Demographics Batch Service Bureau (DBSB) - NHS Number ...€¦ · Web viewDate: May 2005. ... The CP-IS programme has put in place a single information sharing agreement between

Demographics BatchService Bureau(DBSB)NHS Number Batch Tracing

Document filename: DBSB – NHS Number Tracing

Project / Programme Information and Analytics Service PDS NBO

Document Reference 0901

Service Owner Steve Smith Status Final

Document Owner Steve Bennet Version 1.0

Author Steve Bennet Version issue date 23/06/2017

Copyright ©2017 Health and Social Care Information Centre Page 1 of xxiiNHS Digital is the trading name of the Health and Social Care Information Centre.

Demographics Batch Service Bureau (DBSB) - NHS Number Batch Tracingv 1.0 Final 23/06/2017

Document ManagementRevision HistoryVersion Date Summary of Changes0.3 15/03/2016 Correction to file format. Address and previous address line 5 now included.

0.4 10/08/2016 Updated to reflect organisational change to NHS Digital a revised governance requirements.

0.5 28/02/2017 Updated Data Governance s3. Updated contact information.

0.6 22/05/2017Improved Data Quality Requirements included in the file format. Best Practice Guidelines, greater clarity to the Response Codes and guidance on response reports. Updated submission form including DSA reference.

0.7 12/06/2017 Revision to s3Governance, corresponding updates to submission form and s4 Best Practice.

1.0 23/06/2017 Published

ReviewersThis document was reviewed by the following people:

Reviewer name Title / Responsibility Date Version

Steve Smith Programme Head, Demographics/NBO & Data Provision Services 12/06/2017 0.7

Kate Pugh DBSB Supervisor 12/06/2017 0.7

Richard Ives Senior Project Manager - IG and Communications 12/06/2017 0.7

Jo Higginbottom Demographics Service Improvement Manager 12/06/2017 0.7

Approved byThis document must be approved by the following people:

Name Title Date Version

Steve Smith Programme Head, Demographics/NBO & Data Provision Services 23/06/2017 1.0

Glossary of TermsTerm / Abbreviation What it stands forCP-IS Child Protection Information Sharing

CPP Child Protection Plan

DBS Demographics Batch Service

DBSB Demographics Batch Service Bureau

HJIS Health and Justice Information Sharing

LAC Looked After Children

Copyright © 2017 Health and Social Care Information Centre. Page 2 of 22NHS Digital is the trading name of the Health and Social Care Information Centre.


PDS Personal Demographics Service

Service User Person or organisation who submits data to DBSB

Document Control:The controlled copy of this document is maintained in the NHS Digital corporate network. Any copies of this document held outside of that area, in whatever format (e.g. paper, email attachment), are considered to have passed out of control and should be checked for currency and validity.



Contents1 Introduction 5

1.1 Purpose of Document 5

1.2 Intended Audience 5

2 The Demographics Batch Service Bureau 5

2.1 Overview 52.2 The Role of the DBSB 5

2.3 Contacting the Bureau 5

3 Governance 6

3.1 Data Sharing Agreement 63.2 Data Management and Retention 6

4 Data Quality 7

4.1 Best Practice 7

5 Data File Requirements 7

5.1 Batch Trace Request Data File Format 7

5.2 Header and Trailer Requirements 75.3 Permissible File Formats 7

5.4 File Size 75.5 File Name 7

6 Processing Files through DBSB 7

6.1 Capacity 7

6.2 DBSB Turnaround Target 8

7 Sending Files to DBSB 8

7.1 Secure File Transmission 87.2 File Identification 8

7.3 DBSB Submission Request Form 8

Appendix A: Batch Trace Request Data File Format 9

Appendix B: Batch Trace Response Data File Format 12

Appendix C: DBS Response Codes 14

Appendix D: PDS Sensitivity Flags 15

Appendix E: DBSB Submission Request Form 15

Appendix F: Best Practice Guidelines 15



Appendix G: Additional Response Reports 20



1 Introduction1.1 Purpose of DocumentThis document describes the process by which authorised users may submit batch trace records to the NHS Digital Demographics Batch Service Bureau for processing against the NHS SPINE.

