NAMRS FFY 2016

Appendices A-F

July 23, 2018
Contents

Appendix A: Data Element and Value Definitions.......................................... A-1

Appendix B: Laws, Rules, Regulations, and Guidance Sources .....................B-1

Appendix C: Agency Component Data Specifications.................................... C-1

Appendix D: Key Indicators Component Data Specifications....................... D-1

Appendix E: Case Component Data Specifications..........................................E-1

Appendix F: Case Component Validation Rules..............................................F-1
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-1

Appendix A: Data Element and Value Definitions

Table A- 1 Agency Component Data Elements: Agency Profile

Agency Data Element Definitions

Data Sources The sources of information used to submit data this year to NAMRS:

 APS agency only

 APS and other agencies

Investigator FTEs filled Number of filled APS FTEs responsible for the hotline and/or conducting investigations.

Supervisor FTEs filled Number of filled APS FTEs responsible for supervision.

Intake  Centralized or localized intake of APS reports.

 Centralized at a statewide hotline or call in number

 Combination of both statewide and local hotlines or call in numbers

 Local at county or regional hotlines or call in numbers

 Other

Reports Accepted for 

Investigation

Number of reports accepted for investigation during the reporting period.

Reports Not Accepted, or 

Resolved Through 

I&R/I&RA

Number of reports that were either not accepted by APS for investigation or were resolved through 

Information and Referral (I&R) / Information and Referral Assistance (I&RA).

Response Time The length of time (days) from receipt of call or notice of alleged maltreatment to face-to-face contact 

with the client by the APS worker, based on the standard set by policy or practice.

Investigation Completion 

Time 

The length of time (days) from investigation start to investigation completion, based on the standard set 

by policy or practice.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-2

Agency Data Element Definitions

Types of Maltreatment Indicates which types of maltreatment are investigated by APS. See definitions of maltreatment types in 

Key Indicators Data Elements.

 Abandonment

 Emotional abuse

 Suspicious death

 Self-neglect

 Exploitation (non-specific)

 Financial exploitation

 Other exploitation

 Neglect

 Physical abuse

 Sexual abuse

 Other

Types of Maltreatment Indicates which types of maltreatment are investigated by APS. See definitions of maltreatment types in 

Key Indicators Data Elements.

 Abandonment

 Emotional abuse

 Suspicious death

 Self-neglect

 Exploitation (non-specific)

 Financial exploitation

 Other exploitation

 Neglect

 Physical abuse

 Sexual abuse

 Other
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-3

Agency Data Element Definitions

Standard of Evidence Standard used for substantiating an allegation of maltreatment.

 Clear and convincing

 Credible, reasonable, or probable cause

 Different standards based on type of perpetrator

 No state standard

 Preponderance

 Other

Assessment Tools Indicates whether APS personnel use standard assessment tools throughout the state, such as client 

safety, at risk factors, or behavioral conditions.

Service Gaps Indicates which services are not available or accessible in the state. 

Care/case management 

services

Development and implementation of a service plan to mobilize the formal and informal resources and 

services identified in the assessment to meet the needs of the client. Includes the development and 

oversight of a plan to ensure the safety and well-being of the client; developing a safety plan with a 

person’s support network; referring and arranging support services, etc.

Caregiver support 

services

Assistance to family and other informal caregivers to improve or sustain capacity for caring for the 

older adult or adult with disabilities. Includes counseling, support groups, training, respite, etc.

Community day services Services or activities provided to adults who require care and supervision in a protective setting for a 

portion of a 24-hour day. Includes out of home supervision, health care, recreation, and/or independent 

living skills training offered in centers most commonly known as Adult Day, Adult Day Health, Senior 

Centers, and Disability Day Programs.

Education, employment, 

and training services

Services and activities to assist people in achieving or maintaining economic self-support. Includes 

training programs, job coaches, supported employment, senior employment programs, and public 

school individualized education plans.

Emergency assistance 

and material aid services

Providing, arranging for, or facilitating the provision of medical, social service, economic, emergency, 

or support services. Includes financial assistance or referral for food, clothing, energy/utility assistance, 

and home repairs/modifications; environmental clean-up of client’s home including but not limited to 

removal of trash, extermination services and cleaning; relocation assistance; urgent medical expenses 

not typically covered by insurance (eye glasses, dentures); emergency housing/shelter; etc.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-4

Agency Data Element Definitions

Financial planning 

services

Services or activities to assist in managing finances or planning for future financial needs. Includes 

meeting with bank officials, financial planning, estate planning, money management, and retirement 

income planning.

Housing and relocation 

services

Services or activities designed to assist in the obtaining of suitable or safe housing and living 

arrangements. Includes tenant counseling; helping to identify and correct substandard housing 

conditions; making moving arrangements and minor renovations to personal residence; and relocating 

to institutional care or facility care.

In-home assistance 

services

Services or activities provided to clients to achieve or maintain self-sufficiency. Includes homemakers 

and home health aides; visiting and telephone reassurance; chore maintenance; personal care services, 

etc.

Legal services Legal counsel and representation provided by an attorney to address civil matters such as housing issues 

and advance care planning, and criminal matters.

Medical and dental 

services

Services and activities designed to assist individuals and families to attain and maintain a favorable 

condition of health; includes evaluations.

Medical rehabilitation 

services

Services and activities for persons with developmental or physical disabilities, or persons with visual or 

auditory impairments, are services or activities to maximize the potential of persons with disabilities, 

help alleviate the effects of physical, mental or emotional disabilities, and to enable these persons to 

live in the least restrictive environment possible. Includes training in mobility, communication skills, 

the use of special aids and appliances, self-sufficiency skills for people with disabilities, occupational 

therapy, physical therapy, speech and language pathology, early intervention and other therapies that 

help people learn the skills they need to live, learn, work and play in their communities.

Mental health services Services and activities, including commitment, assessment, and evaluations, for people with behavioral 

health conditions characterized by dysregulation of mood, thought, and/or behavior, as recognized by 

the DSM-5. Includes services and activities that apply therapeutic processes to personal, family, 

situational, or occupational problems in order to bring about a positive resolution of the problem or 

improved individual or family functioning or circumstances.

Nutrition services Services and activities, including appeals and applications, to provide food to a client lacking 

recommended daily nutritional requirements and/or Activities of Daily Living (ADL) limitations. 

Includes home delivered meals, nutritional counseling, congregate meals, senior farmers’ market 

program, etc.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-5

Agency Data Element Definitions

Public assistance benefits Services and assistance to provide a safety net for disadvantaged individuals who lack the resources to 

provide basic necessities for themselves and their families. Includes such programs as financial aid 

(TANF), nutrition (SNAP), energy assistance (LIHEAP), health care (Medicaid), etc.

Substance use services Services and activities primarily designed to deter, reduce, or eliminate substance abuse or chemical 

dependence. Includes a comprehensive range of personal and family counseling methods, methadone 

treatment for opiate abusers, or detoxification treatment for alcohol abusers. Services and activities may 

be provided in alternative living arrangements such as institutional settings and community-based 

halfway houses.

Transportation services Services or activities that provide or arrange for the travel, including travel costs, of individuals in order 

to access services, or obtain medical care or employment.

Victim services Services and activities provided to, or on behalf of, victims at any stage of the criminal justice process, 

including post sentencing services and support. Includes programs supporting victims of domestic 

violence, sexual assault, abuse of older women, violence against women, and general crimes which are 

being handled by the police or prosecutors’ offices.

Other services Client receives services and activities not included in the categorizations provided.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-6

Table A- 2. Key Indicators Component Data Elements

Key Indicators Data Element Definitions

Investigations closed Number of investigations closed during the reporting period.

Clients who received an investigation Number of clients involved in an investigation that was closed or completed during the 

reporting period.

Clients who received interagency 

coordination

Number of clients referred to an agency in which an interagency coordination was part 

of the investigation.

Case Closure Reason: Investigation 

completed

The case was closed after a finding was made on the allegation of maltreatment, the 

investigation was closed, and no ongoing protective services case was opened.

Case Closure Reason: Investigation 

completed, and protective services case 

completed

The case was closed after the investigation was completed, additional protective 

services were provided, and the protective services case was closed.

Case Closure Reason: Investigation 

unable to be completed (non-specific)

A finding was not able to be made on the allegations of maltreatment for an 

unspecified reason and the case was closed.

Case Closure Reason: Investigation 

unable to be completed due to death of 

client during investigation

The client died during the investigation, the investigation was terminated without a 

finding, and the case was closed.

Case Closure Reason: Investigation 

unable to be completed due to refusal of 

client

The client refused to cooperate with the investigation worker, the investigation was 

terminated without a finding, and the case was closed.

Case Closure Reason: Protective services 

case opened but not completed (nonspecific)

The protective services case was terminated prematurely; reason not specified.

Case Closure Reason: Protective services 

case closed due to death of client

The client died during the case and the case was closed.

Case Closure Reason: Protective services 

case closed due to client decision to not 

continue

The client decided not to continue work with the protective services agency, and the 

case was closed.

Case Closure Reason: Other Case was closed for a reason not included in the categorizations provided.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-7

Key Indicators Data Element Definitions

Clients found to be victims Number of victims in which at least one maltreatment disposition was substantiated per 

investigation.

Victims who received one or more 

benefits

Number of victims who received one or more benefits.

Victims with one or more disabilities Number of victims with one or more disabilities.

Victims with one or more screened or 

diagnosed behavioral conditions

Number of victims with one or more screened or diagnosed behavioral conditions.

Victims with guardian or conservator at 

start of investigation

Number of victims with guardian or conservator at start of investigation.

Victims who received services or were 

referred for services by APS

Number of victims who received services or were referred for services by APS.

Maltreatment: Abandonment The desertion of a person by an individual who has assumed responsibility for 

providing care for that person, or by an individual with physical custody of another 

person.

Maltreatment: Emotional abuse The infliction of anguish, pain, or distress through verbal or nonverbal acts. This 

includes but is not limited to verbal assaults, insults, threats, intimidation, humiliation, 

and harassment.

Maltreatment: Exploitation (non-specific) The illegal or improper use of an individual or of an individual’s funds, property, or 

assets for another’s profit or advantage.

Maltreatment: Financial exploitation The illegal or improper use of an individual’s funds, property, or assets for another 

person’s profit or advantage.

Maltreatment: Other exploitation The illegal or improper use of an individual for another person’s profit or advantage, 

including exploitation of person, servitude, etc.

Maltreatment: Neglect The failure of a caregiver or fiduciary to provide the goods or services necessary to 

maintain the health or safety of a person. Includes acts of omission and of commission; 

includes willful deprivation, etc.

Maltreatment: Physical abuse The use of force or violence resulting in bodily injury, physical pain, or impairment. 

Excludes sexual abuse.

Maltreatment: Sexual abuse Non-consensual sexual contact of any kind, including sexual contact with any person 

incapable of giving consent.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-8

Key Indicators Data Element Definitions

Maltreatment: Suspicious death An unexpected fatality or one in which circumstances or cause are medically or legally 

unexplained.

Maltreatment: Self-neglect A person’s inability, due to physical or mental impairment or diminished capacity, to 

perform essential self-care tasks including obtaining essential food, clothing, shelter, 

and medical care; obtaining goods and services necessary to maintain physical health, 

mental health, or general safety; or managing one’s own financial affairs. Includes 

hoarding.

Maltreatment: Other A type of maltreatment not included in the categorizations provided.

Perpetrator A perpetrator in an investigation is a person associated to a substantiated maltreatment.

Perpetrators who had a kinship 

relationship to the victim

Perpetrators related to the victim by affinity (blood, adoption, marriage, etc.)

Perpetrators who had one or more 

associations to victim

Perpetrators with one or more caregiving relationships to the victim.

Perpetrators for whom one or more legal 

remedies on behalf of the victim were 

recommended or sought

Perpetrators for whom at least one legal remedy was recommended or sought.

Table A- 3. Case Component Data Elements

Case Data Element Definitions

Report Date The month, day, and year the agency was notified of the suspected adult maltreatment. This 

is the date that a report of suspected maltreatment was made. If an agency combines several 

reports into one investigation, the Report Date is the date of the earliest report. The 

determination of combining reports into one investigation is per each agency’s policy and 

procedures.

Report Source The role or profession of the person who made the report of the suspected adult 

maltreatment. Multiple report source code values can be submitted for the investigation.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-9

Case Data Element Definitions

Report Source: Substitute decision 

maker

Includes health care proxy, financial proxy, guardian or conservator of person or property, 

representative payee.

Report Source: In-home caregiver Individuals who have the responsibility for the care of the client, providing in-home 

monitoring, management, supervision, etc.

Report Source: Nursing home staff Employees of a nursing home or skilled nursing home, which provide services for residents 

who require medical or nursing care, or rehabilitative services.

Report Source: Residential care 

community staff

Employees of a residential care community including those providing room and board of at 

least 2 meals per day and help with personal care. These places include residential 

communities identified as assisted living residences, board and care homes, congregate care, 

enriched housing programs, personal care homes, homes serving primarily persons with 

disabilities, and homes serving primarily older adults.

Report Source: Education 

professional

Employees of a public or private educational institution or program; includes teachers, 

teacher assistants, administrators, and others directly associated with the delivery of 

educational services.

Report Source: Financial 

professional

Professionals managing finances or planning for future financial needs. Includes bank 

officials, financial planners, etc.

Report Source: Law enforcement, 

judicial, or legal professional

People employed by a local, state, tribal, or federal justice agency. This includes police, 

courts, district attorney's office, probation or other community corrections agency, and 

correctional facilities.

Report Source: Medical or health 

professional

People employed by a medical facility or practice. This includes physicians, physician 

assistants, nurses, emergency medical technicians, dentists, chiropractors, coroners, and 

dental assistants and technicians.

Report Source: Mental and 

behavioral health professional

Persons who offer services for the purpose of improving an individual's mental health or to 

treat mental illness. Includes psychiatric nurses, clinical psychologists, etc.

Report Source: Social services 

professional

Employees of public or private social services or social welfare agency, or other social 

worker or counselor who provides similar services including rehabilitative services.

Report Source: Other professional Persons who encountered the client as part of their occupation. Includes landlords, housing 

authorities, clergy, etc.

Report Source: Relative Persons related by blood, marriage, or adoption. Includes spouse, domestic partner, parent, 

foster parent, child, in-laws, etc.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-10

Case Data Element Definitions

Report Source: Neighbor, friend, 

other nonrelative, other 

nonprofessional

Other individual who is not a professional or person related to client by blood, marriage, or 

adoption. Includes friends, neighbors, etc.

Report Source: Self Person allegedly being maltreated.

