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Year to Date Submission Model guidance for submitters

This guidance was updated in July 2021 to present the latest position.

The Multiple Submission Window Model (MSWM) allows providers to retrospectively submit data for a specific reporting period once the initial provisional and performance submission windows have closed.

Summary

This guidance was updated in July 2021 to present the latest position.

The Multiple Submission Window Model (MSWM) allows providers to retrospectively submit data for a specific reporting period once the initial provisional and performance submission windows have closed.


The Multiple Submission Window Model should only be employed where:

  • a new provider starts submitting data mid-year for the first time
  • an issue was identified in a provider’s submission for that month that requires resubmission
  • the resubmission of a particular month’s data has resulted in data associated with earlier or later months being impacted

Note: submissions for the 2021/22 financial year will be different from previous years due to the change in version halfway through the year as MHSDS version 4.1 is migrated to version 5.  Once the switch from version 4.1 to version 5 has happened no further updates can be made to the period April to September 2021.

NHS England use data submitted in-year to monitor performance so it is essential that providers submit the best quality data they can first time, rather than rely on resubmitting higher quality data later in the year.

Resubmission of data is optional, and we anticipate providers will use this process only in exceptional circumstances. There is no need to resubmit data unless the resubmitted data are considered to be of higher quality than the original submission or if the data being resubmitted has a knock-on effect on other data (for example, where a change to April’s submission impacts the May and June submissions, then all three months should be resubmitted).  Note, the change in MHSDS version described above may mean, in some cases, that providers cannot make a resubmission.

Each month of data must be submitted in a separate file; it will not be possible to submit a file containing data for more than a single month. The submission portal, SDCS Cloud, has been modified so that the month being submitted can be specified by the user.

When making a resubmission, a provider should include all the data relevant to that reporting period and not just specific records that have changed or additions to data previously submitted. As part of the MSWM submitters also have an obligation to submit subsequent months data that may be impacted depending on the data submitted and the reporting period. This means that providers should be aware of the additional burden on resources and processes that this may entail.

The MSWM only allows resubmission of data for months in the current financial year and MHSDS version. For example, once the provisional and performance submission windows have closed for May 2021 it will be possible to make a resubmission for this month’s data up until 18th November 2021 (the end of the submission period for v4.1 2021 data).  After this date, no updates using either v4.1 or v5 can be made for the first half of the year.

These cut offs will apply to all data associated with that part of the financial year, thus the resubmission window will in effect be shorter than usual for the period April 2021 to September 2021. As before, as the window progresses the time allowed for resubmission also reduces. For example, January 2022 data can be resubmitted until May 2022 , while March 2022 will have no resubmission period (just the standard Provisional and Performance windows, which end in May 2022).

Timetable for resubmissions
Data submission
Activity Month version Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May
Apr 4.1 Pe U U U U F - - - - - -
May 4.1 Pr Pe U U U F - - - - - -
Jun 4.1 - Pr Pe U U F - - - - - -
Jul 4.1 - - Pr Pe U F - - - - - -
Aug 4.1 - - - Pr Pe F - - - - - -
Sep 4.1 - - - - Pr F - - - - - -
Version Change
Oct 5.0 - - - - - - Pe U U U U F
Nov 5.0 - - - - - - Pr Pe U U U F
Dec 5.0 - - - - - - - Pr Pe U U F
Jan 5.0 - - - - - - - - Pr Pe U F
Feb 5.0 - - - - - - - - - Pr Pe F
Mar 5.0 - - - - - - - - - - Pr F

