DQ005 - Methods for Locking and Unlocking Records

DQ005 – Methods for Locking and Unlocking Records
Review Committee: NDSC Start Date: 6/30/2023
Attachments: None Last Revised Date: 10/1/2023
Forms: None Last Reviewed Date: 11/30/2023

Introduction:

The National Database (NDB) is archived quarterly, after data collection is complete. While the majority of these data are entered correctly, there have been cases in which data have been entered incorrectly or accidently changed. There needs to be a way to prevent accidental changes and to allow TBIMS centers to deliberately make a change, with a record of this change being preserved.

To resolve this, the NDSC proposed criteria for a data record to be flagged as “complete,” the locking and unlocking of data records, and the tracking of changes (what changed, by whom, why, and when). The TBIMS Data Committee and TBIMS Project Directors approved these criteria by vote at the 3/20/23 Planning Committee meeting.

Purpose:

To develop and implement methods to allow Data Collectors to lock/unlock records for the purpose of fixing data errors/inconsistencies, and to prevent accidental changes to data.

Scope:

All TBIMS centers and TBIMS longitudinal follow-up centers that participate in data collection for the TBIMS NDB.

Responsibilities:

Each TBIMS center is responsible for their center’s data integrity. The procedural steps delineated below describe the role of the database/website system in conjunction with the steps a Data Collector would take to alter data after it has been entered into the NDB at the end of a quarter.

Procedural steps:

Definitions

  1. “Complete” data is that which has been submitted at the end of a quarter. When data collectors submit data quarterly, they go through procedures to check it and thus attest that it is accurate.

  2. “Locked” data cannot be revised/edited; it can be viewed as Read-Only. Data can still be “unlocked” for revision/editing, but the procedures ensure all changes will be tracked and accidental revisions will not occur.

Locking and Unlocking Method

  1. Two quarters after a Data Collector submits data for a quarterly submission, the system flags it as “complete” and subsequently “locks” it via a flag in the database tables.

    1. After a record is flagged as “complete,” it can be viewed as Read-Only but not modified until it is unlocked.

    2. The two-quarter lag is designed to give Data Collectors appropriate time to perform their own quality checks.

  2. To unlock a data record, a Data Collector clicks an Unlock button on the Data Screen for Form 1 or Form 2 and then provides the reason for unlocking.

  3. The system unlocks the record.

  4. The system logs the reason, person, and date/time before allowing modification of the record.

  5. After revising/editing the data elements of interest, the Data Collector saves them.

  6. The system re-locks the record.

  7. The log of these transactions will be maintained in the database.

Training requirements:

There are no training requirements.

Compliance:

All TBIMS centers and TBIMS longitudinal follow-up centers that participate in data collection will comply with this procedure.

References:

None

History:

Date Action
10/1/2023 SOP drafted
11/30/2023 Approved by Data Committee

Review Schedule:

At least every 5 years.