State/county FIPS code of 

investigative agency

The Federal Information Processing Series for state (2 digits) and county code (3 digits) of 

the APS agency. (Primary agency responsible for the determination of the investigation) The 

Investigative Agency number may be a regional office or a local office depending upon the 

state APS administrative structure.

Investigation start date The date the investigation is assigned to an investigation worker. If the agency uses another 

date to indicate the start of an investigation, that date is used. Each agency’s policies and 

procedures define the date of an investigation. If an agency has both the date the 

investigation is assigned to an investigation worker and another date that is considered to be 

the start of the investigation, submit the date assigned to the worker.

Investigation disposition date The date that the agency completed dispositions on the allegations of maltreatment 

associated with the investigation. Each agency’s policies and procedures define this date. If 

maltreatment dispositions are associated with different dates, the Investigation Disposition 

Date should be the latest of these dates.

Case closure date The date that the agency completed all activities related to the investigation of the case. Each 

agency’s policies and procedures define the date of case closure. If the state data does not 

include the case closure date, the investigation disposition date may be used in this element.

Maltreatment Setting The location where the alleged maltreatment occurred.

Maltreatment Setting: Own 

residence or private residence of 

relative or caregiver

Client's home or the client's relative or caregiver's home. Includes a house, apartment, 

mobile home or trailer, group of rooms, etc.

Maltreatment Setting: Residential 

care community (non-specific)

Provides room and board of at least two meals per day and help with personal care. Includes 

residential communities identified as assisted living facilities, board and care homes, 

congregate care, enriched housing programs, personal care homes, homes serving primarily 

persons with disabilities, and homes serving primarily older adults.

Maltreatment Setting: Licensed 

residential care community 

Licensed, registered, listed, certified, or otherwise regulated by the state.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-11

Case Data Element Definitions

Maltreatment Setting: Unlicensed 

residential care community

Not licensed, registered, listed, certified, or otherwise regulated by the state.

Maltreatment Setting: Nursing home 

(non-specific)

Nursing home or skilled nursing home that provides services for residents who require 

medical or nursing care, or rehabilitative services.

Maltreatment Setting: Licensed 

nursing home

Licensed, registered, listed, certified, or otherwise regulated by the state.

Maltreatment Setting: Unlicensed 

nursing home

Not licensed, registered, listed, certified, or otherwise regulated by the state.

Maltreatment Setting: Adult day 

services center (non-specific)

Includes adult day care, adult day health services centers. Day care services for adults are 

those services or activities provided to adults who require care and supervision in a 

protective setting for a portion of a 24-hour day.

Maltreatment Setting: Licensed 

adult day services center

Licensed, registered, listed, certified, or otherwise regulated by the state.

Maltreatment Setting: Unlicensed

adult day services center

Not licensed, registered, listed, certified, or otherwise regulated by the state.

Maltreatment Setting: Place of 

business or other services

Includes place of employment, sheltered workshops, hospitals, schools, banks, other offices, 

shelters, places of worship, etc.

Maltreatment Setting: Other A setting not included in categorizations provided, including recreational areas and other 

public spaces.

State/county FIPS code of client The Federal Information Processing Series for state (2 digits) and county code (3 digits) of 

the client’s residence at the start of the investigation.

Case Closure Reason The primary reason why the case was closed.

Case Closure Reason: Investigation 

completed

The case was closed after a finding was made on the allegation of maltreatment, the 

investigation was closed, and no ongoing protective services case was opened.

Case Closure Reason: Investigation 

completed, and protective services 

case completed

The case was closed after the investigation was completed, additional protective services 

were provided, and the protective services case was closed.

Case Closure Reason: Investigation 

unable to be completed (nonspecific)

A finding was not able to be made on the allegations of maltreatment for an unspecified 

reason and the case was closed.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-12

Case Data Element Definitions

Case Closure Reason: Investigation 

unable to be completed due to death 

of client during investigation

The client died during the investigation, the investigation was terminated without a finding, 

and the case was closed.

Case Closure Reason: Investigation 

unable to be completed due to 

refusal of client

The client refused to cooperate with the investigation worker, the investigation was 

terminated without a finding, and the case was closed.

Case Closure Reason: Protective 

services case opened but not 

completed (non-specific)

The protective services case was terminated prematurely; reason not specified.

Case Closure Reason: Protective 

services case closed due to death of 

client

The client died during the case and the case was closed.

Case Closure Reason: Protective 

services case closed due to client 

decision to not continue

The client decided not to continue work with the protective services agency, and the case 

was closed.

Case Closure Reason: Other Case was closed for a reason not included in the categorizations provided.

Age The age of the client/perpetrator in years (at investigation start date). The Client/Perpetrator 

Age is computed by subtracting the client/perpetrator's Date of Birth from the Investigation 

Start Date. If the age ranges between 18 and 74, the actual age is used. Ages of 17 or 

younger are grouped and coded as 17. Ages of 75 through 84 inclusive are grouped and 

coded as 75. Ages of 85 or older are grouped and coded as 85. The reason for the grouping 

of older ages is to further protect the possible identification of the younger or older cohort 

population.

Gender Identity The actual or perceived gender-related characteristics of the client/perpetrator.

Gender Identity: Male Male gender assigned at birth matches one's gender identity of male.

Gender Identity: Female Female gender assigned at birth matches one's gender identity of female.

Gender Identity: Transgender Gender identity, gender expression, and biological sex do not all align (e.g. man, masculine, 

and male).

Sexual Orientation The client/perpetrator’s enduring pattern of or disposition to experience sexual or romantic 

desires for, and relationships with, people of one’s same sex, the other sex, or both sexes.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-13

Case Data Element Definitions

Sexual Orientation: Straight Sexual or romantic attractions and behaviors focus exclusively or mainly on members of the 

other sex.

Sexual Orientation: Gay/lesbian Sexual or romantic attractions and behaviors focus exclusively or mainly on members of the 

same sex.

Sexual Orientation: Bisexual Sexual or romantic attractions and behaviors are directed at members of both sexes to a 

significant degree.

Sexual Orientation: Questioning Exploring one's own sexual orientation, investigating influences that may come from family, 

religious upbringing, and internal motivations.

Sexual Orientation: Other A sexual orientation not included in the categorizations provided.

Race The population(s) or group(s) that the client/perpetrator identifies as being a member. A 

client/perpetrator may have more than one race (multi-racial). For example, a 

client/perpetrator is Asian and White, the client/perpetrator should be reported with both race 

values. If specific races cannot be identified for a multiracial client, the client/perpetrator is 

reported as “Other”.

Race: American Indian or Alaska 

Native

Having origins in any of the original peoples of North and South America (including Central 

America), and who maintains tribal affiliation or community attachment.

Race: Asian Having origins in any of the original peoples of the Far East, Southeast Asia, or the Indian 

subcontinent, including, for example, Cambodia, China, India, Japan, Korea, Malaysia, 

Pakistan, the Philippine Islands, Thailand, and Vietnam.

Race: Black or African American Having origins in any of the black racial groups of Africa.

Race: Native Hawaiian or Other 

Pacific Islander 

Having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific 

Islands.

Race: White Having origins in any of the original peoples of Europe, the Middle East, or North Africa.

Race: Other Having origins not included in the categorizations provided. 

Ethnicity The affiliation of the client/perpetrator as Hispanic or Latino/a or non-Hispanic or Latino/a. 

Marital Status The client’s status based on state residency laws.

Marital Status: Never married Refers to persons who report themselves as never married.

Marital Status: Married Refers to persons who are currently legally married.

Marital Status: Domestic partner, 

including civil union

In a committed relationship with another adult, including both same sex and opposite-sex 

relationships

Marital Status: Divorced Refers to those whose marriages were legally dissolved.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-14

Case Data Element Definitions

Marital Status: Separated A termination of cohabitation of spouses either by mutual agreement or, in the case of 

judicial separation, under the decree of a court.

Marital Status: Widowed Refers to those whose marriages were terminated through death of their spouse and have not 

remarried.

Marital Status: Other A marital status not included in the categorizations provided.

Schooling Level The highest educational degree attained by the client.

Schooling Level: Less than high 

school

Did not receive a high school diploma or equivalent, such as GED.

Schooling Level: High school 

diploma or equivalent

Received high school diploma or equivalent, such as GED.

Schooling Level: Associate’s degree 

or bachelor’s degree

Associate's degree: granted after a two-year course of study, especially by a community or 

junior college. 

Bachelor's degree: earned for an undergraduate course of study that nominally requires three 

to five years of study, depending on institution and field of study.

Schooling Level: Advanced degree A postgraduate degree, such as a master's degree or a doctorate.

Employment Status: The involvement of the client in the labor force. If client is retired but also employed, use 

code “Employed”. If client is participating in sheltered workshops or work centers for subminimum wages, use code value “Other”.

Employment Status: Employed Persons who are working or temporarily not working due to illness or other reasons.

Employment Status: Unemployed Persons who are not employed and actively looking for work and available to start a job.

Employment Status: Not in labor 

force

Students, homemakers, retired workers, seasonal workers not looking for work, persons 

residing in institutions, persons doing only incidental unpaid family work.

Employment Status: Other Employment status not included in the categorizations provided. Includes sheltered 

workshop participants.

Income level The level of annual income of the client including all sources of income.

Benefits The federal and state benefits received by the client during the investigation. Multiple benefit 

code values can be submitted for the client.

Benefits: Medicaid The United States Medicaid program provides health coverage to persons including eligible 

low-income adults, children, pregnant women, elderly adults, and people with disabilities.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-15

Case Data Element Definitions

Benefits: Medicare The United States Medicare program is a health insurance program for people age 65 and 

older, people under age 65 with certain disabilities, and people of all ages with End-Stage 

Renal Disease (permanent kidney failure requiring dialysis or a kidney transplant).

Benefits: Publicly-subsidized 

housing

Government sponsored economic assistance aimed toward alleviating housing costs and 

expenses for people in need with low to moderate incomes. Includes direct housing 

subsidies, non-profit housing, rent supplements, and some forms of co-operative and private 

sector housing.

Benefits: Social Security Disability 

Insurance (SSDI)

SSDI provides benefits to disabled or blind persons who are “insured” by workers’ 

contributions to the Social Security trust fund.

Benefits: Social Security retirement 

benefits

Benefits received by retired workers who have paid into the Social Security system during 

their working years. Paid out on a monthly basis to retired workers and their surviving 

spouses.

Benefits: Supplemental Security 

Income (SSI)

SSI makes cash assistance payments to aged, blind, and disabled persons (including 

children) who have limited income and resources.

Benefits: Temporary Assistance for 

Needy Families (TANF)

Temporary financial assistance through TANF program, which helps pregnant women and 

families with one or more dependent children pay for food, shelter, utilities, and expenses 

other than medical.

Benefits: Veterans’ disabled benefits Disability compensation paid to Veterans because of injuries or diseases that were incurred 

in or aggravated during active duty, active duty training, or inactive duty training.

Benefits: Other Public benefit other than those specified in the categorizations provided.

Veteran Status The client’s status related to the US Armed Forces.

Veteran Status: Veteran Person who has served in the United States Armed Forces or is otherwise classified as a 

veteran by the United States Department of Veteran Affairs.

Veteran Status: Non-veteran Person who has not served in the United States Armed Forces or is otherwise not classified 

as a veteran by the United States Department of Veteran Affairs.

Disabilities The client/perpetrator’s physical, emotional, and mental health issues that result in limitation 

in activities and restrictions to fully participate at school, work, or in the community. 

Multiple disability code values can be submitted for the client/perpetrator.

Disabilities: Ambulatory difficulty Having serious difficulty walking or climbing stairs.

Disabilities: Cognitive difficulty Because of a physical, mental, or emotional problem, having difficulty remembering, 

concentrating, or making decisions.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-16

Case Data Element Definitions

Disabilities: Communication 

difficulty

Because of a physical, mental, or emotional problem, having difficulty with speech or 

language.

Disabilities: Hearing difficulty Deaf or having serious difficulty hearing.

Disabilities: Independent living 

difficulty

Because of a physical, mental, or emotional problem, having difficulty doing errands alone 

such as visiting a doctor’s office or shopping.

Disabilities: Self-care difficulty Having difficulty bathing or dressing.

Disabilities: Vision difficulty Blind or having serious difficulty seeing, even when wearing glasses.

Disabilities: Other Disabilities other than those specified in the categorizations provided.

ADL score The client’s score on the Katz Index of Independence in Activities of Daily Living (ADL).

IADL score The client’s score on the Lawton Instrumental Activities of Daily Living (IADL).

Behavioral Health Screenings or 

Diagnoses

The results of assessments on the client/perpetrator, conducted by the APS agency. Multiple 

behavioral health code values can be submitted for the client/perpetrator. APS staff may 

perform assessments or screenings which indicate that a client/perpetrator may need referral 

to a health care professional. These assessments/screenings may be indicated by choosing 

the appropriate code values. In addition, APS staff may have access to medical records 

indicating a client/perpetrator's diagnoses and if so choose appropriate code values.

Behavioral Health Screenings or 

Diagnoses: Alcohol use disorder

The consumption of alcohol that impacts the ability to conduct daily activities including 

quantity and frequency of alcohol consumption as well as feelings of not being able to stop 

drinking, of remorse about drinking, not being able to remember due to drinking, needing a 

drink early in the day, etc. Screening tools, such as the Alcohol Use Disorders Identification 

Test (AUDIT) or others, may be used. Diagnosis depends upon clinical training.

Behavioral Health Screenings or 

Diagnoses: Anxiety

An affective disorder that makes it difficult to conduct daily activities including feelings of 

nervousness, not being able to stop or control worrying, worrying too much about different 

things, being restless so it is hard to sit still, becoming easily annoyed or irritable and feeling 

afraid. Screening tools, such as the Generalized Anxiety Disorder 7 Item Scale (GAD-7) or 

others, may be used. Diagnosis depends upon clinical training.

Behavioral Health Screenings or 

Diagnoses: Bipolar disorder

A mood disorder characterized by alternating moods of mania and depression which can last 

for long periods of time and which may impact the ability to plan, schedule, and complete 

daily activities. Screening tools, such as the Mood Disorder Questionnaire or others, may be 

used. Diagnosis depends upon clinical training.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-17

Case Data Element Definitions

Behavioral Health Screenings or 

Diagnoses: Dementia

The progressive decline of cognitive ability which impacts daily activities. Alzheimer’s is 

one type of dementia. Dementia may be associated with memory loss, difficulty performing 

familiar tasks, problems with language, disorientation to time and place, poor or decreased 

judgment, problems with abstract thinking, loss of initiative and changes in personality, 

mood, or behavior. Screening tools, such as the Alzheimer’s Association Ten Warning 

Signs or others, may be used. Diagnosis depends upon clinical training.

