Demographics Batch Service Bureau (DBSB) - NHS Number Batch Tracing

v 1.0Final23/06/2017

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 21
NHS Digital is the trading name of the Health and Social Care Information Centre.

v 1.0Final23/06/2017

Document Management

Revision History

Version / Date / Summary of Changes
0.3 / 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 Digitala revised governance requirements.
0.5 / 28/02/2017 / Updated Data Governance s3. Updated contact information.
0.6 / 22/05/2017 / Improved 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

Reviewers

This 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 by

This 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 Terms

Term / Abbreviation / What it stands for
CP-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
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.

Contents

1Introduction

1.1Purpose of Document

1.2Intended Audience

2The Demographics Batch Service Bureau

2.1Overview

2.2The Role of the DBSB

2.3Contacting the Bureau

3Governance

3.1Data Sharing Agreement

3.2Data Management and Retention

4Data Quality

4.1Best Practice

5Data File Requirements

5.1Batch Trace Request Data File Format

5.2Header and Trailer Requirements

5.3Permissible File Formats

5.4File Size

5.5File Name

6Processing Files through DBSB

6.1Capacity

6.2DBSB Turnaround Target

7Sending Files to DBSB

7.1Secure File Transmission

7.2File Identification

7.3DBSB Submission Request Form

Appendix A: Batch Trace Request Data File Format

Appendix B: Batch Trace Response Data File Format

Appendix C: DBS Response Codes

Appendix D: PDS Sensitivity Flags

Appendix E: DBSB Submission Request Form

Appendix F: Best Practice Guidelines

Appendix G: Additional Response Reports

Copyright © 2017 Health and Social Care Information Centre.Page 1 of 21
NHS Digital is the trading name of the Health and Social Care Information Centre.

Demographics Batch Service Bureau (DBSB) - NHS Number Batch Tracing

v 1.0Final23/06/2017

1Introduction

1.1Purpose of Document

This 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.

1.2Intended Audience

This 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.

2The Demographics Batch Service Bureau

2.1Overview

The 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.

2.2The Role of the DBSB

The 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.

2.3Contacting the Bureau

2.3.1New Service Users

Email:

2.3.2Existing Service Users

Email:

Tel:01704 554022

3Governance

3.1Data Sharing Agreement

3.1.1Adult and Children’s Social Care

For non-NHS organisations, an overarching Data Sharing Framework Contract (DSFC) mustbe 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 mayinclude referral to the Independent Group Advising on the Release of Data (IGARD). Support through the application process will be provided by the Demographics Team atNHS 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.

3.1.2Child Protection Information Sharing

Different 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 .

3.2Data Management and Retention

Service users of DBSB should note the following points:

NHS Digitalwill 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 usersmust 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.

4Data Quality

4.1Best Practice

Whilst 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 Awhich 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 inAppendix F.

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

5Data File Requirements

5.1Batch Trace Request Data File Format

The 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 addressfields, must still be represented.

5.2Header and Trailer Requirements

DBSB 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.

5.3Permissible File Formats

DBSB will accept either comma separated values (.csv) or fixed length file formats.

5.4File Size

There 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.

5.5File Name

File 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.

6Processing Files through DBSB

6.1Capacity

Files 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.

6.2DBSB Turnaround Target

Submitting 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.

7Sending Files to DBSB

7.1Secure File Transmission

All data exchanges with DBSB must be via secure email to .

DBSB email exchanges are made using NHSmail.

NHSmailconnects securely to other Government secure email systems allowingusers to share patient confidential and sensitive datasecurely

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 [email protected].

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

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

Email:

Tel:0333 200 1133.

7.2File Identification

Please include the following information in the subject line of each email submission:

Name of submitting organisation
Name of submitted batch file.

7.3DBSB Submission Request Form

All 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 Format

Record data file format required for submission to the DBSB

* = mandatory data item, also marked in blue

Field Name / Format and length / Permitted
Values / Data Quality Requirements
* Record Type / N(2) / 10 / Mandatory.

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) / YYYYMMDD / Mandatory.
Date of Death / N(8) / YYYYMMDD / 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 submissionsas 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 be used to assist in manual tracing.

*Sex / X(1) / 0,1,2,9 / Mandatory.
1 = Male
2 = Female
0 = 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 be used to assist in manual tracing.

Address Line 2 (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 be used to assist in manual tracing.

Address Line 3 (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 be used to assist in manual tracing.

Address Line 4 (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 be used to assist in manual tracing.

Address Line 5 (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 be used to assist in manual tracing.

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.

Previous Address Line 2
(or filler) / X(35) / Not required.

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

Previous Address Line 3
(or filler) / X(35) / Not required.

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

Previous Address Line 4
(or filler) / X(35) / Not required.

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

Previous Address Line 5
(or filler) / X(35) / Not required.

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

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

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

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

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

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

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

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

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

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

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

Appendix B:Batch Trace Response Data File Format

Traced record data file format that will be returned following processing by DBSB.

Field Name / Format and length / 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.
Address Line 2 / X(35) / As supplied in submitted file.
Address Line 3 / X(35) / As supplied in submitted file.
Address Line 4 / X(35) / As supplied in submitted file.
Address Line 5 / X(35) / As supplied in submitted file.
Postcode / X(8) / As supplied in submitted file.
Previous Address Line 1 / X(35) / Null value.
Previous Address Line 2 / X(35) / Null value.
Previous Address Line 3 / X(35) / Null value.
Previous Address Line 4 / X(35) / Null value.
Previous Address Line 5 / X(35) / Null value.
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

Date field last modified / N(8) / Null value.
Returned Date of Current Posting or Date of Death, if deceased. / N(8) / YYYYMMDD / If unique match found.
Date field last modified / N(8) / Null value.
Returned Surname / AN(35) / If unique match found.
Date field last modified / N(8) / Null value.
Returned First Forename / AN(35) / If unique match found.
Date field last modified / N(8) / Null value.
Returned Previous/Alternative
Surname / AN(35) / Null value.
Date field last modified / N(8) / Null value.
Returned Other Forename(s) / AN(35) / If unique match found.
Date field last modified / N(8) / Null value.
Returned Sex / N(1) / 0, 1, 2, 9 / 0 = Not known.
1 = Male
2 = Female
9 = Not specified.
Date field last modified / N(8) / Null value.
Returned Address Line 1 / AN(35) / Null value.
Date field last modified / N(8) / Null value.
Returned Address Line 2 / AN(35) / Null value.
Date field last modified / N(8) / Null value.
Returned Address Line 3 / AN(35) / Null value.
Date field last modified / N(8) / Null value.
Returned Address Line 4 / AN(35) / Null value.
Date field last modified / N(8) / Null value.
Returned Address Line 5 / AN(35) / Null value.
Date field last modified / N(8) / Null value.
Returned Postcode / N(8) / Null value.
Date field last modified / N(8) / Null value.
Returned Registered GP / AN(8) / Null value.
Date field last modified / N(8) / Null value.
Returned Registered GP Practice / AN(6) / Null value.
Date field last modified / N(8) / Null value.
Filler / AN(5) / Null value.

Appendix C: DBS Response Codes