Pe: Performance

Pr: Provisional

U: Update

F: Final

Mental Health Services dataset tables and the dependencies of future months
Table resubmitted Need to change and resubmit subsequent months?
MHS000Header No
MHS001MPI Yes
MHS002GP Yes
MHS003AccommStatus Yes
MHS004EmpStatus Yes
MHS005PatInd Yes
MHS006MHCareCoord Yes
MHS007DisabilityType Yes
MHS008CarePlanType Yes
MHS009CarePlanAgreement Yes
MHS010AssTechToSupportDisTyp Yes
MHS011SocPerCircumstances Yes
MHS012OverseasVisitorChargingCategory (MHS012OverseasVisitorChargCat in v5) Yes
MHS013MHCurrencyModel Yes (new in v5)
MHS101Referral Yes
MHS102ServiceTypeReferredTo Yes
MHS103OtherReasonReferral Yes
MHS104RTT Yes
MHS105OnwardReferral Yes
MHS106DischargePlanAgreement Yes
MHS107MedicationPrescription Yes
MHS201CareContact No
MHS202CareActivity No
MHS203OtherAttend No
MHS204IndirectActivity No
MHS301GroupSession No
MHS302MHDropInContact No (new in v5)
MHS401MHActPeriod Yes
MHS402RespClinicianAssignment (MHS402RespClinicianAssignPeriod in v5) Yes
MHS403ConditionalDischarge Yes
MHS404CommTreatOrder Yes
MHS405CommTreatOrderRecall Yes
MHS501HospProvSpell Yes
MHS502WardStay Yes
MHS503AssignedCareProf Yes
MHS504DelayedDischarge Yes
MHS505RestrictiveIntervention (MHS505RestrictiveInterventInc in v5) Yes
MHS506Assault No
MHS507SelfHarm No
MHS509HomeLeave Yes
MHS510LeaveOfAbsence Yes
MHS511AbsenceWithoutLeave Yes
MHS512HospSpellComm (MHS512HospSpellCommAssPer in v5) Yes
MHS513SubstanceMisuse No
MHS514TrialLeave Yes
MHS515RestrictiveInterventType Yes (new in v5)
MHS516PoliceAssistanceRequest No (new in v5)
MHS517SMHExceptionalPackOfCare Yes (new in v5)
MHS601MedHistPrevDiag Yes
MHS603ProvDiag Yes
MHS604PrimDiag Yes
MHS605SecDiag Yes
MHS606CodedScoreAssessmentRefer No
MHS607CodedScoreAssessmentAct No
MHS608AnonSelfAssess No
MHS701CPACareEpisode Yes
MHS702CPAReview No
MHS801ClusterTool Yes
MHS802ClusterAssess Yes
MHS803CareCluster Yes
MHS804FiveForensicPathways No
MHS901StaffDetails No

This table shows further resubmission of a subsequent reporting period is required. This is because of the dependency in later months. For example, if a referral is changed for the April submission (through resubmission) and not subsequently changed in later months the changes made would only apply to the April reporting period and not subsequent months, which would be incorrect.

Where tables are marked with “Yes”, subsequent months will need to be resubmitted with changes made where relevant.

Note: resubmissions for v4.1 and the reporting period April to September 2021 can only be made up to 18 November 2021 and resubmissions for v5 and the reporting period October 2021 to March 2022 can only be made up to 20 May 2022.


Examples showing the use of the Multiple Submission Window Model

These examples show the use of the Multiple Submission Window model and how a resubmission for a specific reporting period may also mean that further reporting periods need to be resubmitted.

Example 1

A provider submits updated data for the April reporting period in July. As part of this change, they include the following:

  • additional care contacts
  • close some referrals which were open previously
  • update some people’s demographic records

In this case the resubmission would update these records for April only. In addition to this they would also have to subsequently change the relevant tables effected in the subsequent months after April and resubmit all the May to August data. Please see the Mental Health Services dataset tables and the dependencies of future months table above for a list of the data tables that would need changing for subsequent months. In this case these include changing:

  • MHS101 Referral table to remove the records that closed if they appear in later submissions made in the performance or provisional submission windows.
  • MHS001MPI records to ensure the demographic records are correct for the months the person was in contact with services.

The MHS201 Care Contact table would not need additional changes (but should still be resubmitted) as the data is validated to only allow Care Contacts which occur within that reporting period.

Note that if the updates are required across the implementation date for the migration from MHSDS v4.1 to v5 then the backdating of all records will not be possible.  This is the same as the normal scenario across cut offs between financial years.

Example 2

A provider has a change in system in June. The change in system creates widespread changes to the service request IDs used in the MHSDS submission. Using the MSWM it would be possible to backdate these submission IDs for the financial year (i.e. from April). In this case the resubmissions would not impact subsequent months as they would be submitted using the provider's new system and be correct.

Note that if the change happens across the implementation date for the migration from MHSDS v4.1 to v5 then the backdating of all records will not be possible.  This is the same as the normal scenario across cut offs between financial years.


Changes to existing Mental Health Services Dataset publications

Within the Multiple Submission Window Model and for the 2021/22 financial year, data for May 2021 may be submitted in June 2021 or any period up to 18 November 2021. Unlike the historic methodology for which the data would have been finalised within the July 2021 submission and reported upon in the August 2021 final report. (Data for October 2021 may be submitted from 19 November 2021 up to May 2022).

The aim of providing this flexibility is so that new submitters can “catch up” and existing submitters can improve their data quality, where required. Providers will however be expected to submit data of the best possible quality at the first attempt and to submit data within the two monthly windows following the month when the service was delivered.