Behavioral Health Screenings or 

Diagnoses: Depression

A loss of interest in daily activities including feelings of hopelessness, little energy, poor 

appetite or overeating, feeling bad about oneself, trouble concentrating and thoughts of 

suicide. Screening tools, such as the Patient Health Questionnaire (PHQ-9) or others, may 

be used. Diagnosis depends upon clinical training.

Behavioral Health Screenings or 

Diagnoses: Schizophrenia and other 

psychotic disorders

An affective disorder characterized by having delusions and hallucinations that may impact 

daily activities by causing difficulties in interacting with others. Screening tools, such as the 

Schizophrenia Test and Early Psychosis Indicator (STEP1) or others, may be used. 

Diagnosis depends upon clinical training.

Behavioral Health Screenings or 

Diagnoses: Substance use disorder

The use of drugs, including over the counter drugs, prescriptions drugs, cannabis (marijuana, 

hashish), solvents, tranquilizers, barbiturates, cocaine, stimulants, hallucinogens or narcotics 

that impact the ability to conduct daily activities including the quantity and frequency of use 

of such drugs, and feelings of being unable to stop when wanting to, of guilt or being 

neglectful, of withdrawal symptoms or having blackouts or flashbacks due to drug usage. 

Screening tools, such as the Drug Abuse Screening Test (DAST 10) or others, may be used. 

Diagnosis depends upon clinical training.

Behavioral Health Screenings or 

Diagnoses: Traumatic brain injury

The result of a violent blow or injury to the head. Physical damage to the brain may result in 

long term complications that impact daily activities due to difficulties in sleeping, dizziness, 

vision, memory concentration, and mood changes. Screening tool is usually the result of 

self-reporting of the injury or symptoms. Diagnosis depends upon clinical training.

Behavioral Health Screenings or 

Diagnoses: Other

Behavioral conditions not included in the value list of behavioral health that are due to brain 

damage, disease or unknown causes which impact the ability to conduct daily activities. 

Examples include amnesia, delirium, behavioral syndromes such as eating disorders, sleep 

disorders, and other personality disorders. Screening may use a range of tools. Diagnosis 

depends upon clinical training.

Living Setting at Start/Close The primary residential environment of the client at the start/close of investigation.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-18

Case Data Element Definitions

Living Setting: Own residence or 

residence of relative or caregiver

Client's home or the client's relative or caregiver's home. Includes a house, apartment, 

mobile home or trailer, group of rooms, etc.

Living Setting: Residential care 

community (non-specific)

Provides room and board of at least two meals per day and help with personal care. Includes 

residential communities identified as assisted living residences, board and care homes, 

congregate care, enriched housing programs, personal care homes, homes serving primarily 

persons with disabilities, and homes serving primarily older adults.

Living Setting: Licensed residential 

care community 

Licensed, registered, listed, certified, or otherwise regulated by the state.

Living Setting: Non-licensed 

residential care community

Not licensed, registered, listed, certified, or otherwise regulated by the state.

Living Setting: Nursing home (nonspecific)Nursing home or skilled nursing home that provides services for residents who require 

medical or nursing care, or rehabilitative services.

Living Setting: Licensed nursing 

home

Licensed, registered, listed, certified, or otherwise regulated by the state.

Living Setting: Non-licensed 

nursing home

Not licensed, registered, listed, certified, or otherwise regulated by the state.

Living Setting: Other A setting not included in categorizations provided, including shelters, correctional facilities, 

or no fixed residence.

Substitute Decision Makers at 

Start/Close

The authorizations that are in effect related to health, personal, or financial decision making 

for the client at the start/close of the investigation. Multiple substitute decision maker code 

values can be submitted for the client.

Substitute Decision Makers at 

Start/Close: Health care proxy in 

effect

The appointment of a person to communicate the clients’ wishes as to medical treatment in 

terminal illness or injury situations and to communicate for them in the event they cannot 

communicate for themselves. A document also known as a durable power of attorney for 

health care, medical power of attorney, or appointment of a healthcare agent, allows an 

individual to appoint another person (a proxy or agent) to express the individual’s wishes 

and make health care decisions for the individual if he or she cannot speak for him or herself. 

Depending on the state, these documents are known as living wills, medical directives, 

health care proxies, or advance health care directives.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-19

Case Data Element Definitions

Substitute Decision Makers at 

Start/Close: Financial proxy in 

effect

Authorization, by a written document, that one individual may act in another’s place as agent 

or attorney-in-fact with respect to some or all legal and financial matters. The scope of 

authority granted is specified in the document and may be limited by state statute. A power 

of attorney terminates on the death of the person granting the power (unless “coupled with 

an interest”) and may terminate on the subsequent disability of the person granting the power 

(unless the power is “durable” under the instrument or state law).

Substitute Decision Makers at 

Start/Close: Guardianship or 

conservatorship (non-specific)

A relationship created by state law in which a court determines that an adult individual lacks 

capacity to make decisions about self-care or property, and appoints another individual or 

entity as a conservator, or by a similar term, as a surrogate decision maker. It becomes the 

duty and power of that individual to make personal and/or property decisions for another.

Substitute Decision Makers at 

Start/Close: Guardianship or 

conservatorship of person

If the individual has a critical need for someone to act on their behalf due to mental or 

physical disability.

Substitute Decision Makers at 

Start/Close: Guardianship or 

conservatorship of property

(Or Estate): if the person is incapable of managing his or her own financial affairs.

Substitute Decision Makers at 

Start/Close: Representative payee

An individual or organization appointed by SSA to receive Social Security and/or SSI 

benefits for someone who cannot manage or direct someone else to manage his or her 

money. The main responsibilities of a payee are to use the benefits to pay for the current and 

foreseeable needs of the beneficiary and properly save any benefits not needed to meet 

current needs. A payee must also keep records of expenses. When SSA requests a report, a 

payee must provide an accounting to SSA of how benefits were used or saved.

Services at Start The services known to the agency that the client was already receiving at the start of the 

investigation. Multiple service code values can be submitted for the client.

Services APS The services that the agency provided on behalf of the client during the investigation or 

while the agency kept an open case. Multiple service code values can be submitted for the 

client.

Services Referred The services for which the agency referred the client. Multiple services code values can be 

submitted for the client.

Services at Close The services known to the agency that the client was receiving at the time of case closure. 

Multiple services code values can be submitted for the client.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-20

Case Data Element Definitions

Services: Care/case management 

services

Development and implementation of a service plan to mobilize the formal and informal 

resources and services identified in the assessment to meet the needs of the client. Includes 

the development and oversight of a plan to ensure the safety and well-being of the client; 

developing a safety plan with a person’s support network; referring and arranging support 

services, etc.

Services: Caregiver support services Assistance to family and other informal caregivers to improve or sustain capacity for caring 

for the older adult or adult with disabilities. Includes counseling, support groups, training, 

respite, etc.

Services: Community day services Services or activities provided to adults who require care and supervision in a protective 

setting for a portion of a 24-hour day. Includes out of home supervision, health care, 

recreation, and/or independent living skills training offered in centers most commonly 

known as Adult Day, Adult Day Health, Senior Centers, and Disability Day Programs.

Services: Education, employment, 

and training services

Services and activities to assist people in achieving or maintaining economic self-support. 

Includes training programs, job coaches, supported employment, senior employment 

programs, and public school individualized education plans.

Services: Emergency assistance and 

material aid services

Providing, arranging for, or facilitating the provision of medical, social service, economic, 

emergency, or support services. Includes financial assistance or referral for food, clothing, 

energy/utility assistance, and home repairs/modifications; environmental clean-up of client’s 

home including but not limited to removal of trash, extermination services and cleaning; 

relocation assistance; urgent medical expenses not typically covered by insurance (eye 

glasses, dentures); emergency housing/shelter; etc.

Services: Financial planning 

services

Services or activities to assist in managing finances or planning for future financial needs. 

Includes meeting with bank officials, financial planning, estate planning, money 

management, and retirement income planning.

Services: Housing and relocation 

services

Services or activities designed to assist in the obtaining of suitable or safe housing and living 

arrangements. Includes tenant counseling; helping to identify and correct substandard 

housing conditions; making moving arrangements and minor renovations to personal 

residence; and relocating to institutional care or facility care.

Services: In-home assistance 

services

Services or activities provided to clients to achieve or maintain self-sufficiency. Includes 

homemakers and home health aides; visiting and telephone reassurance; chore maintenance; 

personal care services, etc.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-21

Case Data Element Definitions

Services: Legal services Legal counsel and representation provided by an attorney to address civil matters such as 

housing issues and advance care planning, and criminal matters.

Services: Medical and dental 

services

Services and activities designed to assist individuals and families to attain and maintain a 

favorable condition of health; includes evaluations.

Services: Medical rehabilitation 

services

Services and activities for persons with developmental or physical disabilities, or persons 

with visual or auditory impairments, are services or activities to maximize the potential of 

persons with disabilities, help alleviate the effects of physical, mental or emotional 

disabilities, and to enable these persons to live in the least restrictive environment possible. 

Includes training in mobility, communication skills, the use of special aids and appliances, 

self-sufficiency skills for people with disabilities, occupational therapy, physical therapy, 

speech and language pathology, early intervention and other therapies that help people learn 

the skills they need to live, learn, work and play in their communities.

Services: Mental health services Services and activities, including commitment, assessment, and evaluations, for people with 

behavioral health conditions characterized by dysregulation of mood, thought, and/or 

behavior, as recognized by the DSM-5. Includes services and activities that apply therapeutic 

processes to personal, family, situational, or occupational problems in order to bring about a 

positive resolution of the problem or improved individual or family functioning or 

circumstances.

Services: Nutrition services Services and activities, including appeals and applications, to provide food to a client lacking 

recommended daily nutritional requirements and/or Activities of Daily Living (ADL) 

limitations. Includes home delivered meals, nutritional counseling, congregate meals, senior 

farmers’ market program, etc.

Services: Public assistance benefits Services and assistance to provide a safety net for disadvantaged individuals who lack the 

resources to provide basic necessities for themselves and their families. Includes such 

programs as financial aid (TANF), nutrition (SNAP), energy assistance (LIHEAP), health 

care (Medicaid), etc.

Services: Substance use services Services and activities primarily designed to deter, reduce, or eliminate substance abuse or 

chemical dependence. Includes a comprehensive range of personal and family counseling 

methods, methadone treatment for opiate abusers, or detoxification treatment for alcohol 

abusers. Services and activities may be provided in alternative living arrangements such as 

institutional settings and community-based halfway houses.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-22

Case Data Element Definitions

Services: Transportation services Services or activities that provide or arrange for the travel, including travel costs, of 

individuals in order to access services, or obtain medical care or employment.

Services: Victim services Services and activities provided to, or on behalf of, victims at any stage of the criminal 

justice process, including post sentencing services and support. Includes programs 

supporting victims of domestic violence, sexual assault, abuse of older women, violence 

against women, and general crimes which are being handled by the police or prosecutors’ 

offices.

Services: Other services Client receives services and activities not included in the categorizations provided.

Interagency Coordination The agencies to which the client was referred. Multiple interagency coordination code values

can be submitted for the client.

Interagency Coordination: Law 

enforcement or prosecutorial offices

Agencies responsible for enforcing laws and maintaining public order and safety, including 

government units staffed by police, sheriffs, district attorneys, etc.

Interagency Coordination: 

Protection and Advocacy or Client 

Advocacy Program (CAP)

Agencies under the Protection and Advocacy for Persons with Mental Illness Act that have 

the authority to provide legal representation and other advocacy services, under all federal 

and state laws, to all people with disabilities, along with those agencies that provide 

information and assistance to individuals seeking or receiving vocational rehabilitation 

services under the Rehabilitation Act.

Interagency Coordination: State 

licensing agency

Government units responsible for the licensing of facilities and agencies serving older adults 

and adults with disabilities.

Interagency Coordination: State 

Medicaid Fraud Control Unit 

(MFCU) 

State agencies that investigate and prosecute Medicaid fraud as well as patient abuse and 

neglect in health care facilities.

Interagency Coordination: LongTerm Care Ombudsman ProgramState program that addresses complaints and advocates for people in the long-term care 

system.

Interagency Coordination: Other Client was referred to a type of agency not included in the categorizations provided.

Previous Report The indication that the agency has information that the client was the subject of a previous 

report.

Maltreatment Disposition The disposition of the alleged maltreatment.

Maltreatment Disposition: 

Substantiated

The finding that the allegation of maltreatment is supported under state law and policy.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-23

Case Data Element Definitions

Maltreatment Disposition: 

Inconclusive

The finding that there is insufficient information to either support or not support the 

allegation of maltreatment, but there is a reason to suspect maltreatment.

Maltreatment Disposition: 

Unsubstantiated

The finding that the allegation of maltreatment is not supported under state law and policy.

Maltreatment Disposition: Other Disposition not included in categorizations provided. Includes inappropriate allegations that 

were investigated.

Cohabitation at Start/Close The indication if the perpetrator and client are cohabitating at the start/close of the 

investigation.

Kinship Relationship The indication if the perpetrator is related to the client by affinity (blood, adoption, marriage, 

etc.).

Kinship Relationship: Yes (nonspecific)Kinship relationship exists

Kinship Relationship: Spouse Partner in a marriage

Kinship Relationship: Domestic 

partner, including civil union

Adults in a committed relationship with another adult, including both same sex and oppositesex relationships

Kinship Relationship: Parent The birth mother or father, adoptive mother or father, or stepmother or stepfather of the 

client.

Kinship Relationship: Child Biological son or daughter, adoptive son or daughter, or step-son or daughter

Kinship Relationship: Sibling Children or offspring have one or both parents in common; a brother or sister (by blood, 

adoption, marriage)

Kinship Relationship: Grandparent Parent of one's father or mother; a grandmother or grandfather (by blood, adoption, 

marriage)

Kinship Relationship: Grandchild A child of one's son or daughter (by blood, adoption, marriage)

Kinship Relationship: Other relative Another family member, including in-laws and kinship foster parents

Perpetrator Association at 

Start/Close

The indication if the perpetrator has a caregiving relationship to the client at the start/close of 

the investigation.

Perpetrator Association at 

Start/Close: Nursing home staff

An employee of a nursing home, including a skilled nursing home. Nursing homes primarily 

provide skilled nursing, rehabilitation, and long term care.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-24

Case Data Element Definitions

Perpetrator Association at 

Start/Close: Residential care 

community staff

An employee of a residential care community including those providing room and board of 

at least 2 meals per day and help with personal care. These places include residential 

communities identified as assisted living residences, board and care homes, congregate care, 

enriched housing programs, personal care homes, homes serving primarily persons with 

disabilities, and homes serving primarily older adults.

