Architecture

• Architecture
• Constraints and Principals
• High Level Logical Architecture
• Systems Architecture
  • Physical View
  • Definitions
  • Step by Step Flow Happy Path
  • Sequence Diagram
• Application Architecture
  • Container diagram
  • Services
  • matching
  • auth
  • external
  • Search Criteria
  • Search Rules
  • Strategy 1 (Default and stable)
  • Strategy 2
  • Strategy 3
• Data Overview
• Non Functional Requirements
• Non Functional Priorities

These are the architecture documents.

Constraints and Principals

This project is aimed at providing a solution for Local Authorities that require more accurate matching capabilities.

It requires a use-case to be agreed with NHS England to allow the use of the PDS FHIR API. This will require a number of governance steps to be followed, such as the DTAC.

The PDS FHIR API has a limitation of 5 transactions per second for requests, and the "fallback" logic used in the pilot means each match to a person may use greater than 1 request. This means the PDS FHIR API is expected to initially be the biggest bottleneck for performance.

For principles, please refer to the DfE Technical Guidance and Secure by Design Principles.

High Level Logical Architecture

C4Container
    title High Level Components - NHS SUI
    Container_Boundary(c1, "Local Authority") {
        System(laclient, "Local Authority Client")
        System(sui_matching_service, "Sui Matching Service")
        ContainerDb(db, "File Storage", "Liquid Logic Output")
    }
    Container_Boundary(c2, "NHS Services") {
        System(nhs_fhir_api, "NHS PDS FHIR API")
        System(nhs_auth_api, "NHS PDS Auth API")
    }

    Rel(laclient, db, "Gets File")
    Rel(laclient, sui_matching_service, "HTTPS")
    Rel(sui_matching_service, nhs_fhir_api, "HTTPS")
    Rel(sui_matching_service, nhs_auth_api, "HTTPS")

Systems Architecture

Physical View

Definitions

Liquid Logic Server (Local Authority owned and run): Case management system used for recording referrals. Contains records with demographic information about referrals.

File Storage (Local Authority owned and run): Server that will contain the file with the source information.

Client Tool (New Component): A tool that takes the input file from the file storage and loops through the rows of data making a request to the SUI matching service. It outputs a results of the matching process and extra information about it.

SUI Resource Group (New Component): Represents the application that will be deployed in a Local Authority.

Step by Step Flow Happy Path

1. A nightly batch job runs that outputs a CSV file to an accessible location.
2. The client tool periodically checks for a new file.
3. When a new file is present it consumes it and starts to process the data.
4. The client loops through the records in the file and extracts the information needed to be able to make an API call against the SUI Matching Service via a private endpoint.
5. The SUI Matching Service ingress controller (reverse proxy) accepts the request and forwards it onto the service.
6. The SUI Service validates the data.
7. With valid data it then checks authentication is in place to make a request to the NHS.
8. With valid data and a valid authentication token it then makes one or more calls to the NHS PDS FHIR API to retrieve a NHS number. This call is made over the internet.
9. The returned results are examined and then returned to the client.
10. The client outputs the data to a results CSV file (NHS numbers alongside the data) and a metadata CSV file that gives further information on the process and input data.

Sequence Diagram

sequenceDiagram
    box Client Tooling
        participant client as Client Tool
    end
    box SUI Service
        participant suimatch as SUI Matching Service
        participant suiexternal as SUI External Service
        participant suiauth as SUI Auth Service
    end
    box NHS Services
        participant nhsauth as NHS AUTH API
        participant nhssearch as NHS FHIR API
    end

    client ->>+ suimatch: Sends record to be validated and matched
    loop Validate Data
        suimatch ->> suimatch: Validate the data sent
        alt Invalid Data
            suimatch -->> client: Data invalid end process
        else Valid Data
            suimatch ->>+ suiexternal: Sends query so a request can be made
        end
    end
    suiexternal ->>+ suiauth: Checks authentication status
    alt Token Does Not Exist
        suiauth ->> nhsauth: Get new token
        nhsauth -->> suiauth: Return new token
    else Token Exists
        suiauth -->> suiexternal: Token available to return
    end
    suiexternal ->> nhssearch: Makes request to NHS service
    nhssearch -->> suiexternal: Returns data
    suiexternal -->>- suimatch: Passes response to be formatted
    suimatch -->>- client: Returns data to client to be output

Application Architecture

Container diagram

C4Container
    title Container diagram for SUI Matcher
    System(laclient, "Local Authority Client", "The client to connect to the service")

    Container_Boundary(c1, "Sui Matching Service") {
        Container(reverse_proxy, "Gateway", "C#, .NET 8, YARP", "The reverse proxy/API gateway of the SUI matcher.")
        Container(matching_api, "Matching APIs", "C#, .NET 8, MassTransit", "The barista service.")
        Container(auth_api, "Auth APIs", "C#, .NET 8, MassTransit", "The authentication service.")
        Container(external_api, "External Services", "C#, .NET 8, Marten", "Makes the outbound connections for other services")

        Boundary(b1, "Docker containers", "boundary") {
            ContainerDb(cache, "Storage", "Redis", "Stores bearer tokens for auth")
            Container(keyvault, "KeyVault", "Azure Key Vault", "Storage of secret values")
        }
    }
    Container_Boundary(c2, "NHS PDS FHIR API") {
        System(pds, "PDS FHIR API", "The PDS service")
    }

