entry. Some want
to do it and some don't want to do it because it is too complicated
for them. They just want to fill out the forms, and we'll get somebody
to do the data entry for them here at the health department. Those who
have the ability and enough staff to actually enter data will just do
the data entry on site." Health Department Staff Member
| Key
Features of Data Reporting and Management Systems |
| Questions |
Health-Department
Based System |
Contractor-Based
System |
Web-Based
System |
| What technology
is needed? |
Health department
access to a computer and data management software |
Contractor
access toa computer and data management software |
Contractor
access to a computer with an Internet connection linked to a web
page for data entry |
| How are data
entered? |
Data entered
manually or scanned by health department staff |
Data entered
by contractor staff |
Data entered
by contractor staff |
| How is data
quality ensured? |
Health department
staff review data collection forms for completeness and accuracy |
Data entry
screens are designed to limit data entry errors |
Data entry
screens are designed to limit data entry errors |
| How are data
transmitted? |
Paper forms
are mailed to the health department |
Electronic
file is sent to the health department by e-mail, or a diskette is
hand delivered or mailed |
Electronic
file is sent to health department via the Internet |
| Who accesses
data to produce reports? |
Health department
staff |
Health department
staff and contractors |
Health department
staff and contractors |
Choosing a Data Reporting and Management System
Health departments should consider the strengths and limitations of
each approach when choosing a data reporting and management system.
There are important differences across systems in terms of the technology
required, responsibility for data entry, mechanisms to monitor data
quality, implications of the frequency of data submissions, and the
ability to access data for analysis. These five issues are described
below.
Technology
Technology needs should be considered when choosing a data reporting
and management system. Health department-based systems do not require
the contractor have computer access or literacy; however, health department
staff will need skills to establish and manage the database. Contractor-based
and Web-based systems both require the contractor to have access to
a computer; the latter is also dependent on an Internet connection linked
to a web page for data entry. Contractors must also have staff that
are literate in the data management software or Internet system used.
Maintaining staff computer capacity can be challenging given the frequent
turnover experienced by many contractors. Web-based systems have an
added advantage over contractor-based systems in that the former avoids
the challenge of identifying and deploying software compatible with
different computers and operating systems.
Data Entry
Consideration should be given to contractor and health department capacity
to conduct data entry. In health department-based systems, health department
staff conduct data entry; with contractor-based and web-based systems,
data entry is performed by the contractor. While the burden on the contractor
is reduced when the health department assumes responsibility for data
entry, this task can require significant time and resources from the
health department and may limit opportunities to develop contractor
data entry capacity. However, some health departments perform data entry
as an interim strategy while simultaneously developing contractor capacity
to perform data entry in the future.
Data Quality
Systems vary in how they monitor data quality. Contractor-based and
web-based systems can be designed to facilitate correct data entry and
reporting. Data entry screens can be constructed with menus, internal
checks, contractor-specific access codes, and other features that prevent
entry of spurious data. Data entry screens may even be tailored to the
specific intervention the contractor is funded to deliver, ensuring
that the intervention type and risk population are correctly reported.
These strategies require standardization of the data entry screen. This
is easily accomplished with web-based systems or when the health department
provides the same data management software to all contractors.
"With the web-based system, there'd be a log-in screen were contractors
would put in information, like their agency name, and up would pop a
list of the interventions that matched whatever they were funded to
do. This would take them directly to the page where they need to enter
the data, so there wouldn't be any of that thought process anymore about
how or where to report the information." Health Department Staff
Member
Health department-based systems manage data quality by reviewing paper
data collection forms submitted by their contractors. The same features
for data entry screens described above can be used with health department
data entry to improve data quality. Health department-based systems
have the added advantage of allowing health department staff to review
and identify errors on the original paper forms completed by contractors.
Although the other two systems typically do not involve reviewing these
forms, health departments may ask their contractor to submit the paper
forms so they can be compared with the electronic data submitted.
Reporting Schedule
The frequency of data submission from contractors to the health department
is not dependent on a particular system, and the implications of reporting
frequency vary depending on which system is used. For contractor-based
and web-based systems, the longer the delay between collecting intervention
data and reporting it to the health department, the greater the need
for contractors to store the data until it is reported. Contractors
may vary, however, in their capacity to keep their data collections
forms organized and secure. With quarterly data submissions, contractors
may be inclined to save their process monitoring data for three months
and then enter it all at once. If records were not well maintained,
the quality of the data may be compromised. With health department-based
systems, frequent data submissions help avoid a backlog of data waiting
to be entered at the health department. Regardless of the systems used,
frequent reporting enables health departments to monitor data quality,
intervene quickly when there are problems, and conduct interim analysis
to help monitor progress in meeting objectives.
"We have them do the reports monthly because it is hard to
respond to problems if you are finding out three months after the fact
that there is a problem and also because of what we know about the reliability
of recall. Unless people are filling out their forms during the intervention,
which some do, some have it on clipboard, it is hard to remember and
report the data accurately." Health Department Staff Member
Data Analysis
Although all three systems can be designed to automatically conduct
data analysis and produce reports, the ability to access the data and
produce these reports varies. With health department-based systems,
the database resides at the health department and contractors depend
on the health department to conduct data analysis and produce reports
for their use. In contrast, contractor-based systems permit contractor
access to the database and allow them to generate their own reports,
as needed. Web-based systems also permit contractor access to the database;
access can be restricted so that contractors view data only from their
own interventions.
3 Reporting data on age is encouraged but
not required.
4 This information about HRSA's URN comes from the Careware
Users Manual, Appendix C.
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