Perpetrator Association at 

Start/Close: Relative caregiver (nonspecific)

An individual related to the client by blood, adoption, marriage, etc. who has the 

responsibility for the care of the client, providing in-home monitoring, management, 

supervision, etc.

Perpetrator Association at 

Start/Close: Paid relative caregiver

An individual related to the client by blood, adoption, marriage, etc. who has the 

responsibility for the care of the client, and receives payment for providing in-home 

monitoring, management, supervision, etc.

Perpetrator Association at 

Start/Close: Unpaid relative 

caregiver

An individual related to the client by blood, adoption, marriage, etc. who has the 

responsibility for the care of the client, and does not receive payment for providing in-home 

monitoring, management, supervision, etc.

Perpetrator Association at 

Start/Close: Nonrelative caregiver 

(non-specific)

An individual not related to the client by blood, adoption, marriage, etc. who has the 

responsibility for the care of the client, providing in-home monitoring, management, 

supervision, etc.

Perpetrator Association at 

Start/Close: Paid nonrelative 

caregiver

An individual not related to the client by blood, adoption, marriage, etc. who has the 

responsibility for the care of the client, and receives payment for providing in-home 

monitoring, management, supervision, etc.

Perpetrator Association at 

Start/Close: Unpaid nonrelative 

caregiver

An individual not related to the client by blood, adoption, marriage, etc. who has the 

responsibility for the care of the client, and does not receive payment for providing in-home 

monitoring, management, supervision, etc.

Perpetrator Association at 

Start/Close: Other relationship

Another trusted person providing care, not included in the categorizations provided.

Perpetrator Legal Remedy 

Recommendation

The legal remedies that were recommended or sought by the APS agency regarding the 

status of the perpetrator. Multiple legal remedy recommendation code values can be 

submitted for the client perpetrator relationship.
NAMRS FFY2016 Appendix A: Data Element and Value Definitions A-25

Case Data Element Definitions

Legal Remedy: Removal of 

guardianship rights

The termination of a relationship, created by state law and determined by a court, in which 

an individual or entity acts as a conservator, or by a similar term, as a surrogate decision 

maker for another person who lacks capacity to make decisions about self-care or property. 

The individual no longer has duty and power to make personal and/or property decisions for 

the other.

Legal Remedy: Restraining order on 

perpetrator regarding the client

A court order issued to prohibit an individual from carrying out a particular action, 

especially approaching or contacting a specified person.

Legal Remedy: Eviction of 

perpetrator

The act of expelling someone, usually a tenant, from a property.

Legal Remedy: Restitution by

perpetrator

Compensation paid to client by perpetrator for the losses or injuries incurred as a result of a 

criminal offense.

Legal Remedy: Other legal remedy Legal remedy recommendations not included in the categorizations provided.
NAMRS FFY2016 Appendix B: Laws, Rules, Regulations, and Guidance Sources B-1

Appendix B: Laws, Rules, Regulations, and Guidance 

Sources 

Laws, Rules, Regulations, and Guidance sources’ website addresses mentioned in NAMRS 

FFY 2016 Reports

Federal Laws

“Older Americans Act,” congress.gov, last reauthorized 2016, https://www.congress.gov/

“Social Security Act,” congress.gov, last modified 2016, https://www.congress.gov/

“Elder Justice Act,” congress.gov, 2009, https://www.congress.gov/

Federal Agency Rules, Regulations, and Guidance

U.S. Office of Management and Budget, 1997 approval memorandum for data collected by U.S. 

Census Bureau, https://www.whitehouse.gov/omb

U.S. Census American Community Survey, https://www.census.gov/programs-surveys/acs/

U.S. Department of Health and Human Services, Assistant Secretary for Planning and Evaluation, 

publications, https://aspe.hhs.gov/reports

U.S. Department of Health and Human Services, Administration for Community Living, 

https://www.acl.gov/programs

U.S. Department of Health and Human Services, Centers for Disease Control, 

https://www.cdc.gov/datastatistics/index.html

U.S. Department of Housing and Urban Development, 

https://portal.hud.gov/hudportal/HUD?src=/topics

U.S. Department of Justice, https://www.justice.gov/publications

U.S. Veterans Administration, https://www.benefits.va.gov/benefits/

U.S. Department of Justice Bureau of Justice Statistics, https://www.bjs.gov/

National Organizations

ABA Commission on Law and Aging: https://www.americanbar.org/groups/law_aging.html

American Psychiatric Association Diagnostic and Statistical Manual of Mental Disorders, 

https://www.psychiatry.org/psychiatrists/practice/dsm
Appendix C: Agency Component Data Specifications C-1

Appendix C: Agency Component Data Specifications

The Agency Component includes agency information such as agency name, addresses, and contact 

information. The Agency Component data are entered directly on to an online form on the NAMRS 

website. The Agency Component collects information on the policies and practices of each state 

APS agency as context for understanding the Case Component or the Key Indicators Component 

submission. The reporting period is the Federal Fiscal Year (FFY), October 1st– September 30th. 

While all data elements pertain to the reporting period for the annual data collection, the 

information in some elements may not change each year. Data topics include the following:

 Data sources—sources of information used to submit data

 Population served—characteristics of the population served 

 Staffing—number of filled investigator and supervisor ftes 

 Intake processes—centralized, local or regional, combination 

 Referrals—number of reports accepted for investigation; not accepted, or resolved through 

information and referral (i&r) or information and referral/assistance (i&ra) 

 Response time—amount of time from receipt of call or notice of alleged maltreatment to 

contact with client, based on standard 

 Completion of investigation—amount of time for aps to complete investigations, based on 

standard 

 Types of maltreatment—state definitions or statutory references for definitions 

 Standard of evidence—legal criteria for substantiating maltreatment 

 Assessment tools—uses statewide standardized tools for investigation 

 Service gaps—client services that are not available 

 Perpetrators—whether or not the agency collects person-specific data on perpetrators 

Each data topic includes a comment field that allows States to submit additional explanatory 

information on each item as needed. 

Additional information on terms used in NAMRS is available in the NAMRS Code Values and 

Definitions document. 

A web-based form that contains fields for all the data points in the Agency Component will be 

available on the NAMRS Website, as of October 1, 2016. The user can fill out the form, save the 

data, and return later to work on it as needed. Basic data type and required field validation will 

take place when the form is saved. If there are any errors, the user will be prompted to fix the 

errors. The NAMRS Technical Assistance Team is available if assistance is needed.
Appendix C: Agency Component Data Specifications C-2

Table C- 1. Agency Component Data Specifications: General Information

Element 

No.

Element 

Name Element Description Required

Field Entry 

Format

Agency 

1.1 

Agency 

Name 1 

Department or agency name Yes Text - 100 

characters 

Agency 

1.2 

Agency 

Name 2 

Branch or unit name No Text - 100 

characters 

Agency 

2.1 

Street 1 First line street address of agency 

physical address 

Yes Text - 100 

characters 

Agency 

2.2 

Street 2 Second line street address of agency 

physical address

No Text - 100 

characters 

Agency 

2.3 

City City of agency physical address Yes Text - 100 

characters 

Agency 

2.4 

State State of agency physical address Yes Select from 

list 

Agency 

2.5 

ZIP ZIP of agency physical address Yes ##### or 

#####-#### 

Agency 

3.1 

Street 1 First line street address of agency 

mailing address 

Yes Text - 100 

characters 

Agency 

3.2 

Street 2 Second line street address of agency 

physical address 

No Text - 100 

characters 

Agency 

3.3 

City City of agency physical address Yes Text - 100 

characters 

Agency 

3.4 

State State of agency physical address Yes Select from 

list 

Agency 

3.5 

ZIP ZIP of agency physical address Yes ##### or 

#####-#### 

Agency 

4.1 

Name Contact name Yes Text - 100 

characters 

Agency 

4.2 

Title Contact title Yes Text - 100 

characters 

Agency 

4.3 

E-mail Contact e-mail Yes E-mail 

address 

format 

Agency 

4.4 

Phone Contact telephone Yes Text - 50 

characters 
Appendix C: Agency Component Data Specifications C-3

Element 

No.

Element 

Name Element Description Required

Field Entry 

Format

Agency 

4.5 

Contact’s 

role in 

agency 

Contact’s role in agency 

Selection List: 

• Case manager 

• Data coordinator/manager 

• Field coordinator 

• Intake manager/supervisor 

• Investigator 

• IT/data specialist 

• Manager/director/supervisor 

• Policy specialist 

• Regional supervisor 

• Social worker 

• Training coordinator/specialist 

No Select one 

from list 

Table C- 2. Agency Component Data Specifications: Agency Profile

Element 

No. Element Name Element Description Required

Field 

Entry 

Format

Agency 

5 

Data Sources The sources of information used to 

submit data this year to NAMRS. 

Selection List: 

• APS agency only 

• APS and other agencies 

No Select one 

from list 

Agency 

5.1 

Comment Provide names of other agencies that 

provided data. 

No Text –

5,000 

characters 

Agency 

6 

Population 

Served 

Provide a brief description of the 

characteristics of the population, 

including age, living arrangement, 

vulnerability, etc. whom APS is 

mandated to serve. Provide the citation 

in state statute or regulation, or agency 

policy. 

No Text –

5,000 

characters
Appendix C: Agency Component Data Specifications C-4

Element 

No. Element Name Element Description Required

Field 

Entry 

Format

Agency 

6.1 

Population 

served: setting 

If your agency investigates allegations 

in residential care communities and/or 

nursing homes, please indicate 

whether or not your agency would 

conduct an investigation if the 

allegation does not pertain to a specific 

resident, but rather to the residents in 

general. 

No Text –

5,000 

characters 

Agency 

7 

Investigator 

FTEs filled 

Number of filled APS FTEs 

responsible for the hotline and/or 

conducting investigations. 

No Numeric –

10 integers 

Agency 

7.1 

Supervisor 

FTEs filled 

Number of filled APS FTEs 

responsible for supervision. 

No Numeric –

10 integers 

Agency 

7.2 

Comment Provide additional information as to 

whether the numbers in 7 and 7.1 

were the annual total or total for a 

given day. 

No Text –

5,000 

characters 

Agency 

8

Intake Centralized or localized intake of APS 

reports. 

Selection List:

• Centralized at a statewide hotline 

or call in number 

• Combination of both statewide 

and local hotlines or call in 

numbers

• Local at county or regional 

hotlines or call in numbers

• Other

No Select one 

from list

Agency 

8.1 

Comment Provide additional information on your 

state’s definition of intake. 

No Text –

5,000 

characters 

Agency 

9 

Reports 

Accepted for 

Investigation 

Number of reports accepted for 

investigation during the reporting 

period. 

No Numeric –

10 integers 

Agency 

9.1 

Reports Not 

Accepted, or 

Resolved 

Through 

I&R/I&RA 

Number of reports that were either not 

accepted by APS for investigation or

were resolved through Information 

and Referral (I&R) / Information and 

Referral Assistance (I&RA). 

No Numeric –

10 integers 
Appendix C: Agency Component Data Specifications C-5

Element 

No. Element Name Element Description Required

Field 

Entry 

Format

Agency 

9.2 

Comment Please confirm that the sum of 9 and 

9.1 is the total number of 

investigations received during the 

reporting period. Please provide 

additional information regarding 

policy for accepting reports and not 

accepting reports, or resolving through 

I&R/I&RA. 

No Text –

5,000 

characters 

Agency 

10

Response Time 

in Hours

The length of time (hours) from 

receipt of call or notice of alleged 

maltreatment to face-to-face contact 

with the client by the APS worker, 

based on the standard set by policy or 

practice.

No Numeric –

3 integers

Agency 

10.1

Comment Provide additional information on the 

definition of response time to 

allegations of maltreatment. If 

different types of allegations are given 

different priorities in terms of response 

time, please provide additional 

information.

No Text –

5,000 

characters

Agency 

11

Investigation 

Completion 

Time in Days

The length of time (days) from 

investigation start to investigation 

completion, based on the standard set 

by policy or practice.

No Numeric –

3 integers

Agency 

11.1

Comment Provide additional information on the 

definition of start of investigation and 

completion of an investigation. 

No Text –

5,000 

characters
Appendix C: Agency Component Data Specifications C-6

Element 

No. Element Name Element Description Required

Field 

Entry 

Format

Agency 

12

Types of 

Maltreatment

Indicate which types of maltreatment 

are investigated by APS.

Selection List:

• Abandonment

• Emotional abuse

• Exploitation (non-specific)

• Financial exploitation

• Other exploitation

• Neglect

• Physical abuse

• Sexual abuse

• Suspicious death

• Self-neglect

• Other

No Select one 

or more 

from list

Agency 

12.1 

Comment Provide citation or URL in state law, 

regulations, or program guidance for 

maltreatment types investigated by 

APS. 

No Text –

5,000 

characters

Agency 

13

Standard of 

Evidence

Standard used for substantiating an 

allegation of maltreatment.

Selection List:

• Clear and convincing

• Credible, reasonable, or probable 

cause

• Different standards based on type 

of perpetrator

• No state standard

• Preponderance

• Other

No Select one 

form list

Agency 

13.1

Comment Provide citation or URL of state law, 

regulations, or program guidance. 

Include discussion of definitions of 

perpetrator if relevant.

No Text –

5,000 

characters
Appendix C: Agency Component Data Specifications C-7

Element 

No. Element Name Element Description Required

Field 

Entry 

Format

Agency 

14

Assessment 

Tools

Indicate whether APS personnel use 

standard assessment tools throughout 

the state, such as client safety, at risk 

factors, or behavioral conditions.

Selection List:

• No, assessment instruments are 

determined by each county or left 

to the worker’s discretion

• Yes, use common instrument or 

tool throughout the state

No Select one 

from list

Agency 

14.1

Comment Provide the name and reference (i.e., 

URL) for each standardized tool that is 

used.

No Text –

5,000 

characters

Agency 

15

Service Gaps Indicate which services are not 

available or accessible in the state.

Selection List:

• Care/Case Management Services

• Caregiver Support Services

• Community Day Services

• Education, Employment, and 

Training Services

• Emergency Assistance and 

Material Aid Services

• Financial Planning Services

• Housing and Relocation Services

• In-home Assistance Services

• Legal Services

• Medical and Dental Services

• Medical Rehabilitation Services

• Mental Health Services

• Nutrition

• Public Assistance Benefits

• Substance Use Services

• Transportation

• Victim Services

• Other Services

No Select one 

from list

Agency 

15.1

Comment Provide additional information on how 

gaps in services were identified, if 

possible.