1.2 Intended AudienceThis document is aimed at organisations that do not have the DBS client installed but have a requirement to bulk trace NHS Numbers for a locally held patient list within a NHS Organisation or client list within a Local Authority Adult or Children’s Social Care setting.

Requests may also be made through the CP-IS programme for the cleansing of CPP and LAC data. This is to assure the information in the children records is of high data quality and includes the NHS Number. In such cases, the data cleansing will be performed prior to the bulk upload of records to CP-IS.

Users with an installed DBS client should refer to http://nww.hscic.gov.uk/demographics/dbs.

2 The Demographics Batch Service Bureau 2.1 OverviewThe DBSB provides a mechanism for non-SPINE compliant organisations to perform batch tracing of demographic records against SPINE services and identify and return the NHS Number associated with these records.

2.2 The Role of the DBSBThe Bureau will take receipt of a properly formatted batch trace file and submit it for processing through DBS on behalf of the service user.

All data will be transmitted and managed with appropriate security through the end to end process.

Additional reporting and data analysis relating to data quality will also be available. This information should be used by the service user to improve the quality of data held locally prior to resubmission to DBSB. It is unlikely that a previously unmatched record will match on a subsequent submission unless either the NHS or locally held data changes.

Agreement has also been made with the CP-IS programme for additional manual tracing to be undertaken. More information about this service is available to qualifying service users from the programme team.

2.3 Contacting the Bureau2.3.1 New Service UsersEmail: [email protected]

2.3.2 Existing Service UsersEmail: [email protected]


mailto:[email protected]

http://nww.hscic.gov.uk/demographics/dbs


Tel: 01704 554022

3 Governance3.1 Data Sharing Agreement3.1.1 Adult and Children’s Social CareFor non-NHS organisations, an overarching Data Sharing Framework Contract (DSFC) must be in place between the requesting organisation and NHS Digital. There may already be such a contract in place, for other purposes, so this should be checked, and the reference number and end date supplied.

In addition, there is also a requirement for a Data Sharing Agreement (DSA), which is specific to the requested purpose and sets out the legal basis.

All applications to use DBSB will be subject to the appropriate NHS Digital approval process. This may include referral to the Independent Group Advising on the Release of Data (IGARD). Support through the application process will be provided by the Demographics Team at NHS Digital.

Once data supplied to NHS Digital has been processed and returned to a service user it is not retained by NHS Digital other than as described in section 3.2. Hence NHS Digital would not normally expect to sign a service user’s DSA.

3.1.2 Child Protection Information SharingDifferent governance provision applies to the CP-IS programme and any requirement by an organisation to use the service for non-CP-IS purposes will be subject to the governance requirements outlined above.

The CP-IS programme has put in place a single information sharing agreement between NHS England and Local Authorities in England. This has been accepted on behalf of all Local Authorities by the Association of Directors of Children’s Services and covers secure sharing of personal child information with DBSB for the purposes of NHS number tracing and data cleansing. More information about this programme can be found at https://digital.nhs.uk/child-protection-information-sharing.

3.2 Data Management and RetentionService users of DBSB should note the following points:

NHS Digital will retain submitted and returned data for a short period to allow the service user opportunity to query it.

All data (submitted and returned file) will be deleted 14 days from the date of returning the data to the service user.

Service users must ensure the safe and effective sharing of the NHS Number and associated demographic data in the delivery of their services.

All service users must ensure that, when uploading the returned data, the correct health and social care records are linked to the correct person, reducing the risk of incorrect care and promoting patient and client safety.


https://digital.nhs.uk/child-protection-information-sharing

https://digital.nhs.uk/child-protection-information-sharing

http://content.digital.nhs.uk/IGARD


4 Data Quality4.1 Best PracticeWhilst the tracing process may involve reiterative submissions, high data quality helps ensure the number of iterations is kept to a minimum and provides value for money for both NHS Digital and the service user.

In preparing data for submission please refer to Appendix A which describes the file format requirements.

In addition, there are steps the service user can take to increase their potential match rate. These best practice guidelines are described in Appendix F.

