Adult Social Care Data Dictionary

The fields in the DoLS return are defined as follows:

Application reference

The Application Reference is created using a formula combining the three-digit LA code; the Person Reference, the year (24 for 2023-24), followed by an index of the DoLS applied to the individual. This will be generated automatically upon entry of columns B and C.

Person reference

This column should contain a local reference that is unique to the individual for whom the DoLS applies. It can be made up of letters or numbers or a combination of the two. This code should be re-used where another DoLS case occurs for the same individual. This must be a local reference and one which ensures that the identity of the person is protected i.e. not the individuals NHS number.

LA code

The local authority (LA) code is entered using the three-digit code that signifies a Council with Adult Social Service Responsibilities (CASSR); not the standard names and codes as defined by the Office for National Statistics, or the geographic coding. You can choose this from the dropdown list or enter it manually.  Learn more about CASSR codes.  Local authorities should submit records for all activity for which they are the supervisory body.

CQC location code 

The CQC Location Code is used in this collection to identify the location of the managing authority for which the authorisation is requested. Requests can be made in advance of the person moving to that location, up to 28 days before admission. CQC maintain an up to date directory of health and adult social care, click on the tab: ‘Download our complete directory of places that provide care’ and download the CQC care directory.  The location ID can be found in column A of the Excel version or column N of the csv version.  The field is an alphanumeric field, as CQC codes can vary, depending on the organisation type.

For care homes in Wales, the Care and Social Services Inspectorate Wales you can request the location code by emailing [email protected]. 

If you have any queries regarding the use of CQC location codes please email the name and postcode of the location to [email protected]. We will endeavour to resolve your issue, but we may need to raise it with the CQC.

The CQC Location Codes for an establishment may change from the time of the application being processed to the time of recording the application in the DoLS data return. In these instances, please record the CQC Location Code that was active at the time of the application.

Date application received

This is the date the authorisation request was received by the council (Supervisory Body), to instigate the assessment process. The date will be a standard format that will be consistent across all returns from councils.  Do not leave this field blank, all active DoLS cases must have a date the authorisation request was submitted to the supervisory body, regardless of the outcome of the assessment.

Urgent included

If the request for standard authorisation is accompanied by a request for an urgent authorisation please enter 1 for Yes, if not, then enter 0 for No.

Assessment criteria status

This section should be completed for all cases.  These fields will show which of the assessments have been undertaken for each case, and it will show the progress of the assessment as well as help with validation when the data are returned to NHS Digital. The outcomes are recorded as either 1 for satisfied, 2 for not satisfied, 3 for equivalent assessment from a prior DoLS application or 0 for not assessed. The six requirements of the assessment that must be met are:

Age Requirement –Is the age requirement met, i.e. the person is or will be 18 years old, or older, at the start of the proposed DoLS authorisation.

Mental Health Requirement – Is the mental health requirement met, i.e. the person has a mental disorder as defined under the Mental Health Act 1983 but disregarding any exclusion for people with learning disabilities.

Mental Capacity Requirement – Is the mental capacity requirement met, i.e. the person lacks the mental capacity to consent to the conditions necessary for the proposed care or treatment.  The test is, the person should be assessed as lacking the capacity to decide whether to be in a hospital or care home for the proposed treatment or care.

No Refusals Requirement – Is the no refusals requirement met, i.e. there is no conflict with a decision made by a Lasting Power of Attorney (LPA/attorney) or court-appointed deputy, or with the conditions of a valid and applicable advance decision to refuse treatment.

Eligibility Requirement – IIs the eligibility requirement met, i.e. the person is eligible for the DoLS to be used, rather than the Mental Health Act 1983, to authorise a deprivation of liberty.

Best Interests Requirement – Is the best interests requirement met, i.e. it is in the person's best interests to be deprived of their liberty in this care home or hospital for the purpose of giving the proposed care or treatment, it is necessary to prevent harm to that person, and it is proportionate to the risk and seriousness of that harm.

Date of last assessment

Please enter the date that the most recent assessment (from columns H-M) was completed. Where no assessments have been completed by 31 March 2024, please leave blank. Please complete this field for all applications, not just those that have been granted.

Application sign off date

This is the date the authorisation request is completed by the supervisory body. A request is considered to be completed when the decision is made to grant / not grant the authorisation and the relevant form (new form 5 for granted authorisations or new form 6 for not granted authorisations) has been completed and signed. Where the person has died, or their circumstances have changed before completion of the application record the date the supervisory body became aware of the change in circumstances.  If the assessment has not yet been signed off as at 31 March 2024, then it should be left blank.

Application status

This field indicates the present status of the application. If the decision to grant or not grant the application has been made this should be indicated here. An application may also still be in progress at 31 March 2024. This field should be recorded as 0 for Not Granted, 1 for Granted or 3 for not yet signed off by Supervisory Body.

Reason not granted

Where the DoLS authorisation is not granted, it could be due to failing one or more of the six requirements listed above. However, there are also other reasons why a request might not be granted: There may have been a change in circumstances, for example if the individual has moved location or has died before a decision was made or assessments completed.  Please record the reason the authorisation was not granted as follows: Record 1 if any of the assessment criteria were not satisfied, 2 for Change of Circumstances, 3 for Death of Person and 4 for Admin error.