No Text –

5,000 

characters
Appendix C: Agency Component Data Specifications C-8

Element 

No. Element Name Element Description Required

Field 

Entry 

Format

Agency 

16

Perpetrators Does APS collect person-specific data 

on persons found to be perpetrators of 

substantiated maltreatment? Does your 

information system collect unique IDs 

and demographic characteristics of 

such persons? If there is specific state 

statute or regulation, or agency policy 

on such data, please provide the 

citation. 

No Text –

5,000 

characters
Appendix D: Key Indicators Component Data Specifications D-1

Appendix D: Key Indicators Component Data Specifications

The Key Indicators Component includes aggregated (summary) counts of key statistics related to 

an investigation, clients, and perpetrators. The Key Indicators Component data are entered directly 

on to an online form in NAMRS. This component is designed to collect data that are most 

commonly computed by states on an annual basis. The reporting period is the Federal Fiscal Year 

(FFY), October 1st– September 30th. States may need to re-compute these statistics for the 

reporting period, which may be different from the standard reporting period used by the state. The 

Key Indicators Component is submitted only by those states that cannot submit the Case 

Component.

The Key Indicators Component collects duplicated counts of clients or perpetrators. If a client is 

involved in multiple investigations, the client is counted multiple times.

The data domains in the Key Indicators Component include the following:

 investigations—number closed or completed

 clients—number that received an investigation, that received interagency coordination, 

and by case closure reason

 victims—clients found to be victims by one or more maltreatments, by demographics, 

disabilities, behavioral conditions, maltreatment type, and outcomes

 perpetrators—by demographics, kinship relationship, association to victim, and legal 

remedy recommendations.

Some data elements have a tiered structure of code values. In such cases the specifications show 

the tiered structure by indenting the optional, more specific code values.

States can submit additional explanatory information on each item.

Additional information on terms used in NAMRS is available in Appendix A: Code Values and 

Definitions document.

A web-based form that contains fields for all the data points in the Key Component will be 

available on the NAMRS Website, as of October 1, 2016. The user can fill out the form, save the 

data, and return later to work on it as needed. The data are validated when the form is saved. The 

validation rules are listed in the second section of this document. If there are any errors, the user 

will be prompted to fix the errors. The NAMRS Technical Assistance Team is available if 

assistance is needed.
Appendix D: Key Indicators Component Data Specifications D-2

Table D- 1. Investigations

Element 

No.

Element 

Name

Element Description/ Categories Required Field Entry 

Format

K 1 Investigations 

closed

Number of investigations closed during the reporting period.

Investigation could have been received in previous reporting period but must have 

been closed during current reporting period. Closed investigations include those 

completed and resulted in a finding (e.g., substantiated, unsubstantiated). Closed 

investigations also include those where the investigation was not completed due to 

reasons such as client refused services. Do not include investigation closed due to 

administrative reasons such as opened in error.

Yes Numeric -

10 integers

K 1.1 Comment Provide additional information on the number of investigations closed during the 

reporting period.

No Text - 5,000 

characters

Table D- 2. Clients

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 2 Clients who 

received an 

investigation

Number of clients involved in an investigation that was closed or completed 

during the reporting period. Count each client in each investigation. If a client 

was the subject of two investigations, count twice.

Yes Numeric -

10 integers

K 2.1 Comment Provide additional information on how number of clients was determined. No Text - 5,000 

characters

K 3 Clients who 

received 

interagency 

coordination

Number of clients referred to an agency in which an interagency coordination was 

part of the investigation. Count each client once for each investigation in which 

he/she received one or more interagency coordination activities. Examples of 

agencies include: law enforcement or prosecutorial offices, protection and 

advocacy or Client Advocacy Program (CAP), state licensing agency, State 

Medicaid Fraud Control Unit (MFCU), and Long-Term Care Ombudsman 

Program

No Numeric -

10 integers
Appendix D: Key Indicators Component Data Specifications D-3

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 3.1 Comment Provide additional information on how number of clients who received 

interagency coordination was determined.

No Text - 5,000 

characters

K 4 Clients by case 

closure reason

This includes the number of clients by case closure reason whose case was closed 

for a specific reason. A client is counted for each case closure. There can only be 

one primary case closure reason per client per case

No Numeric -

10 integers

K 4.1 Investigation completed No Numeric -

10 integers

K4.2 Investigation completed and protective services case completed No Numeric -

10 integers

K 4.3 Investigation unable to be completed (non-specific) No Numeric -

10 integers

K 4.3.1 Investigation unable to be completed due to death of client during investigation No Numeric -

10 integers

K.4.3.2 Investigation unable to be completed due to refusal of client No Numeric -

10 integers

K 4.4 Protective services case opened but not completed (non-specific) No Numeric -

10 integers

K 4.4.1 Protective services case closed due to death of client No Numeric -

10 integers

K 4.4.2 Protective services case closed due to client decision to not continue No Numeric -

10 integers

K 4.5 Other No Numeric -

10 integers

K 4.6 Unknown No Numeric -

10 integers

K 4.7 Comment Provide additional information on how number of clients by case closure reason 

was determined.

No Text - 5,000 

characters
Appendix D: Key Indicators Component Data Specifications D-4

Table D- 3. Victims

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 5 Clients found to be 

victims

Number of victims in which at least one maltreatment disposition 

was substantiated per investigation. A victim is counted once for 

each investigation in which a maltreatment was substantiated, no 

matter how many maltreatments were substantiated.

Yes Numeric - 10 

integers

K 5.1 Comment Provide additional information on how number of victims was 

determined.

No Text - 5,000 

characters

K 6 Victims by Age The victim age is computed by subtracting the person's date of birth 

from the investigation start date. An estimated age can be used. The 

victim’s age is counted once per each investigation in which the 

client was found to be a victim. Age could differ between 

investigations

K 6.1 18-29 years No Numeric - 10 

integers

K 6.2 30-39 years No Numeric - 10 

integers

K 6.3 40-49 years No Numeric - 10 

integers

K 6.4 50-59 years No Numeric - 10 

integers

K 6.5 60-69 years No Numeric - 10 

integers

K6.6 70-74 years No Numeric - 10 

integers

K 6.7 75-84 years No Numeric - 10 

integers

K 6.8 85 and older No Numeric - 10 

integers

K 6.9 Unknown No Numeric - 10 

integers
Appendix D: Key Indicators Component Data Specifications D-5

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 6.10 Comment Provide additional information on how age was computed. No Text - 5,000 

characters

K 7 Victims by race A multiracial victim is counted for each race identified. For 

example, the victim is Asian and White, the victim should be 

counted in both race categories. If specific races cannot be 

identified for the multiracial victim, the victim is counted in 

“Other” category

K 7.1 American Indian or Alaska Native No Numeric - 10 

integers

K 7.2 Asian No Numeric - 10 

integers

K 7.3 Black or African American No Numeric - 10 

integers

K 7.4 Native Hawaiian or Other Pacific Islander No Numeric - 10 

integers

K 7.5 White No Numeric - 10 

integers

K 7.6 Other No Numeric - 10 

integers

K 7.7 Unknown No Numeric - 10 

integers

K 7.8 Comment Provide additional information on how number of victims by race 

was determined.

No Text - 5,000

characters

K 8 Victims by ethnicity Count each victim once per investigation.

K 8.1 Hispanic, Latino/a, or Spanish No Numeric - 10 

integers

K 8.2 Not Hispanic, Latino/a, or Spanish No Numeric - 10 

integers

K 8.3 Unknown No Numeric - 10 

integers
Appendix D: Key Indicators Component Data Specifications D-6

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 8.4 Comment Provide additional information on how number of victims by 

ethnicity was determined.

No Text - 5,000

characters

K 9 Victims by gender 

identity

Count each victim once per investigation.

K 9.1 Male No Numeric - 10 

integers

K 9.2 Female No Numeric - 10 

integers

K 9.3 Transgender No Numeric - 10 

integers

K 9.4 Unknown No Numeric - 10 

integers

K 9.5 Comment Provide additional information on how number of victims by gender 

was determined.

No Text - 5,000

characters

K 10 Victims who received 

one or more benefits

Number of victims who received one or more benefits. A victim is 

counted once per investigation in which he/she received one or 

more benefits.

No Numeric - 10 

integers

K 10.1 Comment Provide additional information on how number of victims by receipt 

of benefits was determined.

No Text - 5,000 

characters

K 11 Victims with one or 

more disabilities

Number of victims with one or more disabilities. A victim is 

counted once per investigation in which he/she was identified as 

having one or more disabilities.

No Numeric - 10 

integers

K 11.1 Comment Provide additional information on how number of victims with one 

or more disabilities was determined.

No Text - 5,000 

characters

K 12 Victims with one or 

more screened or 

diagnosed behavioral 

conditions

Number of victims with one or more screened or diagnosed 

behavioral conditions. A victim is counted once per investigation in 

which he/she was screened as having one or more behavioral 

conditions.

No Numeric - 10 

integers
Appendix D: Key Indicators Component Data Specifications D-7

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 13 Victims by 

maltreatment type

A victim is counted each time he/she was substantiated as a victim of 

a specific maltreatment type. If a person was found to be a victim of 

neglect in two investigations, the count for neglect would be two for 

that victim.

K 13.1 Abandonment No Numeric - 10 

integers 

K 13.2 Emotional abuse No Numeric - 10 

integers 

K 13.3 Exploitation (non-specific) No Numeric - 10 

integers 

K 13.3.1 Financial exploitation No Numeric - 10 

integers 

K 13.3.2 Other exploitation No Numeric - 10 

integers 

K 13.4 Neglect No Numeric - 10 

integers 

K 13.5 Physical abuse No Numeric - 10 

integers 

K 13.6 Sexual abuse No Numeric - 10 

integers 

K 13.7 Suspicious death No Numeric - 10 

integers 

K 13.8 Self-neglect No Numeric - 10 

integers 

K13.9 Other No Numeric - 10 

integers 

K 13.10 Unknown No Numeric - 10 

integers 

K 13.11 Comment Provide additional information on how number of victims by 

maltreatment type was determined. 
Appendix D: Key Indicators Component Data Specifications D-8

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 14 Victims with 

guardian or 

conservator at start of 

investigation

Number of victims with guardian or conservator at start of 

investigation. A victim is counted once per investigation in which 

he/she was screened as having one or more guardians or 

conservators.

No Numeric - 10 

integers 

K 14.1 Comment Provide additional information on how number of victims by one or 

more guardians or conservators was determined.

No Text - 5,000 

characters 

K 15 Victims who received 

services or were 

referred for services 

by APS 

A victim is counted once per investigation in which he/she received 

or was referred for one or more services. If a client received 

multiple services and also was referred for multiple services in one 

investigation, he/she is counted only once.

No Numeric - 10 

integers 

K 15.1 Comment Provide additional information on how number of victims by 

services was determined. 

No Text - 5,000 

characters 

Table D- 4. Perpetrators

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 16 Perpetrators by age The perpetrator age is computed by subtracting the person's date of 

birth from the investigation start date. An estimated age can be 

used. Count each perpetrator once per client per investigation. If a 

person was the perpetrator of two clients in one investigation, the 

person is counted twice.

K 16.1 17 and younger No Numeric - 10 

integers

K 16.2 18-29 years No Numeric - 10 

integers

K 16.3 30-39 years No Numeric - 10 

integers

K 16.4 40-49 years No Numeric - 10 

integers
Appendix D: Key Indicators Component Data Specifications D-9

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 16.5 50-59 years No Numeric - 10 

integers

K 16.6 60-69 years No Numeric - 10 

integers

K 16.7 70-74 years No Numeric - 10 

integers

K 16.8 75-84 years No Numeric - 10 

integers

K 16.9 85 and older No Numeric - 10 

integers

K 16.10 Unknown No Numeric - 10 

integers

K 16.11 Comment Provide additional information on how number of perpetrators by 

age was determined.

No Text - 5,000 

characters

K 17 Perpetrators by gender 

identity

Count each perpetrator once per investigation

K 17.1 Male No Numeric - 10 

integers

K 17.2 Female No Numeric - 10 

integers

K 17.3 Transgender No Numeric - 10 

integers

K 17.4 Unknown No Numeric - 10 

integers

K 17.5 Comment Provide additional information on how number of perpetrators by 

gender was determined.

No Text - 5,000 

characters

K 18 Perpetrators who had a 

kinship relationship to 

the victim

Number of perpetrators related to the victim by affinity (blood, 

adoption, marriage, etc.). Count each perpetrator once per client 

per investigation. If a person was the perpetrator of two clients in 

one investigation and is related to one victim and not the second, 

the perpetrator is counted only once.

No Numeric - 10 

integers
Appendix D: Key Indicators Component Data Specifications D-10

Element

No. Element Name Element Description/Categories Required Field Entry Format

K 18.1 Comment Provide additional information on how number of perpetrators by 

kinship relationship was determined.

No Text - 5,000 

characters

K 19 Perpetrators who had one 

or more associations to 

victim

Number of perpetrators with one or more caregiving relationships 

to the victim. Count each perpetrator once per client per 

investigation. If a person was the perpetrator of two clients in one 

investigation and has one or more caregiving relationships to one 

victim and not the second, the perpetrator is counted only once

No Numeric - 10 

integers

K 19.1 Comment Provide additional information on how number of perpetrators by 

association to the victim was determined.

No Text - 5,000

characters

K 20 Perpetrators for whom 

one or more legal 

remedies on behalf of the 

victim were 

recommended or sought

Number of perpetrators for whom at least one legal remedy was 

recommended or sought. Count each perpetrator once per client per 

investigation. If a person was the perpetrator of two clients in one 

investigation and had one or more legal remedies recommended or 

sought related to one victim and none with the second, the 

perpetrator is counted only once.

No Numeric - 10 

integers

K 20.1 Comment Provide additional information on how number of perpetrators by 

legal remedy was determined.

No Text - 5,000 

characters
Appendix D: Key Indicators Component Data Specifications D-11

Key Indicators Component Data Validation

The Key Indicators Component data are entered directly on to an online form in NAMRS. The 

data are validated when the form is saved. If the data are not required, the fields may remain empty 

and the rules does not apply.

