National
Death Index
User's Guide
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Table of Contents
Exhibit
1 - NDI User Records, Sample Format
Exhibit
2 -
NDI
User File Format and Coding Specifications
Exhibit
3 -
Coding Instructions
for Names
Exhibit
4 - State
(or Foreign Country)
of Residence, Birth
and Death
Chapter 3 -
Your NDI
Results (Coming
Soon!)
Chapter 4 -
Assessing the NDI Output
(Coming
Soon!)
Appendix A -
A Probabilistic Scoring Approach for Assessing NDI Match Results
(Coming Soon!)
If you would like to receive an e-mail attachment containing a draft of
the entire User's Guide, please use this
e-mail link to request the draft.
Chapter 1
How to Use the National
Death Index (NDI): Steps in the Process
-
Download the NDI Application Form from the NDI website.
-
Call NDI staff
for guidance. If you want to be approved for the NDI Plus service (to obtain
cause of death codes), also have NDI staff e-mail you the confidentiality forms
for Florida and New York City.
-
E-mail your
unsigned NDI Application Form to ndi@cdc.gov.
-
NDI staff will
e-mail your assigned NDI number. NDI staff will call if any revisions are needed.
-
Express mail
final, signed NDI Application to NCHS. Include signed, notarized forms for
Florida and New York City if you are applying for NDI Plus services. Call
301-458-4444 to confirm that we received your package. Allow approximately two
months for your application to be reviewed and approved.
-
Your
application will be mailed to a 12-member panel for review and comment. Your
Florida and New York City forms will be forwarded to the appropriate vital
statistics offices for approval along with a copy of your NDI Application Form.
-
While your
application is being reviewed you can begin preparing your study subjects?
records for submission (on a CD Rom or diskette). Carefully follow the
specifications in Chapter 2 of this User?s Guide.
-
When your
application is approved, you will receive a letter of approval and an NDI
Transmittal Form.
-
Express mail
your file(s) of study subjects? records to NCHS. Include an NDI Transmittal Form
for each file, a Worksheet for Calculating NDI Charges, and your check or
purchase order. Call 301-458-4444 to confirm that your package has been
received.
-
NDI staff will
express mail your NDI results in about two weeks.
-
Assess your results to identify the TRUE matches using your own selection
criteria. You also have the option of purchasing death certificates directly
from the state vital statistics offices?for all true matches or just for those
matches you feel are questionable.
-
If additional NDI searches are needed in the future for the same study or project, first mail
NCHS a signed NDI Repeat Request Form. (You will receive a new Repeat Request
Form each time you receive your NDI results.) As soon as you receive a letter
approving your repeat request (usually within 2 weeks), you may submit your new
files for an NDI search.
NOTE: Whenever
you have questions, please don?t hesitate calling 301-458-4444 or e-mail us at ndi@cdc.gov. When
e-mailing, always include your phone number and assigned NDI
number.
Chapter 2
Preparing Your Records:
Record Layout and Coding Specifications
-
Records of study subjects must be created in a standard TEXT FILE (flat
file) format.
-
Each record must contain exactly 100 positions.
-
To be eligible for an NDI search, each record must contain at least one
of the following combinations of data items:
FIRST and LAST NAME
and SOCIAL SECURITY NUMBER
FIRST and LAST NAME
and MONTH and YEAR OF BIRTH
SOCIAL SECURITY
NUMBER and DATE OF BIRTH and SEX
-
DO NOT USE ANY DELIMITERS SUCH AS TABS OR COMMAS
TO SEPARATE THE DATA ELEMENTS.
-
Each data element must be put in its specified positions. See
EXHIBIT 1 for sample user records
in the required record layout.
-
Refer to EXHIBIT 2 for the
file format and coding specifications for each data element.
-
Coding
instructions for NAMES appear in EXHIBIT
3.
-
State
codes appear in EXHIBIT 4.
-
An
NDI TRANSMITTAL FORM must accompany
each file submitted for an NDI search. A blank
NDI Transmittal Form(s) containing your assigned NDI search numbers will be sent
to you with the letter approving your NDI search.
-
Only submit your records on a CD-ROM or a standard 3.5 inch diskette. If
you put more than one file on the CD or diskette, it is helpful if you use your
assigned NDI numbers in your file names. Also print your assigned NDI numbers on
the outside of your CD or diskette.
-
You are encouraged to password protect your file(s). If
you do, e-mail us your password (see item 13). The files containing your
NDI results will be assigned the same password.
-
Express mail your files(s), Transmittal Form, fee worksheet, and payment to:
NATIONAL DEATH INDEX
National Center for
Health Statistics
3311 Toledo Road,
Room 7318
Hyattsville, MD
20782
Phone: 301-458-4444
-
E-mail
ndi@cdc.gov
to confirm that your file(s) was received. Include your NDI number and the date
the file was sent. If your file(s) is password protected, include your
password(s) in the e-mail.