If additional support or clarification is needed prior to submission please contact DBSB.

5 Data File Requirements5.1 Batch Trace Request Data File FormatThe data format for each patient or client record submitted to DBSB is shown in Appendix A.

No additional information should be inserted and fields that have no data available, as may be the case with some of the address fields, must still be represented.

5.2 Header and Trailer RequirementsDBSB will insert a unique Header and Trailer for each submitted file. This will be included in the data file response returned to the service user.

If a file is submitted to DBSB with a Header or Trailer it will be removed and replaced prior to processing on DBS.

5.3 Permissible File FormatsDBSB will accept either comma separated values (.csv) or fixed length file formats.

5.4 File SizeThere is no limit to the number of records that can be submitted in a single batch file.

If batch files are large, it is permissible to compress into an archive file. Acceptable archive formats are ‘.zip’ or ‘rar’ files.

5.5 File NameFile names of submitted files must be unique to the service user to allow ease of tracking at the local level and whilst within the DBSB system.

6 Processing Files through DBSB6.1 CapacityFiles received by DBSB will be processed in the order in which they are received.



Files will be processed by DBS in the order in which they are submitted. This sequencing will include files submitted directly by local organisations as well as those submitted via DBSB.

6.2 DBSB Turnaround TargetSubmitting organisations can expect to receive a Batch Trace Response within 5 working days of receipt by the Bureau.

This time may be extended in periods of high demand and you will be advised.

Manually processed data may be subject to different timescales.

The Batch Trace Response File Format is shown in Appendix B.

7 Sending Files to DBSB7.1 Secure File TransmissionAll data exchanges with DBSB must be via secure email to [email protected].

DBSB email exchanges are made using NHSmail.

NHSmail connects securely to other Government secure email systems allowing users to share patient confidential and sensitive data securely

Data submissions to DBS must be from an email system that connects securely with NHSmail.

For local authorities, this will usually be @*gcsx.gov.uk. For NHS organisations, this will usually be @nhs.net.

This link provides a definitive list of other secure email systems that can be used to send patient information.

If a new NHSmail account is required please contact the NHSmail national helpdesk

Email: [email protected]: 0333 200 1133.

7.2 File IdentificationPlease include the following information in the subject line of each email submission:

Name of submitting organisation Name of submitted batch file.

7.3 DBSB Submission Request FormAll submissions to DBS must be accompanied by a completed Submission Request.

If a Submission Request is not received or is not satisfactorily completed the service user will be contacted. In these cases, data will be retained for 48 hours and then deleted unless a completed Submission Request is received.

If multiple batch files are submitted in one email the same Submission Request can be used with multiple entries being made.

The Submission Request template can be found in Appendix E.





Appendix A: Batch Trace Request Data File FormatRecord data file format required for submission to the DBSB

* = mandatory data item, also marked in blue

Field NameFormat and length

PermittedValues

Data Quality Requirements

* Record Type N(2) 10Mandatory. Must have a value of 10 otherwise the file will be

rejected / record will not process.

* Local PID X(20)

Mandatory. End User's Patient or Client Identifier. Locally determined to uniquely identify each data

record.

* Date of Birth N(8) YYYYMMD Mandatory.

Date of Death N(8) YYYYMMD Optional

Old NHS Number X(17)Optional. Include if available.

New NHS Number N(10)Optional. Include if available.

* Surname X(35)Mandatory. Surname traces are made against current and

historic PDS values.

Previous/Alternative Surname X(35)

Dependent. This data is not used for automatic tracing. Include for CP-IS submissions as this data will

be used to assist in manual tracing.

* First Forename X(35)

Mandatory: Must be a valid name. Do not include: Unknown,

Baby, Infant, Twin, Male, Female, Boy, Girl, initials, etc.

First forename traces are made against current and historic PDS values.

Previous/Alternative Forename X(35)

Dependent. This data is not used for automatic tracing. Include for CP-IS submissions as this data will





PermittedValues


* Sex X(1) 0,1,2,9

Mandatory.1 = Male2 = Female0 = Not known.9 = Not specified.An exact match is required for a successful trace, ie. supplied ‘1’ will only match against a held ‘1’, etc. ‘0’ and ‘9’ will not match with ‘1’ or ‘2’ but will only match against the same value on Spine.