Error messages are displayed if the following rules are violated:

1. Client who received an investigation must be greater than or equal to (=>) Investigation 

closed

2. Clients who received interagency coordination must be less than or equal to (<=) Clients who 

received an investigation

3. Clients by case closure reason (total) must be equal to (==) Clients who received an 

investigation

4. Clients found to be victims must be less than or equal to (<=) Clients who received an 

investigation

5. Victims by age (total) must be equal to (==) Clients found to be victims

6. Victims by race (total) must be greater than or equal to (=>) Clients found to be victims

7. Victims by ethnicity (total) must be equal to (==) Clients found to be victims

8. Victims by gender identity (total) must be equal to (==) Clients found to be victims

9. Victims who received one or more benefits (total) must be less than or equal to (<=) Clients 

found to be victims

10. Victims with one or more disabilities (total) must be less than or equal to (<=) Clients found 

to be victims

11. Victims with one or more screened behavioral conditions (total) must be less than or equal to 

(<=) Clients found to be victims

12. Victims by maltreatment type (total) must be greater than or equal to (=>) Clients found to 

be victims

13. Victims with guardian or conservator at start of investigation must be less than or equal to 

(<=) Clients found to be victims

14. Victims who received services or were referred for services by aps must be less than or equal 

to (<=) Clients found to be victims
Appendix E: Case Component Data Specifications E-1

Appendix E: Case Component Data Specifications

The Case Component includes information pertaining to each report that is screened in and 

investigated by the adult protective services (APS) agency. The Case Component data are extracted

into the required Extensible Markup Language (XML) formatted file. The file is uploaded using

the NAMRS website. The information is specific to the investigation, including the clients,

maltreatments, and perpetrators associated with the specific investigation. A case is comprised of

an investigation and any ancillary tasks that APS undertakes on behalf of the client. The Case

Component collects data on APS cases that were closed during the reporting period. This 

component is designed to collect data on an annual basis. The reporting period is the Federal Fiscal 

Year (FFY), October 1st– September 30th.

The Case Component is comprised of six entities as shown in Fig 1. Case Component Entity 

Relationship Diagram and Fig 2. Example of Case Component Entities Relationships. Each entity 

is comprised of attributes. The six entities for the data submission are:

1. Year/State—each FFY, reporting period, for which data are submitted by the APS agency

2. Investigation—each investigation undertaken by APS with a case closure date during the 

reporting period

3. Client—each person subject of an investigation and client may have multiple investigation in 

the reporting period

4. Maltreatment Allegation—each maltreatment associated with each client, requires the 

attributes of maltreatment type and maltreatment disposition

5. Perpetrator—each person determined to be responsible for one or more maltreatments with a 

disposition of substantiated

6. Client-Perpetrator Relationship—the relationship between the client, who is the victim of a 

substantiated maltreatment, and the perpetrator, as explained by one or more of the eight 

possible attributes.
Appendix E: Case Component Data Specifications E-2

Figure 1. Case Component Entity Relationship Diagram

Figure 2. Example of Case Component Entities Relationships
Appendix E: Case Component Data Specifications E-3

On the following tables, the column “Cardinality” indicates if a data element can have multiple 

values. For example, a client may have received multiple types of benefits. An example of single 

cardinality is that there can be only one primary reason for case closure.

Some data elements have a tiered or nested structure of code values. For example, the data element

race allows the client to be identified as Asian or as a specific Asian race. In such cases the

specifications show the tiered structure by indenting the optional, more specific code values.

10 = American Indian or Alaska Native

20 = Asian (non-specific)

21 = Asian Indian

22 = Chinese

23 = Filipino

24 = Japanese

25 = Korean

26 = Vietnamese

27 = Other Asian

30 = Black or African American

40 = Native Hawaiian or Other Pacific Islander (non-specific)

41 = Native Hawaiian

42 = Guamanian or Chamorro

43 = Samoan

44 = Other Pacific Islander

50 = White

60 = Other

If the state collects specific Asian descent, then the code values of 21-27 can be submitted. If the 

client is Asian of Filipino and Japanese descent, submit codes 23 and 24. The code value 20=Asian

(non-specific) should not be submitted since the specific Asian descent is known.

Some NAMRS Code Values include “none.” The “none” code value should be used to indicate 

that the information being asked for in the specific data element is known to be “none” vs. 

“unknown” or “not evaluated.” For example, the Behavioral Health Screenings or Diagnoses data 

element includes the code value 10=none. If the screening was conducted and the results indicated 

the client did not have any behavioral health issues, then submit 10=none. If, however, the 

screening was not conducted and it is not known if the client has any behavioral health issues, then

the data element should be submitted as “unknown.” The code value of “none” cannot be used in

conjunction with other codes values for the data element.

Definitions of specific data element values can be found in the NAMRS Definitions of Code

Values.
Appendix E: Case Component Data Specifications E-4

Investigation Entity

Each reporting period submission may have multiple investigations.

Table E- 1. Investigation Entity

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Inv1 Investigation ID The unique identifier used by the state for 

each investigation. The identifier is 

assigned to a specific investigation and is 

only used once. The investigation ID is 

encrypted by the State for purposes of data 

submission.

Yes Single Encoded ID See section, ID Hashing Guidelines, for ID encryption or deidentification.

Inv2 Report date The month, day, and year the agency was 

notified of the suspected adult 

maltreatment.

No Single Date

yyyy-mm-dd

This is the date that a report of suspected maltreatment was made. 

If an agency combines several reports into one investigation, the 

Report Date is the date of the earliest report. The determination of 

combining reports into one investigation is per each agency’s 

policy and procedures.

Inv3 Report source The role or profession of the person who 

made the report of the suspected adult 

maltreatment. Multiple report source code 

values can be submitted for the 

investigation.

No Multiple Enumeration 

(code)

1 = substitute decision maker

2 = in-home caregiver

3 = nursing home staff

4 = residential care community staff

5 = education professional

6 = financial professional

7 = law enforcement, judicial, or legal professional

8 = medical or health professional

9 = mental and behavioral health professional

10 = social services professional

11 = other professional

12 = relative

13 = neighbor, friend, other nonrelative, other nonprofessional

14 = self

15 = no role identified

Inv4 State/county FIPS 

code of 

investigative 

agency

The Federal Information Processing Series 

for state (2 digits) and county code (3 

digits) of the APS agency. (Primary 

agency responsible for the determination 

of the investigation)

No Single FIPS (#####) Code is the unique identification number assigned to each state 

and county under the Federal Information Processing Standards 

(FIPS) guidelines. See 

http://www.census.gov/geo/www/fips/fips.html.

The Investigative Agency number may be a regional office or a 

local office depending upon the state APS administrative structure.
Appendix E: Case Component Data Specifications E-5

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Inv5 Investigation start 

date

The date the investigation is assigned to an 

investigation worker. If the agency uses 

another date to indicate the start of an 

investigation, that date is used.

No Single Date

yyyy-mm-dd

Each agency’s policies and procedures define the date of an 

investigation. If an agency has both the date the investigation is 

assigned to an investigation worker and another date that is 

considered to be the start of the investigation, submit the date 

assigned to the worker.

Inv6 Investigation 

disposition date

The date that the agency completed 

dispositions on the allegations of 

maltreatment associated with the 

investigation.

No Single Date

yyyy-mm-dd

Each agency’s policies and procedures define this date. If 

maltreatment dispositions are associated with different dates, the 

Investigation Disposition Date should be the latest of these dates.

Inv7 Case closure date The date that the agency completed all 

activities related to the investigation of the 

case.

Yes Single Date

yyyy-mm-dd

Each agency’s policies and procedures define the date of case 

closure. If the state data does not include the case closure date, the 

investigation disposition date may be used in this element.
Appendix E: Case Component Data Specifications E-6

Client Entity

Each investigation may have multiple clients. Each client can be associated with more than one investigation, but a separate client entity is required

for each investigation. The determination as to whether an investigation includes multiple clients is left to each agency’s policies and procedures.

Table E- 2. Client Entity

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt1 Client ID The unique identifier used by the state 

for each client. The identifier is assigned 

to a specific client and is used to identify 

the same client across investigations and 

reporting periods. Data on multiple 

clients can be submitted for the 

investigation. The client ID is encrypted 

by the State for purposes of data 

submission.

Yes Single Encoded ID See section, ID Hashing Guidelines, for ID encryption or deidentification.

Clt2 Maltreatment 

setting

The location where the alleged 

maltreatment occurred.

No Single Enumeration 

(code)

10 = own residence or private residence of relative or caregiver

20 = residential care community (non-specific)

21 = licensed residential care community

22 = unlicensed residential care community

30 = nursing home (non- specific)

31 = licensed nursing home

32 = unlicensed nursing home

40 = adult day services center (non-specific)

41 = licensed adult day services center

42 = unlicensed adult day services center

50 = place of business or other services

60 = other

Clt3 State/county 

FIPS code of 

client

The Federal Information Processing 

Series for state (2 digits) and county 

code (3 digits) of the client’s residence 

at the start of the investigation.

No Single FIPS (#####) Code is the unique identification number assigned to each state and 

county under the Federal Information Processing Standards (FIPS) 

guidelines. See http://www.census.gov/geo/www/fips/fips.html
Appendix E: Case Component Data Specifications E-7

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt4 Case closure

reason

The primary reason why the case was 

closed.

No Single Enumeration 

(code)

10 = investigation completed

20 = investigation completed, and protective services case completed

30 = investigation unable to be completed (non- specific)

31 = investigation unable to be completed due to death of client during 

investigation

32 = investigation unable to be completed due to refusal of client

40 = protective services case opened but not completed (non-specific)

41 = protective services case closed due to death of client

42 = protective services case closed due to client decision to not 

continue

50 = other

Clt5 Age The age of the client in years (at 

investigation start date).

No Single Enumeration

(code)

18,19...74 = actual age

75 = 75 through 84

85 = 85 and older

The Client Age is computed by subtracting the client's Date of Birth 

from the Investigation Start Date. If the age ranges between 18 and 74, 

the actual age is used. Ages of 75 through 84 inclusive are grouped and 

coded as 75. Ages of 85 or older are grouped and coded as 85. The 

reason for the grouping of older ages is to further protect the possible 

identification of the older cohort population.

Clt6 Gender identityThe actual or perceived gender-related 

characteristics of the client.

No Single Enumeration 

(code)

1 = male

2 = female

3 = transgender

Clt7 Sexual 

orientation

The client’s enduring pattern of or 

disposition to experience sexual or 

romantic desires for, and relationships 

with, people of one’s same sex, the other 

sex, or both sexes.

No Single Enumeration 

(code)

1 = straight

2 = gay/lesbian

3 = bisexual

4 = questioning

5 = other
Appendix E: Case Component Data Specifications E-8

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt8 Race The population(s) or group(s) that the 

client identifies as being a member. A 

client may have more than one race 

(multi-racial). For example, a client is 

Asian and White, the client should be 

reported with both race values. If 

specific races cannot be identified for a 

multiracial client, the client is reported 

as “Other”.

No Multiple Enumeration 

(code)

10 = American Indian or Alaska Native

20 = Asian (non-specific)

21 = Asian Indian

22 = Chinese

23 = Filipino

24 = Japanese

25 = Korean

26 = Vietnamese

27 = Other Asian

30 = Black or African American

40 = Native Hawaiian or Other Pacific Islander (non-specific)

41 = Native Hawaiian

42 = Guamanian or Chamorro

43 = Samoan

44 = other Pacific Islander

50 = White

60 = Other

Clt9 Ethnicity The affiliation of the client as Hispanic 

or Latino/a or non- Hispanic or Latino/a. 

Multiple ethnicity code values can be 

submitted for the client.

No Multiple Enumeration 

(code)

10 = yes, Hispanic or Latino/a, or Spanish origin (non-specific)

11 = Mexican, Mexican American, Chicano/a

12 = Puerto Rican

13 = Cuban

14 = other Hispanic, Latino/a, or Spanish origin

20 = no, not Hispanic or Latino/a, or Spanish origin

Clt10 Primary 

language

The primary language or method that the 

client uses for written and verbal 

communication.

No Single Enumeration 

(code)

1 = Arabic

2 = Chinese

3 = English

4 = French

5 = German

6 = Korean

7 = Russian

8 = Spanish or Spanish Creole

9 = Tagalog

10 = Vietnamese

11 = sign language

12 = assistive technology

13 = other

If a person is fluent in more than one language or method of 

communication, choose the primary language the person uses with 

agency staff.
Appendix E: Case Component Data Specifications E-9

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt11 Marital status The client’s status based on state 

residency laws.

No Single Enumeration 

(code)

1 = never married

2 = married

3 = domestic partner, including civil union

4 = divorced

5 = separated

6 = widowed

7 = other

Clt12 Schooling levelThe highest educational degree attained 

by the client.

No Single Enumeration 

(code)

1 = less than high school

2 = high school diploma or equivalent

3 = associate’s degree or bachelor’s degree

4 = advanced degree

Clt13 Employment 

status

The involvement of the client in the 

labor force.

No Single Enumeration 

(code)

1 = employed

2 = unemployed

3 = not in labor force

4 = other

If client is retired but also employed, use code 1. If client is 

participating in sheltered workshops or work centers for sub- minimum 

wages, use code value 4.

Clt14 Income level The level of annual income of the client 

including all sources of income.

No Single Enumeration 

(code)

1 = less than $25,000

2 = $25,000-$49,999

3 = $50,000-$74,999

4 = $75,000-$99,999

5 = $100,000 or more

Clt15 Benefits The federal and state benefits received 

by the client during the investigation. 

Multiple benefit code values can be 

submitted for the client.

No Multiple Enumeration 

(code)

1 = Medicaid

2 = Medicare

3 = publicly-subsidized housing

4 = Social Security Disability Insurance (SSDI)

5 = Social Security retirement benefits

6 = Supplemental Security Income (SSI)

7 = Temporary Assistance for Needy Families (TANF)

8 = veterans’ disabled benefits

9 = Other

These are benefits that the client is already receiving during the time 

period of the investigation. Benefits applied for on behalf of the client 

but not yet received are not included.

Clt16 Veteran status The client’s status related to the US 

Armed Forces.

No Single Enumeration

(code)

1 = veteran

2 = non-veteran

U.S. Armed Forces are made up of the five armed service branches: Air 

Force, Army, Coast Guard, Marine Corps, and Navy.
Appendix E: Case Component Data Specifications E-10

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt17 Disabilities The client’s physical, emotional, and 

mental health issues that result in 

limitation in activities and restrictions to 

fully participate at school, work, or in 

the community. Multiple disability code 

values can be submitted for the client.

No Multiple Enumeration 

(code)

1 = ambulatory difficulty

2 = cognitive difficulty

3 = communication difficulty

4 = hearing difficulty

5 = independent living difficulty

6 = self-care difficulty

7 = vision difficulty

8 = other

9 = none

Specific diseases and medical diagnoses are not listed as code values. 

However, an example would be if a client has had a CVA (stroke) and 

have ambulatory difficulty and communication difficulty, choose code 

values 1 and 3.