Exhibit 1:
NDI User Records, Sample Format
Create in a standard format text file, 100 positions per record, with no
tabs, commas or other delimiters.
_________1_________2
12345678901234567890
BILGRAD
Goodier
ARBERTHA
ARIASMUNOZ
ARIAS
MUNOZ
WASHINGTON
|
_________3_____
123456789012345
ROBERT
Michelle
Joyce
Elizabeth
Elizabeth
Elizabeth
GEORGE
|
_
6
D
A
Q
Q
Q
T
|
___4_____
789012345
288782104
262702171
344454644
344654136
344654136
344654136
851608569
|
__
67
05
11
07
01
01
01
04
|
__
89
22
23
04
21
21
21
08
|
5___
0123
1961
1926
1961
1922
1922
1922
1731
|
______6_________7_
456789012345678901
Bilgrad
Steinbauer
Brown
Arias
Arias
Arias
WASHINGTON
|
_
2
1
0
0
0
0
0
0
|
__
34
01
29
35
75
75
75
75
|
_
5
1
2
2
2
2
2
1
|
_
6
1
1
2
2
2
2
2
|
_
7
2
2
2
1
1
1
1
|
__
89
16
NV
MD
01
01
01
01
|
8_
01
NH
CA
MD
30
30
30
30
|
________9_
2345678901
49596
62345
59387
59387
59387DUP1
59387DUP2
59A53
|
______
234567
120998
122296
100889
052879
052879
052879
060183
|
__0
890
|
Positions of NDI Data Items
(Mouseover item below to highlight
position(s) in the above sample format or
click for more information.)
Exhibit 2
- NDI User File Format and Coding Specifications
DATA ELEMENTS |
POSITION |
CODE STRUCTURE |
CODING INSTRUCTIONS |
1. Name of Person in
the Study Group |
|
|
-
See
EXHIBIT 3
for
instructions for coding surnames, first names, and middle initials.
-
Both LAST name and
FIRST name must be provided or the record will automatically be
rejected unless the record contains a Social Security Number, a date
of birth and a sex code. An initial in the FIRST name field is
permitted.
(See
minimum NDI eligibility requirements.)
|
Last Name
|
1-20 |
Alpha, left justified |
First Name
|
21-35 |
Alpha, left justified |
Middle Initial
|
36 |
Alpha or blank |
|
2. Social Security
Number |
37-45 |
Numeric or blank
|
-
Must have 9 digits.
-
If less than
9 or partial number, skip the field.
-
If more than 9
digits, enter the first 9 digits.
-
If two Social
Security numbers are available, create a second
submission record.
If the number is
unknown or not provided, leave the field blank.
-
If SOCIAL
SECURITY NUMBER is not provided, the MONTH and YEAR OF BIRTH
and FIRST AND LAST NAME must be
provided or the record will automatically be rejected.
(See
minimum NDI eligibility requirements.)
|
|
3. Date of Birth |
|
|
-
The months of
January-September and the days 1-9 must have leading zeros.
-
If either MONTH or
YEAR of BIRTH is not provided, the SOCIAL SECURITY NUMBER
and FIRST AND LAST NAME
must be provided or the record will automatically be rejected.
(See
minimum NDI eligibility requirements.)
-
If only a person?s
YEAR of BIRTH is known, you should consider the merits of preparing 12
duplicate records, one for each possible MONTH of BIRTH. This is
especially important when the SOCIAL SECURITY NUMBER is not known.
-
There is no
charge for duplicate records.
|
Month
|
46-47 |
January |
01 |
February |
02 |
March |
03 |
April |
04 |
May |
05 |
June |
06 |
July |
07 |
August |
08 |
September |
09 |
October |
10 |
November |
11 |
December |
12 |
Unknown or not stated |
blank or 99 |
Day
|
48-49 |
01-31
Unknown or
not stated |
blank or 99
|
Year
|
50-53 |
1850 - 20xx
Blank if unknown |
|
4. Father?s
Surname |
54-71 |
Alpha, left justified
or blank if unknown |
-
Follow the coding
instructions for ?surnames? as specified in
EXHIBIT 3.
-
For females the
provision of FATHER?S SURNAME is encouraged.
-
For males FATHER?S
SURNAME is necessary only when it differs from LAST NAME.
|
|
5.
Age at Death |
|
-
Code the ACTUAL age
at death if it is already known. An estimated age at death may be used
only when deaths for one year are being searched.
-
The ?unit? field
identifies the type of units for which age at death is measured.
