Exhibit
4 - State
(or Foreign Country)
of Residence, Birth
and Death
Chapter 3 -
Your NDI
Results: Documentation (Coming
Soon!)
Chapter 4 -
Assessing Your NDI Results
(Coming
Soon!)
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 ofdata 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.
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
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 3for
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 NAMEmust 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 NAMEmust 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 8months
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)
See EXHIBIT 4 for the
ALPHA and/orNUMERIC codes which may be used.
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,
SISTERMARY 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 recordsIndicate 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 aninitial 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 forfirst name and Jones for last name.
EXHIBIT 4: STATE (OR
FOREIGN COUNTRY) OF RESIDENCE, BIRTH AND DEATH