Clt18 ADL score The client’s score on the Katz Index of 

Independence in Activities of Daily 

Living (ADL).

No Single Numeric

(6 integers)

Permissible values are 0-6

Clt19 IADL score The client’s score on the Lawton 

Instrumental Activities of Daily Living 

(IADL).

No Single Numeric

(6 integers)

Permissible values are 0-8

Clt20 Behavioral 

health 

screenings or 

diagnoses

The results of assessments on the client, 

conducted by the APS agency. Multiple 

behavioral health code values can be 

submitted for the client.

No Multiple Enumeration 

(code)

1 = alcohol use disorder

2 = anxiety

3 = bipolar disorder

4 = dementia

5 = depression

6 = schizophrenia and other psychotic disorders

7 = substance use disorder

8 = traumatic brain injury

9 = other

10 = none

APS staff may perform assessments or screenings which indicate that a 

client may need referral to a health care professional. These 

assessments/screenings may be indicated by choosing the appropriate 

code values. In addition, APS staff may have access to medical records 

indicating a client's diagnoses and if so choose appropriate code values.
Appendix E: Case Component Data Specifications E-11

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt21 Living setting 

at start

The primary residential environment of 

the client at the start of investigation.

No Single Enumeration 

(code)

10 = own residence or residence of relative or caregiver

20 = residential care community (non-specific)

21 = licensed residential care community

22 = non-licensed residential care community

30 = nursing home (non- specific)

31 = licensed nursing home

32 = non-licensed nursing home

40 = other

Clt22 Living setting 

at close

The primary residential environment of 

the client at the time of case closure.

No Single Enumeration 

(code)

10 = own residence or residence of relative or caregiver

20 = residential care community (non-specific)

21 = licensed residential care community

22 = non-licensed residential care community

30 = nursing home (non- specific)

31 = licensed nursing home

32 = non-licensed nursing home

40 = other

Clt23 Substitute 

decision 

makers at start

The authorizations that are in effect 

related to health, personal, or financial 

decision making for the client at the start 

of the investigation. Multiple substitute 

decision maker code values can be 

submitted for the client.

No Multiple Enumeration 

(code)

10 = health care proxy in effect

20 = financial proxy in effect

30 = guardianship or conservatorship (non- specific)

31 = guardianship or conservatorship of person

32 = guardianship or conservatorship of property

40 = representative payee

50 = none

Clt24 Substitute 

decision 

makers at close

The authorizations that are in effect 

related to health, personal, or financial 

decision making for the client at time of 

case closure. Multiple substitute decision 

maker code values can be submitted for 

the client.

No Multiple Enumeration

(code)

10 = health care proxy in effect

20 = financial proxy in effect

30 = guardianship or conservatorship (non- specific)

31 = guardianship or conservatorship of person

32 = guardianship or conservatorship of property

40 = representative payee

50 = none
Appendix E: Case Component Data Specifications E-12

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt25 Services at startThe services known to the agency that 

the client was already receiving at the 

start of the investigation. Multiple 

service code values can be submitted for 

the client.

No Multiple Enumeration 

(code)

1 = care/case management services

2 = caregiver support services

3 = community day services

4 = education, employment, and training services

5 = emergency assistance and material aid services

6 = financial planning services

7 = housing and relocation services

8 = in-home assistance services

9 = legal services

10 = medical and dental services

11 = medical rehabilitation services

12 = mental health services

13 = nutrition

14 = public assistance benefits

15 = substance use services

16 =transportation

17 = victim services

18 = other services

19 = none

Clt26 Services APS The services that the agency provided on 

behalf of the client during the 

investigation or while the agency kept an 

open case. Multiple service code values 

can be submitted for the client.

No Multiple Enumeration 

(code)

1 = care/case management services

2 = caregiver support services

3 = community day services

4 = education, employment, and training services

5 = emergency assistance and material aid services

6 = financial planning services

7 = housing and relocation services

8 = in-home assistance services

9 = legal services

10 = medical and dental services

11 = medical rehabilitation services

12 = mental health services

13 = nutrition

14 = public assistance benefits

15 = substance use services

16 =transportation

17 = victim services

18 = other services

19 = none

Services provided by the agency may be provided by APS staff or 

budgeted funds for contractors to deliver client services.
Appendix E: Case Component Data Specifications E-13

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt27 Services 

referred

The services for which the agency 

referred the client. Multiple services 

code values can be submitted for the 

client.

No Multiple Enumeration 

(code)

1 = care/case management services

2 = caregiver support services

3 = community day services

4 = education, employment, and training services

5 = emergency assistance and material aid services

6 =financial planning services

7 =housing and relocation services

8 = in-home assistance services

9 =legal services

10 = medical and dental services

11 = medical rehabilitation services

12 =mental health services

13 = nutrition

14 = public assistance benefits

15 = substance use services

16 =transportation

17 = victim services

18 = other services

19 =none

Clt28 Services at 

close

The services known to the agency that 

the client was receiving at the time of 

case closure. Multiple services code 

values can be submitted for the client.

No Multiple Enumeration 

(code)

1 = care/case management services

2 = caregiver support services

3 = community day services

4 = education, employment, and training services

5 = emergency assistance and material aid services

6 = financial planning services

7 = housing and relocation services

8 = in-home assistance services

9 = legal services

10 = medical and dental services

11 = medical rehabilitation services

12 = mental health services

13 = nutrition

14 = public assistance benefits

15 = substance use services

16 =transportation

17 = victim services

18 = other services

19 = none
Appendix E: Case Component Data Specifications E-14

Element

No.

Element

Name

Element

Description Required Cardinality Type/Format

Code Values/

Instructions

Clt29 Interagency 

coordination

The agencies to which the client was 

referred. Multiple interagency 

coordination code values can be 

submitted for the client.

No Multiple Enumeration 

(code)

1 = law enforcement or prosecutorial offices

2 = Protection and Advocacy or Client Advocacy Program (CAP)

3 = state licensing agency

4 = State Medicaid Fraud Control Unit (MFCU)

5 = Long Term Care Ombudsman Program

6 = other

7 = none

Clt30 Previous report The indication that the agency has 

information that the client was the 

subject of a previous report.

No Single Enumeration 

(code)

1 = yes

2 = no
Appendix E: Case Component Data Specifications E-15

Maltreatment Allegation Entity

Each client may have multiple maltreatment allegation entities within an investigation. Each maltreatment allegation entity must be composed of a

maltreatment type and maltreatment disposition. NAMRS only allows each maltreatment type once per client per investigation and only one disposition 

per maltreatment type. For example, within an investigation, a client can have only one maltreatment allegation entity with neglect as the maltreatment

type. A client can have multiple maltreatment allegation entities within the investigation, but the maltreatment type must be different for each one. A 

client can have more maltreatment allegation entities with the same maltreatment type in other investigations.

Some state systems allow multiple maltreatment types that are the same or similar for a client within an investigation. For example, a state may track

more specific types of neglect such as, inadequate care and unsanitary conditions. Only one maltreatment allegation entity with neglect as the

maltreatment type should be submitted for the client within the investigation. Follow the order of dispositions to decide which to submit if the

dispositions are different: 1-Substaniatied, 2- Inconclusive, 3-Unsubstantiated, and 4=Other. For example, Substantiated would trump Inconclusive as 

the disposition.

Table E- 3. Maltreatment Allegation Entity

Element

No. Element Name Element Description Required Cardinality Type/Format Code Values/Instructions

Mal1 Maltreatment type The alleged maltreatment that is 

investigated.

Yes Single (per entity) Enumeration

(code)

10 = abandonment

20 = emotional abuse

30 = exploitation (non- specific)

31= financial exploitation

32= other exploitation

40 = neglect

50 = physical abuse

60 = sexual abuse

70 = suspicious death

80 = self-neglect

90 = other

Mal2 Maltreatment 

disposition

The disposition of the alleged 

maltreatment.

Yes Single (per entity) Enumeration

(code)

1 = substantiated

2 = inconclusive

3 = unsubstantiated

4 = other
Appendix E: Case Component Data Specifications E-16

Perpetrator Entity

Each investigation may have zero, one, or more than one perpetrator. A perpetrator must be associated with at least one substantiated maltreatment

investigation that is associated with a specific client within the investigation. A perpetrator may be associated with more than one investigation, but a

separate perpetrator entity is required for each of the associated investigations.

Table E- 4. Perpetrator Entity

Element

No.

Element 

Name Element Description RequiredCardinalityType/Format Code Values

Per1 Perpetrator ID The unique identifier used by the state for the person

who is found to be responsible for substantiated

maltreatment(s). The identifier is assigned to a specific

perpetrator and is used to identify the same perpetrator 

across investigations and reporting periods. The

perpetrator ID is encrypted by the state for purposes of

data submission.

Yes Single Encoded ID See section, ID Hashing Guidelines, for ID encryption or deidentification.

Per2 Age The age of the perpetrator in years (at investigation

start date).

No Single Enumeration

(code)

17 = 17 and younger

18,19...74 = actual age

75 = 75 through 84

85 = 85 and older

The Perpetrator Age is computed by subtracting the perpetrator 

date of birth from the Investigation Start Date. If the age 

ranges between 18 and 74, the actual age is used. Age of 75

through 84 inclusive are grouped and coded as 75. Ages of 85

or older are grouped and coded as 85.

Per3 Gender

identity

The actual or perceived gender- related characteristics

of the perpetrator.

No Single Enumeration

(code)

1 = male

2 = female

3 = transgender
Appendix E: Case Component Data Specifications E-17

Element

No.

Element 

Name Element Description RequiredCardinalityType/Format Code Values

Per4 Race The population(s) or group(s) that the perpetrator

identifies as being a member. A perpetrator may have

more than one race (multi-racial). For example, a

perpetrator is Asian and White, the perpetrator should

be reported with both race values. If specific races

cannot be identified for a multiracial perpetrator, the 

perpetrator is reported as “Other”.

No Multiple Enumeration

(code)

10 = American Indian or Alaska Native

20 = Asian (non-specific)

21 = Asian Indian

22 = Chinese

23 = Filipino

24 = Japanese

25 = Korean

26 = Vietnamese

27 = Other Asian

30 = Black or African American

40 = Native Hawaiian or Other Pacific Islander (non-specific)

41 = Native Hawaiian

42 = Guamanian or Chamorro

43 = Samoan

44 = other Pacific Islander

50 = White

60 = Other

Per5 Ethnicity The affiliation of the perpetrator as Hispanic or 

Latino/a or non- Hispanic or Latino/a. Multiple 

ethnicity code values can be submitted for the

perpetrator.

No Multiple Enumeration

(code)

10 = yes, Hispanic or Latino/a, or Spanish origin (nonspecific)

11 = Mexican, Mexican American, Chicano/a

12 = Puerto Rican

13 = Cuban

14 = other Hispanic, Latino/a, or Spanish origin

20 = no, not Hispanic or Latino/a, or Spanish origin

Per6 Disabilities The perpetrator's physical, emotional, and mental

health issues that result in limitation in activities and

restrictions to fully participate at school, work, or in the

community. Multiple disability code values can be

submitted for the perpetrator.

No Multiple Enumeration

(code)

1 = ambulatory difficulty

2 = cognitive difficulty

3 = communication difficulty

4 = hearing difficulty

5 = independent living difficulty

6 = self-care difficulty

7 = vision difficulty

8 = other

9 = none

Specific diseases and medical diagnoses are not listed as code

values. However, an example is if a perpetrator has had a TBI

(brain injury) and has hearing difficulty choose code 4.
Appendix E: Case Component Data Specifications E-18

Element

No.

Element 

Name Element Description RequiredCardinalityType/Format Code Values

Per7 Behavioral

health 

screenings or 

diagnoses

The results of assessments on the perpetrator,

conducted by the APS agency. Multiple behavioral 

health code values can be submitted for the perpetrator.

No Multiple Enumeration

(code)

1 = alcohol use disorder

2 = anxiety

3 = bipolar disorder

4 = dementia

5 = depression

6 = schizophrenia and other psychotic disorders

7 = substance use disorder

8 = traumatic brain injury

9 = other

10 = none

APS staff may perform assessments or screenings which

indicate that a perpetrator may need referral to a health care

professional. These assessments/screenings may be indicated

by choosing the appropriate code values. In addition, APS

staff may have access to medical records indicating a

perpetrator’s diagnoses and if so choose appropriate code 

values.
Appendix E: Case Component Data Specifications E-19

Client Perpetrator Relationship Entity

Each client and perpetrator can have a designated relationship if data on one or more of the entity attributes is provided. A client and perpetrator have

only one relationship entity within an investigation.

Table E- 5. Client Perpetrator Relationship Entity

Element

No. Element Name Element Description Required Cardinality Type/Format Code Values

CPR1 Cohabitation at startThe indication if the perpetrator and client are

cohabitating at the start of the investigation.

No Single Enumeration

(code)

1 = yes

2 = no

CPR2 Cohabitation at 

close

The indication if the perpetrator and client are

cohabitating at the time of case closure.

No Single Enumeration

(code)

1 = yes

2 = no

CPR3 Kinship relationshipThe indication if the perpetrator is related to the

client by affinity (blood, adoption, marriage,

etc.).

No Single Enumeration

(code)

10 = yes (non-specific)

11 = spouse

12 = domestic partner, including civil union

13 = parent

14 = child

15 = sibling

16 = grandparent

17 = grandchild

18 = other relative

20 = none

CPR4 Perpetrator 

association at start

The indication if the perpetrator has a caregiving

relationship to the client at the start of the 

investigation.

No Single Enumeration

(code)

10 = nursing home staff

20 = residential care community staff

30 = relative caregiver (non-specific)

31 = paid relative caregiver

32 = unpaid relative caregiver

40 = nonrelative caregiver (non-specific)

41 = paid nonrelative caregiver

42 = unpaid nonrelative caregiver

50 = other relationship

60 = none

If the perpetrator has multiple associationsto the client, choose 

primary association.
Appendix E: Case Component Data Specifications E-20

Element

No. Element Name Element Description Required Cardinality Type/Format Code Values

CPR5 Perpetrator 

association at close

The indication whether the perpetrator has a

caregiving relationship to the client at time of 

case closure.

No Single Enumeration

(code)

10 = nursing home staff

20 = residential care community staff

30 = relative caregiver (non-specific)

31 = paid relative caregiver

32 = unpaid relative caregiver

40 = nonrelative caregiver (non-specific)

41 = paid nonrelative caregiver

42 = unpaid nonrelative caregiver

50 = other relationship

60 = none

If the perpetrator has multiple associationsto the client, choose 

primary association.