Example: Age 65 years
Unit = 0
Number of Units = 65
Example: Age 105 years
Unit = 1
Number of units = 05
Example: Age 8 months
Unit = 2
Number of units =08
Example: Age unknown
Unit = blank or 9
Number of units = blank or 99
|
Unit |
72 |
Year: less than 100 |
0 |
Years: 100 or more |
1 |
Months |
2 |
Weeks |
3 |
Days |
4 |
Hours |
5 |
Minutes |
6 |
Age unknown |
blank or 9 |
Number of Units |
73-74 |
Enter age |
01-99 |
Age unknown |
blank or 99 |
|
6. Sex
|
75 |
Male |
1 or M |
|
Female |
2 or F |
Unknown |
blank or 9 |
|
7. Race |
76 |
White |
1* |
*
White (includes Mexican, Puerto Rican and all Caucasian)
* Indian (includes
American, Alaskan, Canadian, or Mexican Indian, Eskimo, and
Aleut)
* Hawaiian (includes part Hawaiian)
*
Other
nonwhite (includes Cajun and Creole) |
Black |
2 |
Indian |
3* |
Chinese |
4 |
Japanese |
5 |
Hawaiian |
6* |
Other nonwhite |
7* |
Filipino |
8 |
Other
Asian or Pacific Islander |
0 |
Unknown, not stated, or not classifiable |
blank
or 9 |
|
8.
Marital Status |
77 |
Never married/single |
1* |
* Other Entries
Annulled 1
Separated 2
Common law marriage 2 |
Married |
2* |
Widowed |
3 |
Divorced |
4 |
Unknown |
blank or 9 |
|
9.
State of Residence
|
78-79 |
ALPHA and/or NUMERIC
codes |
-
See
EXHIBIT 4 for
the ALPHA and/or NUMERIC codes which may be used.
-
Insert last known
STATE of residence. If provided by the NDI user it will be matched
against the State of residence as reported on the death certificate.
|
States |
01-51 |
Puerto Rico |
52 |
Virgin Islands |
53 |
Guam |
54 |
Canada |
55 |
Cuba |
56 |
Mexico |
57 |
Remainder of World |
59 |
Unknown |
blank or 99 |
|
10. State of Birth
|
80-81 |
(Same code structure
as ?State of Residence? above) |
|
|
11. Control or
Sequence Number
(OPTIONAL)
|
82-91 |
Any combination of
ALPHA/NUMERIC If no numbers are
assigned, leave this field BLANK. |
-
This is an OPTIONAL
field to assist NDI users in identifying the records they submit.
Insert control (or ID) numbers assigned to persons in the study OR
assign ?sequence numbers? based on the order that records appear on
the file submitted to NCHS.
-
If duplicate or
alias records are submitted, a flag could be put at the end of the
Control Number (e.g., D1, D2, DUP1, or DUP2).
-
NOTE: NCHS will
assign a sequence number whenever this field is left blank. The
computer output will print the control or sequence number for each
user record.
|
|
12. Optional User Data
|
92-97
|
Any combination of
ALPHA/NUMBERIC If this field is
not used, leave it BLANK |
-
This OPTIONAL field may be used for any additional information
on study subjects. Examples of possible uses are:
-
Date or year of last
contact (e.g., 011584 or just 1984)
-
To flag TEST RECORDS
of known decedents (e.g., D or DEAD).
-
Coded information to
identify special subgroups of study subjects
-
To flag DUPLICATE
or ALIAS records
-
The NDI computer
output will contain whatever the user decides to include in this
field.
|
|
13. Blank Field |
98-100 |
|
|
EXHIBIT 3: CODING INSTRUCTIONS FOR NAMES
Surnames (last name and
father's surname):
1. If the entire surname will not fit in the 20 position field, truncate it.
2. If the surname has a space or apostrophe following a prefix, such as Van
Braun, Mac Pherson, O?Toole, or O?Mally, the NDI edit program will remove the
space and the apostrophe between the prefix and the name.
3. If more than one surname is given, separated by a space or hyphen, type
each name in the surname field. The NDI edit program will remove the space or
the hyphen.
4. If a subject?s full name appears to contain a MAIDEN name (for example, Jane
Karen SMITH-Lee or Jane SMITH Lee), it is important for the maiden name also to
be entered separately in the FATHER?S SURNAME field to enhance the possibility
of a match. Listed below are suggestions of how user records may be prepared to
cover the two different situations:
Example: Jane Karen SMITH-Lee
Key-First name: JANE
Middle initial: K
Last name: SMITH-LEE
Father?s surname: SMITH
Example: Jane SMITH Lee
Key-First name: JANE
Middle initial: S
Last name: LEE
Father?s surname: SMITH
5. If more than one surname is given and you are uncertain as to which surname
to put in
the last name field, you should consider the merits of creating a duplicate or
alias record(s), one record for each surname. This may enhance the effectiveness
of the NDI file search, especially for records without Social Security numbers.
