NAMRS Case Component

OMB Control Number 0985-0054
Expiration Date: 02/29/2020

CASE COMPONENT DATA
PRA Public Burden Statement:
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of
information unless such collection displays a valid OMB control number (OMB 0985-0054). Public
reporting burden for this collection of information is estimated to average per response as follows for each
component of the collection: Agency Component – 7 hours; Key Indicator Component – 32 hours; Case
Component – 125 hours. These estimates include the time for gathering and maintaining the data needed and
completing and reviewing the collection of information. The obligation to respond to this collection is
voluntary. Send comments regarding the burden estimate or any other aspect of this collection of
information, including suggestions for reducing this burden, to the Administration for Community Living,
U.S. Department of Health and Human Services, 330 C Street, SW, Washington, DC 20201-0008, Attention:
Stephanie Whittier Eliason, at 202.795.7467 and [email protected]

Case: The Case Component data is submitted by uploading a data file to the NAMRS website annually. Specific
instructions will be provided to states on the data file formatting. The reporting period is the federal fiscal year
(October–September).
Table 1–Investigation Entity
Each reporting period submission may have multiple investigations.
Element
No.

Element
Name

Element Description

Required

Cardinality

Type/Format

Code Values

Inv1

Investigation ID

Yes

Single

Encoded ID

Not applicable

Inv2

Report date

No

Single

Date
yyyy-mm-dd

Not applicable

Inv3

Report source

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.
The month, day, and year the
agency was notified of the
suspected adult maltreatment.
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 client.

No

Multiple

Enumeration
(code)

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 (#####)

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
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
C-1

Element
No.

Element
Name

Element Description

Required

Cardinality

Type/Format

Code Values

Inv5

Investigation
start date

No

Single

Date
yyyy-mm-dd

Not applicable

Inv6

Investigation
disposition
date

No

Single

Date
yyyy-mm-dd

Not applicable

Inv7

Case closure
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.
The date that the agency
completed dispositions on the
allegations of maltreatment
associated with the
investigation.
The date that the agency
completed all activities related
to the investigation of the case.

Yes

Single

Date
yyyy-mm-dd

Not applicable

Table 2–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.
Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Clt1

Client ID

The unique identifier used by
the state for each client. The
identifier is assigned to a
specific client and is used
identify the same client
across investigations and
reporting periods. The client
ID is encrypted by state for
purposes of data submission.
Data on multiple clients can
be submitted for the
investigation.

Yes

Single

Encoded ID

Not applicable

C-2

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Clt2

Maltreatment
setting

The location where the
alleged maltreatment
occurred.

No

Single

Enumeration
(code)

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 (#####)

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 (nonspecific)
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
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/ge
o/www/fips/fips.html

C-3

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Clt4

Case closure
reason

The primary reason why the
case was closed.

No

Single

Enumeration
(code)

Clt5

Age

The age of the client in years
(at investigation start date).

No

Single

Enumeration
(code)

Clt6

Gender identity

No

Single

Enumeration
(code)

Clt7

Sexual
orientation

The actual or perceived
gender-related characteristics
of the client.
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)

10 = investigation
completed
20 = investigation
completed and protective
services case completed
30 = investigation unable
to be completed (nonspecific)
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
18,19…74 = actual age
75 = 75 through 84
85 = 85 and older
1 = male
2 = female
3 = transgender
1 = straight
2 = gay/lesbian
3 = bisexual
4 = questioning
5 = other

C-4

Element
No.

Element Name

Element Description

Clt8

Race

Clt9

Clt10

Required

Cardinality

Type/Format

Code Values

The population(s) or group(s) No
that the client identifies as
being a member. A client may
have more than one race
(multi-racial). For example, if
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”.

Multiple

Enumeration
(code)

Ethnicity

The affiliation of the client as
Hispanic or Latino/a or nonHispanic or Latino/a. Multiple
ethnicity code values can be
submitted for the client.

No

Multiple

Enumeration
(code)

Primary
language

The primary language or
method that the client uses
for written and verbal
communication.

No

Single

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
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
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

C-5

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Clt11

Marital status

The client’s status based on
state residency laws.

No

Single

Enumeration
(code)

Clt12

Schooling level

The highest educational
degree attained by the client.

No

Single

Enumeration
(code)

Clt13

Employment
status

The involvement of the client
in the labor force.