The implications of this approach for the current publications are considered below in terms of the monthly, quarterly and annual publications.


Mental Health Services Monthly Publication

The following publications are produced every month.  In October 2020 NHS Digital published:

Performance July 2020: based on data submitted in August (Provisional) and September (Performance);

Provisional August 2020: based on data submitted in September (Provisional).

In years where versions change at the end of the financial year then it is possible that July data could have been submitted for the first time (catch up) or resubmitted (improved data quality) in months beyond September, the data will not be finalised by October and therefore several changes were implemented.

The Strategy that will be adopted

The Provisional Report continues to be produced as it is important to have an early view of the data especially for issues such as Delayed Transfers of Care (DToC).

The Performance Report (previously the Final Report) is produced using the same timeframe that is currently adopted, that is, following the two months for submission.

These reports will be classed as “Experimental Statistics”, containing all measures that would have been included previously and any new measures will be added to this publication in due course.

The Provisional and Performance Reports will employ all relevant data available to NHS Digital at the time the reports are issued (up to the closure of the Performance Submission window). This takes advantage of the Multiple Submission Window Model (MSWM) as follows:

  • if a provider has resubmitted historic data (resolving issues) or submitted historic data for the first time (catch up), this will be included in the calculation of measures that consider data over a period of time thus better reflecting the performance of the provider, an example measure that would be improved is MHS69 - The number of children and young people receiving at least two contacts
  • prior to the MSWM, the measure would have been calculated using incorrect data or missing data if it had been submitted in error or not been submitted during the Provisional or Performance window
  • measures that reflect the performance of the provider during the Provisional or Performance Window will continue to be produced as before, using only data submitted in the Provisional or Performance window

Any data submitted post the creation of the Provisional or Performance Reports will not be included in the calculation of measures until the Final Report, see below.

The notes and data quality documentation associated with these publications will include information relating to the MSWM, and the impact it may have had on the publication (at a high level).

On a monthly basis the Submission Report (also referred to as the MSWM tracker) shall be published, this will record the new submissions that have been made for that month post the creation of the Performance (previously the Final) publication. For instance, if a provider had not submitted data by the time of the publication and now has or a provider has increased or decreased the volume of records for that month substantially, this will be stated. This will not result in an update to the performance publication.

In line with the Annual Bulletin or earlier; once all the submissions have been finalised, that is, post May of the following financial year, a Final Publication Report shall be created for each month. It is not proposed that the changes/impact from the Performance Publication are assessed, as this will have been documented through the MSWM Tracker described above. This new Final Report shall be added to the publication page for the relevant month.


Mental Health Services quarterly publication

The quarterly publication is currently published as part of the monthly publication and presents measures for inclusion in NHS England’s Five Year Forward View (FYFV) dashboard on a quarterly basis. Similarly, NHS Digital publish the quarterly perinatal publication as part of the monthly series.

The following strategy will be adopted for these publications:

  • the quarterly publication will be produced using the proposed timeframe for the Monthly publication, including the quarterly measures where relevant
  • this publication will continue to be classed as “Experimental Statistics”, containing all measures that would have been included previously, unless any changes are agreed with NHS England; any new measures will be added to this publication in due course
  • the notes and data quality documentation associated with this publication will include information relating to the Multiple Submission Window Model (MSWM), and the impact it may have had on the publication
  • for the monthly publications, the latest data available at the time of publication is created and shall be employed in the calculation of the measures
  • quarterly publications will not be updated to reflect the new submissions that have been made for that quarter post the creation of the performance publication
  • in line with the Annual Bulletin publication or earlier; once all the submissions have been finalised, that is, post May of the following financial year, a final version of the quarterly measures shall be produced - these shall be added to the publication page for the relevant month

As part of the MSWM Tracker a summary will be produced of the changes in the data submitted for each of the previous months post the production of the monthly performance publications. This will provide an indication of the potential changes that have occurred post the publication and allow users to determine the potential impact upon the publication that is available.


Annual publications

The annual publications (Mental Health Bulletin and Mental Health Act Annual Publication) will not require any significant changes.

As described above, the creation of Final Publications for each of the individual months in the last financial year (April to March) will be a new addition to the publication series. These will be produced post the final submission window for the data for that financial year, in line with or earlier (as required) than the Annual Bulletin.


Other NHS Digital publications

We produce a number of publications that use MHSDS, to varying degrees, that are not listed,  for example Out of Area Placements and Learning Disabilities. Each of these publications will contain appropriate information around the Multiple Submission Window Model and the potential impact on statistics.

Last edited: 7 July 2021 4:06 pm