If the authorisation has been granted or not yet signed off, please record 9 for Not Applicable. Death of the person or not satisfying of any assessments should take priority over the general category of ‘change of circumstances’.

DoLS not granted but BIA advises deprivation of liberty occurring

A Best Interests Assessment is when the assessor determines whether the situation amounts to a deprivation of liberty, and if so, whether or not this deprivation of liberty is in the person’s best interests. A DoLS would be in a person’s best interest if it is necessary to prevent them from harm and if it is a proportionate response to the likelihood and seriousness of that harm. If an authorisation was not granted but the assessor concluded that a deprivation of liberty was occurring, then this would be recorded as 1 for Yes. If the authorisation was not granted and the Best Interests Assessor did not report any deprivation of liberty, then record this as 0. If the authorisation was granted, record 9 for Not Applicable. Where circumstances change after a BIA has assessed that a deprivation of liberty is occurring but before the application is signed off* record 9 for Not Applicable. If the authorisation was not granted and a BI assessment was not completed, record 9.

Start date of authorisation

Please enter the date that the DoLS application was authorised to begin. This date will be used to calculate the duration of each authorised DoLS. If the application was not granted, or has not yet been signed off, please leave blank.

Number of reviews

During an authorised DoLS case, a number of reviews can occur, which will reassess whether the person should continue to be subject to a DoLS. Reviews may take place at any time during the DoLS period. Please record the number of reviews during the case, regardless of whether the case has ended or still continues. For the purposes of this collection a review is considered to have taken place when either a Form 9 (standard authorisation ceased) or a Form 10 (review request) has been completed. Please leave blank where the DoLS was not granted for any reason.

Outcomes of most recent review

Where one review or more has taken place during the active DoLS case, please record the outcome of the latest review. If one of the six requirements is no longer met, then that would be the reason the DoLS authorisation is revoked. Possible other reasons include death or change in circumstances.

Please record the outcome of the latest review as 1 for Mental Health Requirement not met, 2 for Mental Capacity Requirement not met, 3 for No Refusals Requirement not met, 4 for Eligibility Requirement not met, 5 for Best Interests Requirement not met, 6 for Change in client circumstances, 7 for Death of client, or 8 for No criteria failed, DoLS remains. If there is no review, please record 0 for No review.  If the DoLS was not granted, please record 9 for Not Applicable. Note that outcomes 1-5 and 8 relate to Form 10 and outcomes 6 and 7 relate to Form 9.

Planned end date

DoLS cases, when authorised, have a duration to indicate how long the authorisation is in place for.  Due to the review process, a case may end earlier than the noted date.  The planned end date should be the date that the authorisation is/was originally due to finish when the authorisation was granted. If the authorisation has not been granted, withdrawn or is still to be signed off by the supervisory body, it should be left blank.

Actual end date

If, during the year ending 31 March 2024, a granted authorisation has come to an end for whatever reason, enter the date on which the authorisation actually ended.  Under all other circumstances, including where the individual dies before the authorisation is granted, please leave blank.

Age

Age is recorded using the age of the person at the date from which the Standard Authorisation was sought, as referenced on page 2 of the new Form 1. This should be recorded regardless of whether or not the authorisation was granted. Allowable values are whole numbers between 16 and 120. The lower limit is to allow for cases which may fail on the age criteria.

Gender

Gender is defined as the gender the individual most closely considers themselves to be - either male or female. For transgender individuals, it should be recorded as the preference of the individual concerned. Male is recorded as 1, Female is recorded as 2.

Ethnic origin

Ethnicity is defined based on the categories established in the ‘ONS Harmonisation Programme Primary Set of Harmonised Concepts and Questions’ and used in the 2011 Census of England and Wales, as well as including the additional classification of ‘No Data’. The DoLS return uses the top tier classifications of ethnicity. Further information can be found within the archived ONS guidance Primary set of harmonised concepts and questions. These are recorded as 1 for White, 2 for Mixed/Multiple ethnic groups, 3 for Asian/Asian British, 4 for Black/Black British, 5 for Other Ethnic origin, 6 for Not stated and 7 for Undeclared/Not Known.

Sexual orientation 

Sexual orientation comes under one of the 5classifications listed by the ‘ONS Harmonisation Programme under the Secondary Set of Harmonised Concepts and Questions’. These are listed as 0 for Not Known, 1 for Heterosexual/Straight, 2 for Gay/Lesbian, 3 for Bisexual and 4 for Other and 5 for Prefer not to say. Details can be found on the ONS archive.

Disability

While the person must have a mental health disorder as defined under the Mental Health Act 1983, there may be another disability that is primarily associated with the person. In most cases, a mental health issue will be the primary disability, however please respond as accurately as possible. Physical disability: Hearing impairment is recorded as 1, Physical disability: Visual impairment is recorded as 2, Physical disability: Dual sensory loss is recorded as 3, Physical disability: Other is recorded as 4, Mental health needs: Dementia is recorded as 5, Mental health needs: Other is recorded as 6, Learning disability is recorded as 7, any other disability which is not previously listed is recorded as 8 and no disability is recorded as 0.