No

Single

Enumeration
(code)

Clt14

Income level

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

No

Single

Enumeration
(code)

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)

Clt16

Veteran status

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

No

Single

Enumeration
(code)

1 = never married
2 = married
3 = domestic partner,
including civil union
4 = divorced
5 = separated
6 = widowed
7 = other
1 = less than high school
2 = high school diploma or
equivalent
3 = associate’s degree or
bachelor’s degree
4 = advanced degree
1 = employed
2 = unemployed
3 = not in labor force
4 = other
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
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
1 = veteran
2 = non-veteran

C-6

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

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)

Clt18

ADL score

No

Single

Numeric
(6 integers)

Clt19

IADL score

No

Single

Numeric
(6 integers)

Permissible values are
0-8

Clt20

Behavioral
health
screenings or
diagnoses

The client’s score on the Katz
Index of Independence in
Activities of Daily Living
(ADL).
The client’s score on the
Lawton Instrumental Activities
of Daily Living (IADL).
The results of assessments
on the client, conducted by
the APS agency. Multiple
behavioral health code values
can be submitted for the
client.

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
Permissible values are
0-6

No

Multiple

Enumeration
(code)

Clt21

Living setting at
start

The primary residential
environment of the client at
the start of investigation.

No

Single

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
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 (nonspecific)
31 = licensed nursing
home
32 = non-licensed
nursing home
40 = other

C-7

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Clt22

Living setting at
close

The primary residential
environment of the client at
the time of case closure.

No

Single

Enumeration
(code)

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)

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 = 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 (nonspecific)
31 = licensed nursing
home
32 = non-licensed
nursing home
40 = other
10 = health care proxy in
effect
20 = financial proxy in
effect
30 = guardianship or
conservatorship (nonspecific)
31 = guardianship or
conservatorship of person
32 = guardianship or
conservatorship of
property
40 = representative payee
50 = none
10 = health care proxy in
effect
20 = financial proxy in
effect
30 = guardianship or
conservatorship (nonspecific)
31 = guardianship or
conservatorship of person
32 = guardianship or
conservatorship of
property
40 = representative payee
50 = none

C-8

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Clt25

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.

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

C-9

Element
No.

Element Name

Element Description

Required

Clt26

Services APS

The services that the agency
No
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.

Cardinality

Type/Format

Code Values

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

C-10

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

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

C-11

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

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)

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)

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 = 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
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
1 = yes
2 = no

C-12

Table 3–Maltreatment Allegation Entity
Each client may have multiple maltreatment allegation entities within a specific investigation but only one of a
particular maltreatment type. Each maltreatment allegation entity is associated with only one client. Each
maltreatment allegation entity must be composed of a maltreatment type and maltreatment disposition.
Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Mal1

Maltreatment type

The alleged maltreatments
that are investigated.

Yes

Single (per
entity)

Enumeration
(code)

Mal2

Maltreatment
disposition

The disposition of each
alleged maltreatment.

Yes

Single (per
entity)

Enumeration
(code)

10 = abandonment
20 = emotional abuse
30 = exploitation (nonspecific)
31= financial exploitation
32= other exploitation
40 = neglect
50 = physical abuse
60 = sexual abuse
70 = suspicious death
80 = self-neglect
90 = other
1 = substantiated
2 = inconclusive
3 = unsubstantiated
4 = other

Table 4–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.
Element
No.

Element Name

Element Description

Required

Cardinality

Type/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

Not applicable

C-13

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

Per2

Age

The age of the perpetrator in
years (at investigation start
date).

No

Single

Enumeration
(code)

Per3

Gender identity

No

Single

Enumeration
(code)

Per4

Race

The actual or perceived
gender-related characteristics
of the perpetrator.
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, if 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)

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)

17 = 17 and younger
18,19…74 = actual age
75 = 75 through 84
85 = 85 and older
1 = male
2 = female
3 = transgender
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
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

C-14

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

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)

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 = 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
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

Table 5–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.
Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

CPR1

Cohabitation at
start

No

Single

Enumeration
(code)

1 = yes
2 = no

CPR2

Cohabitation at
close

The indication if the
perpetrator and client are
cohabitating at the start of the
investigation.
The indication if the
perpetrator and client are
cohabitating at the time of
case closure.

No

Single

Enumeration
(code)

1 = yes
2 = no

C-15

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

CPR3

Kinship
relationship

The indication if the
perpetrator is related to the
client by affinity (blood,
adoption, marriage, etc.).

No

Single

Enumeration
(code)

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)

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 = 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
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
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

C-16

Element
No.

Element Name

Element Description

Required

Cardinality

Type/Format

Code Values

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)

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)

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)

10 = health care proxy in
effect
20 = financial proxy in
effect
30 = guardianship or
conservatorship (nonspecific)
31 = guardianship or
conservatorship of
person
32 = guardianship or
conservatorship of
property
40 = representative
payee
50 = none
10 = health care proxy in
effect
20 = financial proxy in
effect
30 = guardianship or
conservatorship (nonspecific)
31 = guardianship or
conservatorship of
person
32 = guardianship or
conservatorship of
property
40 = representative
payee
50 = none
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

C-17