Address Line 1 (or filler) X(35)

Dependent. This data will be used for automatic tracing if

supplied. See best practice guidelines at Appendix F. Include for CP-IS submissions as this data will





















PermittedValues


Postcode X(8)

Optional. A full postcode must contain a single space

eg. ‘PR8 2HH’ not ‘PR82HH’. Outward postcode only may be used if combined

with a wildcard. Where a full outward postcode is included there

must be a space before the wildcard, eg. ‘PR8 *’. Where a partial outward postcode is included a

space is not required before the wildcard. Eg ‘PR*’.

If a postcode is not known leave it blank. Postcode traces are made against current and

historic PDS values.

Consider the following An Outward postcode only increases the risk of a

false positive trace. There is a reduced risk of a false positive in

using a partial postcode with wildcard than no postcode at all.

An exact match (taking account of wildcards) must be made for a successful trace.

Previous Address Line 1(or filler)

X(35)Not required.

This data will not be used for automatic or manual tracing.


X(35)Not required.



X(35)Not required.



X(35)Not required.



X(35)Not required.


Previous Postcode (or filler) X(8)Not required.


Registered GP (or filler) X(8)Not required.


Registered GP Practice(or filler)

X(8)Not required.





PermittedValues


Previously Registered GP(or filler)

X(8)Not required.


Previously Registered GP(or filler)

X(8)Not required.


Appendix B: Batch Trace Response Data File FormatTraced record data file format that will be returned following processing by DBSB.


Values Comments

Response Code N(2)

20, 21,22,30, 31, 32,33, 40,80, 81

Indicates the type of trace response.See ‘Appendix C – DBS Response Codes’ for full details.

Local PID X(20) As supplied in submitted file.

Number of Multiple Matches N(3) 000, 001 Total number of matches found for the request.

Trace Result NHS Number N(10) If unique match found.

Date of Birth N(8) YYYYMMDD As supplied in submitted file.

Date of Death N(8) YYYYMMDD As supplied in submitted file.

Old NHS Number X(17) As supplied in submitted file.

New NHS Number N(10) As supplied in submitted file.

Surname X(35) As supplied in submitted file.

Previous/Alternative Surname X(35) As supplied in submitted file.

First Forename X(35) As supplied in submitted file.

Previous/Alternative Forename X(35) As supplied in submitted file.

Sex X(1) 1,2,0,9 As supplied in submitted file.

Address Line 1 X(35) As supplied in submitted file.





Postcode X(8) As supplied in submitted file.

Previous Address Line 1 X(35) Null value.







Values Comments


Previous Postcode X(8) Null value.

Registered GP X(8) Null value.

Registered GP Practice X(8) Null value.

Previously Registered GP X(8) Null value.

Previously Registered GP Practice X(8) Null value

Returned Date of Birth N(8) YYYYMMDD If unique match found.

Date field last modified N(8) Null value.

Returned Current Posting N(3)Org Code,X, D

If unique match found and dependent on trace code included in file Header. Org Code = Valid Organisation Code X = Not currently registered for primary care D = Deceased


Returned Date of Current Posting or Date of Death, if deceased. N(8) YYYYMMDD If unique match found.


Returned Surname AN(35) If unique match found.


Returned First Forename AN(35) If unique match found.


Returned Previous/AlternativeSurname

AN(35)Null value.


Returned Other Forename(s) AN(35) If unique match found.


Returned Sex N(1) 0, 1, 2, 9

0 = Not known.1 = Male2 = Female9 = Not specified.


Returned Address Line 1 AN(35) Null value.










Values Comments




Returned Postcode N(8) Null value.


Returned Registered GP AN(8) Null value.


Returned Registered GP Practice AN(6) Null value.


Filler AN(5) Null value.

Appendix C: DBS Response CodesThe following table details the PDS response code for each trace outcome.