You may want to flag such duplicate records by inserting codes of your own
choosing in either the control number field (positions 82-91) or the optional
user data field (positions 92-97). NOTE: You are not
charged for duplicate or alias records; however, please report them on your NDI
Transmittal Form.
6. Suffixes or generational identifiers such as II, III, Jr., or Sr. will be
removed by the NDI
edit program.
7. For names such as Sister Mary Lawrence, enter LAWRENCE as the last name,
SISTER MARY as the first name, and a BLANK for middle initial.
First names and middle initials:
1. If the entire first name will not fit in the field, truncate it.
2. If two first names and a middle name are given, type both first given names
(with or without a space between each name) in the first name field and type the
middle initial in the middle initial field (truncate).
Example: MARY ANN LOUISE Jones
Key-First name: MARY ANN
Middle initial: L
Example: MARY ANN Jones (Treat ANN as the middle name unless your records
Indicate that ANN is part of the first name.)
Key-First name: MARY
Middle initial: A
3. If a person (a) goes by two distinctly different first names, (b) has a first
name and a nick name, or (c) uses the shortened form of a presumed legal name
(for example, Bob for Robert, Liz for Elizabeth, Ben for Benjamin) you should
consider the merits of creating duplicate or alias record(s), one record for
each first name. This may enhance the matching effectiveness of the NDI file
search, especially for records without Social Security numbers. You may want to
flag such duplicate records by inserting codes of your own choosing in either
the control number field (positions 82-91) or the optional user data field
(positions 92-97). NOTE: You are not charged for
duplicate or alias records; however, please report them on your NDI Transmittal
Form.
4. If entries have a first initial and a middle name, enter an initial for the
first name and an initial for middle name.
5. If entries have multiple middle names or initials enter only the first
initial (for example, Robert M.L. Jones: type ?M? as the middle initial and drop the ?L?.
6. For infant deaths, names such as ?Baby Girl? Jones should be entered as Baby
Girl for first name and Jones for last name.
EXHIBIT 4: STATE (OR
FOREIGN COUNTRY) OF RESIDENCE, BIRTH AND DEATH
State |
Alpha Code |
Numeric
Code |
|
State |
Alpha
Code |
Numeric
Code |
Alabama |
AL |
01 |
New Jersey |
NJ |
31 |
Alaska |
AK |
02 |
New Mexico |
NM |
32 |
Arizona |
AZ |
03 |
New York |
NY |
33 |
Arkansas |
AR |
04 |
North Carolina |
NC |
34 |
California |
CA |
05 |
North Dakota |
ND |
35 |
Colorado |
CO |
06 |
Ohio |
OH |
36 |
Connecticut |
CT |
07 |
Oklahoma |
OK |
37 |
Delaware |
DE |
08 |
Oregon |
OR |
38 |
District of Columbia |
DC |
09 |
Pennsylvania |
PA |
39 |
Florida |
FL |
10 |
Rhode Island |
RI |
40 |
Georgia |
GA |
11 |
South Carolina |
SC |
41 |
Hawaii |
HI |
12 |
South Dakota |
SD |
42 |
Idaho |
ID |
13 |
Tennessee |
TN |
43 |
Illinois |
IL |
14 |
Texas |
TX |
44 |
Indiana |
IN |
15 |
Utah |
UT |
45 |
Iowa |
IA |
16 |
Vermont |
VT |
46 |
Kansas |
KS |
17 |
Virginia |
VA |
47 |
Kentucky |
KY |
18 |
Washington |
WA |
48 |
Louisiana |
LA |
19 |
West Virginia |
WV |
49 |
Maine |
ME |
20 |
Wisconsin |
WI |
50 |
Maryland |
MD |
21 |
Wyoming |
WY |
51 |
Massachusetts |
MA |
22 |
Puerto Rico |
PR |
52 |
Michigan |
MI |
23 |
Virgin Islands |
VI |
53 |
Minnesota |
MN |
24 |
Guam |
GU |
54 |
Mississippi |
MS |
25 |
Canada |
CN |
55 |
Missouri |
MO |
26 |
Cuba |
CU |
56 |
Montana |
MT |
27 |
Mexico |
MX |
57 |
Nebraska |
NE |
28 |
Remainder of World |
RW |
59 |
Nevada |
NV |
29 |
Unknown |
|
99 |
New Hampshire |
NH |
30 |
|
|
|
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This page last reviewed November 5, 1999
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