CPR6 Perpetrator 

substitute decision

maker at start

Authorizations that the perpetrator has in relation

to the client, and that are in effect, related to

health, personal or financial decision making at

the start of the investigation. Multiple substitute

decision maker code values can be submitted for 

the client perpetrator relationship.

No Multiple Enumeration 

(code)

10 = health care proxy in effect

20 = financial proxy in effect

30 = guardianship or conservatorship (non- specific)

31 = guardianship or conservatorship of person

32 = guardianship or conservatorship of property

40 = representative payee

50 = none

CPR7 Perpetrator 

substitute decision

maker at close

Authorizations that the perpetrator has in relation

to the client, and that are in effect, related to

health, personal or financial decision making at

the time of case closure. Multiple substitute

decision maker code values can be submitted for 

the client perpetrator relationship.

No Multiple Enumeration

(code)

10 = health care proxy in effect

20 = financial proxy in effect

30 = guardianship or conservatorship (non- specific)

31 = guardianship or conservatorship of person

32 = guardianship or conservatorship of property

40 = representative payee

50 = none

CPR8 Perpetrator legal

remedy

Recommendation

The legal remedies that were recommended or 

sought by the APS agency regarding the status of

the perpetrator. Multiple legal remedy

recommendation code values can be submitted

for the client perpetrator relationship.

No Multiple Enumeration

(code)

1 = Removal of guardianship rights

2 = Restraining order on perpetrator regarding the client

3 = Eviction of perpetrator

4 = Restitution by perpetrator

5 = Other legal remedy

6 = None
Appendix E: Case Component Data Specifications E-21

ID Hashing Guidelines

NAMRS requires states to de-identify all the state system IDs that will be reported in the case 

component (Investigation ID, Client ID, Perpetrator ID). Selecting the methodology for deidentifying the IDs is up to state discretion. However, the IDs reported to NAMRS should be 

alphanumeric.

One effective way to do this is by using a hashing methodology. The ID Hashing Guidelines are:

 Each ID must be unique

 The method selected must give the same result every time the procedure is executed. In 

other words, a client ID must always yield the same hashed ID after processing.

 The hashed ID should only contain alphanumeric characters. No special characters are 

allowed.

 The state agency must maintain any algorithms, pass phrases, and keys used to hash the 

IDs.

A hashing algorithm is a one-way map function that maps any particular string to a fixed-length 

series of bytes. To do this, first decide on a password or passphrase. This is simply a string that 

will remain the same forever. The password can be the same for all the ID fields, or they can be 

different. The password for a particular field should always remain the same forever. When using 

a password or passphrase as input to a hashing algorithm, it is commonly called a “salt”.

Then for each ID field, do the following:

1. Prepend the salt to the ID. (This is the “salted input”)

2. Hash the salted input using the MD5 hashing algorithm. Regardless of the length of the 

input, MD5 will always produce 32 bytes of output.

3. Finally, convert the 32-byte result to a 32-character (hexadecimal) string that can easily

be inserted into the XML file.

Example:

For MS SQL Server, use the following SQL to obtain the hashed ID:

DECLARE @clearTextId VARCHAR(100) = '123-45-6789'

DECLARE @salt VARCHAR(100) = 'This is my complicated passphrase'

SELECT @clearTextId AS ClearText

,@salt AS Salt

,CONVERT(VARCHAR(32), HASHBYTES('MD5', @salt + @clearTextId),2) AS

HashedText
Appendix F: Case Component Validation Rules F-1

Appendix F: Case Component Validation Rules

XSD Validation Rules

The data for the Case Component is submitted in Extensible Markup Language(XML) format. A state user extracts the data from the state information 

system into the required XML format. The extracted file can be validated for XML structure and data element characteristics requirements using the 

XML Schema Document (XSD) file available on the NAMRS website: https://namrs.net/XMLSchemas/NamrsCaseComponent.xsd. The state user can 

perform the validation using their preferred XML validation software. XmlValidator (Sourceforge) is an open source XML validation software. XML 

Spy is a commercially available XML validator and editor. The XML file without any errors would be ready to be uploaded to NAMRS.

Table F- 1. XSD Validation Rules

Entity Rule Error Message

File Info The Year in the file info must match the selected 

submission year. 

The Fiscal Year in the <fileInfo> does not match the Fiscal Year selected when the file 

was uploaded. 

File Info The State in the file info must match the selected 

submission state. 

The State in the <fileInfo> does not match the State selected when the file was uploaded. 

All Data Elements with 

Code Values 

All enumeration fields must have a valid NAMRS code 

or unknown tag. 

The <elementname> element is invalid - The value <invalid code> is invalid according 

to its datatype 'Int' - The Enumeration constraint failed. 

Investigation Unknown tag must not be used in conjunction with 

valid codes for enumeration fields. 

The element <element> has invalid child element <invalid element>. 

Investigation All Investigations must have a unique Investigation Id. There is a duplicate key sequence <Investigation Id> for the 'uniqueInvestigationId' key 

or unique identity constraint. 

Client A Client must be related to an Investigation. The element 'investigation' has incomplete content. List of possible elements expected: 

'clients'. 

Client A Client must have a unique Client Id within the same 

Investigation. 

There is a duplicate key sequence <Client ID> for the 'investigationClients' key or 

unique identity constraint. 

Maltreatment The same Maltreatment Type must not be repeated for a 

Client within the same Investigation. 

There is a duplicate key sequence <Client ID, Maltreatment code> for the 

'uniqueClientMaltreatments' key or unique identity constraint. 

Maltreatment All Maltreatments must be related to a Client. The key sequence <client ID in maltreament> in 'investigationClients' Keyref fails to 

refer to some key. 

Perpetrator A Perpetrator must be related to an Investigation. The element 'investigations' has invalid child element 'perpetrators'. List of possible 

elements expected: 'investigation'. 

Perpetrator A Perpetrator must have a unique Perpetrator Id within 

the same Investigation. 

There is a duplicate key sequence <Perp Id> for the 'investigationPerpetrators' key or 

unique identity constraint. 

Relationship A Client Perpetrator Relationship must be related to a 

Perpetrator and a Client. 

The required attribute 'clientId' is missing. The required attribute 'perpetratorId' is 

missing. 

Relationship The same perpetrator and same client must not have 

more than one Client Perpetrator 

There is a duplicate key sequence <Client ID, Perp ID> for the 'uniqueRelationship' key 

or unique identity constraint.
Appendix F: Case Component Validation Rules F-2

Data Validation Rules

When the XML file is uploaded to the NAMRS Website, the file is validated against the XSD. If the file passes without any errors, the data within the 

file is validated against data rules. A report of errors will be available should any of the rules are violated. 

Table F- 2. Data Validation Rules

# Rule Path Locator IDs Error Message

N1010 A Client must have at least one Maltreatment. caseComponent/investigation/clients/client investigationId, 

clientId

This <client> element was removed. If there 

was a linked <relationship> element 

(relationship with perpetrator), it was removed 

as well.

N1020 If a Maltreatment refers to a Perpetrator, the 

Maltreatment must be Substantiated. 

caseComponent/investigation/

maltreatments/maltreatment/perpetratorRefs

investigationId, 

clientId, 

maltxTypeVal

This <perpetratorRefs> element was removed 

from the <maltreatment> element.

N1040 If the Report Date and Investigation Start 

Date are both not empty, then the Report Date 

must be less than or equal to the Investigation 

Start Date. 

caseComponent/investigation investigationId This <reportDate> element was removed.

N1050 If the Report Date and Investigation 

Disposition Date are both not empty, then the 

Report Date must be less than or equal to the 

Investigation Disposition Date. 

caseComponent/investigation investigationId This <reportDate> element was removed.

N1060 If the Report Date is not empty, then the 

Report Date must be less than or equal to the 

Case Closure Date. 

caseComponent/investigation investigationId This <reportDate> element was removed.

N1070 If the Investigation Start Date and 

Investigation Disposition Date are not empty, 

then the Investigation Start Date must be less 

than or equal to the Investigation Disposition 

Date.

caseComponent/investigation investigationId This <investStartDate> element was removed.

N1080 If the Investigation Start Date is not empty, 

then the Investigation Start Date must be less 

than or equal to the Case Closure Date.

caseComponent/investigation investigationId This <investStartDate> element was removed.

N1090 If the Investigation Disposition Date is not 

empty, then the Investigation Disposition 

Date must be less than or equal to the Case 

Closure Date.

caseComponent/investigation investigationId This <dispDate> element was removed.

N1110 The race code value of 20 must not be used in 

conjunction with code values 21 through 27. 

The code value of 40 must not be used in 

conjunction with code values 41 through 44.

caseComponent/investigation/clients/client/race investigationId, 

clientId

The <race> element was removed from this 

<client>.
Appendix F: Case Component Validation Rules F-3

# Rule Path Locator IDs Error Message

N1120 The ethnicity code value of 10 must not be 

used in conjunction with code values 11 

through 14. The code value of 20 must not 

be used in conjunction with other code values.

caseComponent/investigation/clients/

client/ethnicity

investigationId, 

clientId

The <ethnicity> element was removed from 

this <client>.

N1130 The disability code value of 8 must not be 

used in conjunction with other code values.

caseComponent/investigation/clients/

client/disabilities

investigationId, 

clientId

The <disabilities> element was removed from 

this <client>.

N1140 The behavior health screening code value of 

10 must not be used in conjunction with other 

code values.

caseComponent/investigation/clients/

client/behaviorHealthScrns

investigationId, 

clientId

The <behaviorHealthScrns> element was 

removed from this <client>.

N1150 The behavior health diagnosis code value of 

10 must not be used in conjunction with other 

code values.

caseComponent/investigation/clients/

client/behaviorHealthDiags

investigationId, 

clientId

The <behaviorHealthDiags> element was 

removed from this <client>.

N1160 The substitute decision maker code value of 

30 must not be used in conjunction with code 

values 31 and 32. The code value of 50 must 

not be used in conjunction with other code 

values.

caseComponent/investigation/clients/

client/subDecMkrsStart

investigationId, 

clientId

The <subDecMkrsStart> element was 

removed from this <client>.

N1170 The substitute decision maker code value of 

30 must not be used in conjunction with code 

values 31 and 32. The code value of 50 must 

not be used in conjunction with other code 

values.

caseComponent/investigation/clients/

client/subDecMkrsClose

investigationId, 

clientId

The <subDecMkrsClose> element was 

removed from this <client>.

N1180 The service code value of 19 must not be used 

in conjunction with other code values.

caseComponent/investigation/clients/

client/servicesStart

investigationId, 

clientId

The <servicesStart> element was removed 

from this <client>.

N1190 The service code value of 19 must not be used 

in conjunction with other code values.

caseComponent/investigation/clients/

client/servicesAps

investigationId, 

clientId

The <servicesAps> element was removed 

from this <client>.

N1200 The service code value of 19 must not be used 

in conjunction with other code values.

caseComponent/investigation/clients/

client/servicesReferred

investigationId, 

clientId

The <servicesReferred> element was removed 

from this <client>.

N1210 The service code value of 19 must not be used 

in conjunction with other code values.

caseComponent/investigation/clients/

client/servicesClose

investigationId, 

clientId

The <servicesClose> element was removed 

from this <client>.

N1220 The interagency code value of 7 must not be 

used in conjunction with other code values. 

caseComponent/investigation/clients/

client/int erAgency 

investigationId, 

clientId 

The <interAgency> element was removed 

from this <client>. 

N1230 The race code value of 20 must not be used in 

conjunction with code values 21 through 27. 

The code value of 40 must not be used in 

conjunction with code values 41 through 44. 

caseComponent/investigation/perpetrators/

perpetrator/race 

investigationId, 

perpetratorId 

The <race> element was removed from this 

<perpetrator>. 

N1240 The ethnicity code value of 10 must not be 

used in conjunction with code values 11 

through 14. The code value of 20 must not 

be used in conjunction with other code values. 

caseComponent/investigation/perpetrators/

perpetrator/ethnicity 

investigationId,

perpetratorId 

The <ethnicity> element was removed from 

this <perpetrator>. 

N1250 The disability code value of 8 must not be 

used in conjunction with other code values. 

caseComponent/investigation/perpetrators/

perpetrator/disabilities 

investigationId, 

perpetratorId 

The <disabilities> element was removed from 

this <perpetrator>. 
Appendix F: Case Component Validation Rules F-4

# Rule Path Locator IDs Error Message

N1260 The behavior health screening code value of 

10 must not be used in conjunction with other 

code values. 

caseComponent/investigation/perpetrators/

perpetrator/behaviorHealthScrns 

investigationId, 

perpetratorId 

The <behaviorHealthScrns> element was 

removed from this <perpetrator>. 

N1270 The behavior health diagnosis code value of 

10 must not be used in conjunction with other 

code values. 

caseComponent/investigation/perpetrators/

perpetrator/behaviorHealthDiags 

investigationId, 

perpetratorId 

The <behaviorHealthDiags> element was 

removed from this <perpetrator>. 

N1310 The substitute decision maker code value of 

30 must not be used in conjunction with code 

values 31 and 32. The code value of 50 must 

not be used in conjunction with other code 

values. 

caseComponent/investigation/relationships/

relationship/perpSubDecMkrsStart 

investigationId, 

clientId, 

perpetratorId 

The <perpSubDecMkrsStart> element was 

removed from this <relationship>. 

N1320 The substitute decision maker code value of 

30 must not be used in conjunction with code 

values 31 and 32. The code value of 50 must 

not be used in conjunction with other code 

values. 

caseComponent/investigation/relationships/

relationship/perpSubDecMkrsClose 

investigationId, 

clientId, 

perpetratorId 

The 

<perpSubDecMkrsClose> element was 

removed from this <relationship>. 

N1330 The legal remedy code value of 6 must not be 

used in conjunction with other code values. 

caseComponent/investigation/relationships/

relationship/perpLegalRem 

investigationId, 

clientId, 

perpetratorId 

The <perpLegalRem> element was removed 

from this <relationship>. 

N2010 A Perpetrator must be related to at least one 

Substantiated Maltreatment. 

caseComponent/investigation/

perpetrators/perpetrator 

investigationId, 

perpetratorId 

The <perpetrator> element was removed. If 

there was a linked <relationship> element 

(relationship with client), it was removed as 

well. 

N2020 Each Relationship must have at least one nonunknown attribute specified. caseComponent/investigation/

relationships/relationship 

investigationId, 

clientId, 

perpetratorId 

The <relationship> element was removed. 

N2030 An Investigation must be related to at least 

one Client. 

caseComponent/investigation investigationId The <investigation> element was removed. 

N2040 The Case Closure Date must be within the 

Reporting Period. 

caseComponent/investigation investigationId The <investigation> element was removed.