CodeNHS

Number in submitted

file?Trace Results Data Returned

20 NMatch. Single exact match found against

supplied data.Traced details

21 N No match No match found against supplied data. Nothing

22 NNo match Multiple matches found against

supplied data.Nothing

30 YMatch NHS Number traced AND Other supplied data verified.

Traced details

31 Y

No match NHS Number traced BUT Other supplied data not verified at

traced NHS Number AND No alternative match against other

supplied data.

Nothing

32 Y No match Multiple matches found. Nothing

33 Y

Match No match against supplied NHS

Number BUT Single exact match found against other

supplied data

Traced details.(Will return a different NHS Number.)

40 Y

Match Submitted NHS number not verified

BUT Different record matched and verified.

Traced details and different NHS number. (These will be Merged records, see Appendix D – Invalid.)



80 N/A No match Invalid record type in request Nothing

81 N/ANo match Insufficient supplied data to perform

search.Nothing

Appendix D: PDS Sensitivity FlagsThe following table contains information on the PDS Sensitivity Flags

Code Description

N Not Flagged

The default status and does not affect the data returned in a successful trace outcome.

I Invalid

Identifies an Invalidated record. Invalidation occurs following an identity change or certain data quality incident. A new NHS Number and PDS record will be applied following Invalidation. Where the Invalidation was due to multiple NHS Numbers existing for the same patient the

PDS records will be Merged. In such cases a batch trace may be successful but will return the Retained NHS Number. This will be identified on the Response file by Code 40.

S Sensitive

A successful trace against a PDS record with an S flag will not return any information relating to the geographic location of the patient.

Appendix E: DBSB Submission Request Form

Appendix F: Best Practice Guidelines• There must be an exact match between supplied and held data.

o This applies to the structure as well as the data.

• Name traces are made against both current and historic values.

• Watch out for spelling variations eg. Ann or Anne.

• A patient’s registered name in Social Care and in the NHS may differ.

• Wild cards (*) apply in name, address and postcode fields BUT use with caution as increases the risk of false positives.

• Address differences are common and cause a ‘no trace’.

• Multiple patient submissions in the same file may be done and may be required – but use the same Local PID.



Best Practice – SurnameALTERNATIVE SURNAME

SURNAME ALTERNATIVE SURNAME

FORENAME

Bad Practice CROCKET/LAWSON SARAH

Bad Practice CROCKETLAWSON LAWSON SARAH

Bad Practice CROCKET LAWSON SARAH

Best Practice CROCKET SARAH

Best Practice LAWSON SARAH

EXTRA TEXT IN SURNAME

SURNAME FORENAME

Bad Practice HIRST (MOTHER’S SURNAME BELL) / (PREV BELL)

KATRINA

Best Practice HIRST KATRINA

Best Practice – ForenameEXTRA TEXT IN FORENAME

SURNAME FORENAME

Bad Practice THOMAS ALEX (BOY) / (TWIN0 / (JR) / (MARK)

Best Practice THOMAS ALEX

ABBEREVIATED FORENAME

SURNAME FORENAME

Bad Practice HIRST KATHERINE

Best Practice HIRST KATHERINE

Best Practice HIRST KATIE

Best Practice HIRST KA*



SPELLING UNSURE

SURNAME FORENAME

Bad Practice HOLLOWAY MAE / MAY

Best Practice HOLLOWAY MAE

Best Practice HOLLOWAY MAY

Best Practice – double barrelled namesSURNAME

SURNAME FORENAME

Best Practice SULLIVAN-SMITH JOHN

Best Practice SULLIVAN SMITH JOHN

Best Practice SULLIVAN JOHN

Best Practice SMITH JOHN

FORENAME

SURNAME FORENAME

Best Practice JOHNSON SALLY-ANNE

Best Practice JOHNSON SALLY ANNE

Best Practice JOHNSON SALLY

Best Practice JOHNSON ANNE

Best Practice JOHNSON SALLY-ANN

Best Practice JOHNSON SALLY ANN

Best Practice JOHNSON ANN

Best Practice – Previous/Alternative Names Previous/Alternative Names are not used for batch tracing.