    Rel(laclient, reverse_proxy, "Uses", "HTTPS")
    UpdateRelStyle(laclient, reverse_proxy, $offsetY="-20")
    Rel(reverse_proxy, matching_api, "Proxies", "HTTP")
    Rel(auth_api, cache, "Adds/checks Tokens", "HTTP")
    Rel(auth_api, keyvault, "Gets Secrets", "HTTP")
    Rel(auth_api, pds, "Authenticates", "HTTPS")
    UpdateRelStyle(auth_api, cache, $offsetX="30")
    Rel(external_api, cache, "Gets Token", "HTTP")
    Rel(external_api, keyvault, "Gets Secrets", "HTTP")
    Rel(external_api, pds, "Retrieves NHS Number", "HTTPS")
    UpdateRelStyle(external_api, keyvault, $offsetX="40", $offsetY="40")
    Rel(external_api, auth_api, "Calls", "HTTP")
    Rel(matching_api, external_api, "Calls", "HTTP")

Services

matching

The matching service provides the ingress into the application. It also serves as the logic controller for the application. It accepts the following parameters:

• given name (required)
• family name (required)
• date of birth - which can be a range (required)
• gender
• postcode
• email address
• phone number

Adapted from the schema specified here NHS PDS FHIR Schema.

It validates these parameters meet the schema and then handles the logic for making external calls to the NHS in order to find a matching NHS number.

Response 200:

{ 
    "result": {
        "matchStatus": "match",
        "nhsNumber": "1234567890",
        "processStage": "3",
        "score": "0.96"
    },
    "dataQuality": {
        "given": "valid",
        "family": "valid",
        "birthdate": "valid",
        "addressPostalCode": "valid",
        "phone": "invalid",
        "email": "invalid",
        "gender": "notProvided"
    }
}

Result

Match Status

Data quality

auth

Handles the secret key material in order to get the bearer token. It will use azure Key Vault to get the material needed to retrieve the bearer token. It will then store the bearer token in Redis to be accessed by the external service.

external

Makes the external calls to the NHS PDS endpoints. Will get secrets from Key vault and bearer token from Redis.

Search Criteria

Below there is reference to scoring. This scoring is the confidence score that is returned by the NHS when we perform a search. More information can be found about that in the scoring section here: PDS FHIR Search

---
title: Matching conditions flow
---
stateDiagram-v2
    clean: Canonicalise/clean data
    apply_match_conditions: Apply Match Conditions
    if_single_match: Single Match found
    if_no_match_state: No Match found
    confirmed_match: Confirmed Match
    candidate_match: Candidate Match
    manual_process: Manual Process
    multiple_match: Multiple Matches
    [*] --> clean
    clean --> apply_match_conditions
    apply_match_conditions --> if_single_match
    apply_match_conditions --> multiple_match
    multiple_match --> manual_process
    if_single_match --> confirmed_match: if >= 95% confident
    if_single_match --> candidate_match: if < 95% confident
    confirmed_match --> [*]
    candidate_match --> manual_process
    apply_match_conditions --> if_no_match_state
    if_no_match_state --> apply_match_conditions: if more match conditions
    if_no_match_state --> no_match: if no more match conditions
    no_match --> manual_process
    manual_process --> [*]

Search Rules

We use multiple strategies, strategy 1 being the default and defined below. Other strategies may be used in the future for testing purposes.

Strategy 1 (Default and stable)

The search criteria being used for the pilot is as below, and is subject to change as real-world data and match rates are evaluated.

Strategy 2

An alternative strategy is currently under testing is defined below. This uses Non-fuzzy and fuzzy searches, including wild card searches on postcode. Order of queries is not opimized, instead uses a larger variation of queries.

Strategy 3

This is a multi versioned strategy that has been developed through iterative testing on real world data. The below is version 14 of it and is currently the best performing and most optimised for PDS calling.

Definition of fuzzy search is defined here: NHS FHIR API Search.

Data Overview

This section is a work in progress...

This project will collect anonymous data about the process. For each record that is sent to the service we will record information on the following:

• Data Quality
• Match Result
• Match Result Process Info
• Age Range

This will allow for aggregate information to be collated and an evaluation on the process overall to be viewed.

This information will be collated via log messages.

No PII will be recorded.

Non Functional Requirements

Placeholder

Non Functional Priorities

The Non-Functional Priorities for the pilot are listed below.

1. Security - Very sensitive data must be protected.
2. Usability - Easy for both internal teams and external partners (e.g., Local Authorities) to use and adopt.
3. Compatibility - Integration with existing systems like the NHS and Local Authority ecosystems.
4. Maintainability - Highly iterative development process anticipated.
5. Reliability - Not initially business-critical. Reliable enough for the pilot phase.
6. Performance - Handling relatively small workloads during the pilot phase.
7. Availability - Emphasis on maintenance and ensuring sufficient uptime.
8. Portability - Targeted at limited settings for the pilot.
9. Scalability - May scale from 1 to 4 Local Authorities (LAs) quickly, this would require these priorities to change. Future hosting patterns to be reviewed.