PREVIOUS/ALTERNATIVE SURNAME

SURNAME PREVIOUS/ALTERNATIVE SURNAME

FORENAME

Bad Practice THOMPSON SMITH TREVOR

Best Practice THOMPSON TREVOR

Best Practice SMITH TREVOR



PREVIOUS/ALTERNATIVE FORENAME

SURNAME FORENAME PREVIOUS/ALTERNATIVE FORENAME

Bad Practice PIERCE HAZEL MARIE

Best Practice PIERCE HAZEL

Best Practice PIERCE MARIE

Best Practice – Punctuation Only use punctuation if it is part of the name.

FORENAME

SURNAME FORENAME

Bad Practice COLE MICHAEL,

Bad Practice COLE MICHAEL;

Best Practice COLE MICHAEL

SURNAME

SURNAME FORENAME

Bad Practice O’NEIL. JEREMY

Bad Practice O;NEIL JEREMY

Best Practice O’NEIL JEREMY

Best Practice – Unborn Children An unborn child will not be on PDS. CP-IS indicator will be placed against the mother.

UNBORN CHILD

DATE OF BIRTH

SURNAME FORENAME GENDER

Bad Practice 20170207 HANSELL UNBORN 0

Best Practice USE THE MOTHER’S DETAILS

Best Practice – Gender Permissible Values

o 1 – Maleo 2 – Femaleo 0 – Not Knowno 9 – Not Specified



MALE


Bad Practice LOGIE DEAN MALE

Best Practice LOGIE DEAN 1

UNSURE


Bad Practice SMITH SAM 0

Best Practice SMITH SAM 1

Best Practice SMITH SAM 2

Best Practice – Postcode If unknown at all, leave it blank. Wild cards will extend the geographic search.

UNKNOWN POSTCODE

Bad Practice UNKNOWN

Best Practice LEAVE BLANK

PARTIAL POSTCODE

Bad Practice BL1 XXX

Best Practice BL1 *

PARTIAL POSTCODE

Bad Practice HA8

Best Practice HA8 *

Best Practice HA*

Best Practice – Address Include the actual address only.

PART UNKNOWN

ADDRESS 1 ADDRESS 2 ADDRESS 3 ADDRESS 4 ADDRESS 5

Bad Practice

THE WARREN

PARSONS DRIVE NOT KNOWN BANBURY

Best Practice

THE WARREN

PARSONS DRIVE DODDINGTON BANBURY

PART N/A




Bad Practice

12 CROSS LEYS N/A N/A

Best Practice

12 CROSS LEYS CHIPPING

PART NULL


Bad Practice

MAGNOLIA HOUSE

KNUTSFORD ROAD NULL NULL

Best Practice

MAGNOLIA HOUSE

KNUTSFORD ROAD MILCOMBE TADLEY

Appendix G: Additional Response ReportsAnalysis.xls The table below outlines the criteria for inclusion in the report.

Use this information to improve the quality of data held on your local system will enhance the possibility of a successful match being found on a future submission through DBSB.

Worksheet Name Criteria

a2_Supplied_NHS_Number All unmatched records with a NHS Number supplied

a3_Unmatched_Postcodes All unmatched records with a postcode supplied

a4_invalid_Forename Forename is invalid

a5_invalid_Surname Surname is invalid

a6_invalid_dates_of_births Date of Birth is invalid

a7_Double_forename Multiple names in forename field

a8_Double_Surname Multiple names in surname field

A9_Live_with_a_date_of_Death Date of death present but patient showing as not dead



Duplicates.xls The table below outlines the criteria for inclusion in the report.

Use this information to improve the quality of data held on your local system by identifying and removing duplicate records.

Worksheet Name Criteria – Multiple supplied records with the same …

Fname_Sname_DoB …forename, surname and date of birth

Fname_Sname_Pcode …forename, surname and postcode.

Fname_Sname_Pcode_DoB …forename, surname, postcode and date of birth.

NHS_Fname_Sname_Pcode_DoB …NHS number, forename, surname postcode and date of birth.

<END OF DOCUMENT>


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Demographics Batch Service Bureau (DBSB) - NHS Number ...€¦ · Web viewDate: May 2005. ... The CP-IS programme has put in place a single information sharing agreement between