1. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Direct Exchange An Introduction for Providers Engaged in Stage 2 Meaningful Use David C. Kibbe, MD MBA President and CEO, DirectTrust Senior Advisor, AAFP July, 2013 2

2. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 About DirectTrust The ONC is establishing governance mechanisms for the nationwide health information network, Nwin, in part through a cooperative agreement with DirectTrust. The Stage 2 MU regulations require eligible providers to engage in health information exchange via standards and in a manner consistent with these governance mechanisms. DirectTrust is a non-profit industry alliance that is supporting Direct exchange adoption and use through policy setting, accreditation, trust anchor distribution, and outreach activities. The AAFP is one of the founding members of DirectTrust. See:http://www.healthit.gov/buzz-blog/health-information-exchange-2/onc-partners- health-information-exchange-governance-entities and also http://www.healthit.gov/buzz-blog/electronic-health-and-medical-records/directtrust- builds-transparency-confidence-direct-exchange). http://www.healthit.gov/buzz-blog/health-information-exchange-2/onc-partners- health-information-exchange-governance-entities http://www.healthit.gov/buzz-blog/electronic-health-and-medical-records/directtrust- builds-transparency-confidence-direct-exchange). 3

3. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Overview and goals of this talk If you, your organization, or your hospital plan to participate in Stage 2 Meaningful Use, you’ll find it helpful to: know how Direct exchange relates to Stage 2 EHRs, and to Stage 2 MU measures and objectives for meaningful use of EHRs. understand how Direct exchange works, and what it can do for you and your patients. have a basic familiarity with the security and identity assurance roles of your HISP, and know how to use Direct to connect you with providers and patients who subscribe to other HISPs. prepare a set of questions to ask your EHR vendor about how they will enable Direct for your practice, and at what additional cost. 4

4. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Stage 2 MU focus is on exchange 5

5. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 The requirements for Stage 2 1.CPOE 2.E-Prescribing 3.Record demographics 4.Record vitals 5.Record smoking status 6.Use clinical decision support 7.Patients view, download, transmit 8.Clinical summaries to patients 9.Protect electronic health information 10.Incorporate lab results 11.Generate patient lists 12.Reminders for follow-up care 13.Patient educational resources 14.Medication reconciliation 15.Transmit care summaries for transitions of care 16.Report immunizations 17.Secure messaging with patients plus menu items…… 18.Report syndromic data 19.Record electronic notes 20.Imaging results 21.Record family history 22.Report cancer cases 23.Report other registry cases 6

6. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 The HIE requirements for Stage 2 1.CPOE 2.E-Prescribing 3.Record demographics 4.Record vitals 5.Record smoking status 6.Use clinical decision support 7.Patients view, download, transmit 8.Clinical summaries to patients 9.Protect electronic health information 10.Incorporate lab results 11.Generate patient lists 12.Reminders for follow-up care 13.Patient educational resources 14.Medication reconciliation 15.Transmit care summaries for transitions of care 16.Report immunizations 17.Secure messaging with patients plus menu items…… 18.Report syndromic data 19.Record electronic notes 20.Imaging results 21.Record family history 22.Report cancer cases 23.Report other registry cases 7

7. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 The Direct HIE requirements for Stage 2 1.CPOE 2.E-Prescribing 3.Record demographics 4.Record vitals 5.Record smoking status 6.Use clinical decision support 7.Patients view, download, transmit 8.Clinical summaries to patients 9.Protect electronic health information 10.Incorporate lab results 11.Generate patient lists 12.Reminders for follow-up care 13.Patient educational resources 14.Medication reconciliation 15.Transmit care summaries for transitions of care 16.Report immunizations 17.Secure messaging with patients plus menu items…… 18.Report syndromic data 19.Record electronic notes 20.Imaging results 21.Record family history 22.Report cancer cases 23.Report other registry cases 8

8. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Direct is all about interoperability of health information exchange 1) For Stage 2 MU, EHRs must be tested and certified as compliant with the Direct standard, the purpose of which is to permit EHR users using EHRs from different vendors to send and receive secure messages and attachments across organizational and IT system boundaries, as well as to patients using web based Direct- compliant systems. 2) For Stage 2 MU’s transitions of care and referrals objective, an EP, eligible hospital, or CAH must meet the requirement that more than 10% of the summary care records provided for transitions of care and referrals be electronically transmitte d. 3) For Stage 2 MU’s patient engagement objective, patients must be able to “view, download, and transmit to a third-party of their choice” a summary of care record provided by the EHR technology, and 5% must actually do so. Direct Enablement Direct Enablement Direct Use Cases Direct Use Cases Three Main Points to Remember 9

9. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 From the ONC rule… http://www.healthit.gov/sites/default/files/meaningfulusetablesseries2_110112.pdf the Direct standard 10

10. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 From the CMS rule… 11 http://www.healthit.gov/sites/default/files/meaningfulusetablesse ries2_110112.pdf Transitions of care Patient engagement

11. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Direct exchange capability is going to be ubiquitous Direct exchange is not the only way that providers can meet the health information exchange requirements of Stage 2 MU. However, since all certified EHR technology must enable use of Direct exchange, Direct may be the easiest solution to deploy. And, there are benefits of using Direct exchange beyond Stage 2 MU, e.g. for secure exchanges of information with payers; with Medicare, Medicaid, and the VA; within the context of an ACO using multiple EHRs; for patient engagement generally. 12

12. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 How it works: Direct exchange is email with a security and trust layer added in DrBob@direct.familypractice.com DrSusan@direct.cardiology.com Example 1 encryption identity validation 13

13. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 DrBob@direct.familypractice.com DrSusan@direct.cardiology.com Example 2 encryption identity validation How it works: Direct exchange is email with a security and trust layer added in 14

14. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 How it works: Direct exchange is email with a security and trust layer added in DrBob@direct.familypractice.com Pt.Dave@direct.MyPHR.com Example 3 encryption identity validation 15

15. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 To review… Privacy, security, and trust-in-identity layer of Direct exchange is VERY important! Consider HIPAA and the new penalties for breach of privacy. HISPs are Business Associates and “trusted agents” of Direct users. EHRs have 3 options for enabling Direct exchange: 1. EHRs can be a HISP for its customers (and patients?) 2. EHRs can partner with a single full service HISP. 3. EHRs can configure connections (SOAP XDR) to allow customers to choose a HISP, in which case an EHR vendor might have relationships with multiple HISPs. In all three options, it is ultimately the provider’s responsibility that privacy is protected and identity is assured! 16

16. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 A deeper dive into Direct Before Direct users can exchange messages and attachments, they must interact with three entities that serve as “trusted agents,” each of which has separate roles and responsibilities. o A Health Information Service Provider, HISP, handles the encryption and identity validation on behalf of the Direct addressee, assigns accounts and addresses, and arranges for the addressees to be issued an X.509 digital certificate; o A Certificate Authority, CA, issues the X.509 digital certificate to the addressee, along with the public key, relying on the information supplied to it by the; o A Registration Authority, RA, which verifies and proofs the identity of the addressee applying for an X.509 digital certificate. 17

17. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Accreditation & Audit 18 DirectTrust is accrediting HISPs, CAs, and RAs In partnership with EHNAC. Look for the EHNAC- DirectTrust seal of accreditation for assurances of best practices for privacy, security, and trust-in- identity. Accreditation status of HISPs, CAs, RAs is always available at www.DirectTrust.org 18

18. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 DirectTrust Approach 19 Security & Trust Framework EHNAC- DirectTrust Accreditation Program Trusted Anchor Bundle Distribution The goal is to make it easy and inexpensive for trusted agents, e.g. HISPs, to voluntarily know of and follow the “ rules of the road “ for security and Identity, while also easy and inexpensive to know who else is following them.

19. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Questions for EHR vendors Has the software version of the EHR in use been fully certified for Stage 2 MU, including for compliance with Direct exchange? How will the Direct exchange “module” in the new EHR version fit into current workflows? What will Direct integration for both transitions of care and for patient “view, download, and transmit” measures cost? Is the EHR vendor going to offer HISP, CA, and RA services, or work with third parties? Will we have a choice as to what companies fill these roles? Is the HISP, CA, and RA accredited by EHNAC-DirectTrust’s Direct Trusted Agent Accreditation Program (DTAAP)? 20

20. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Short lexicon of terms Health Information Service Provider, HISP An entity or service providing its subscribers Direct accounts, addresses and secure, encrypted exchange of messages between users within the same domain, and also with users in different domains, that is, who are subscribers of different HISPs. It is typically also the responsibility for a HISP to arrange for its subscribers’ identity proofing and verification (the Registration Authority function) and for its subscribers’ digital certificate issuance and management (the Certificate Authority function). HISPs may be organized along several different business models. For example, an EHR technology vendor may operate a HISP internally for its customers. A so-called “full service” HISP may operate a stand alone business, and partner with several EHRs as well as offer its Direct services through a web portal or other set of tools and devices. 21

21. www.DirectTrust.org 1101 Connecticut Ave NW, Washington, DC 20036 Short lexicon of terms Direct Project A public-private sector initiative sponsored and run by ONC whose aim was to create a simple, secure, and open standard for transport of messages and attachments between health care participants over the Internet, regardless of end-user technology. Direct Standard The outcome of the Direct Project. A set of protocols and specifications, along with a security and trust architecture, for simple, secure, inter-vendor communications over the Internet for use by health care professionals and patients. Direct Message Exchange Use or deployment by individuals or entities of health information exchange utilizing the Direct standard. Also sometimes referred to as Directed “push” exchange, Direct exchange. Direct User or Subscriber An organization or an individual that participates in sending and receiving messages and attachments using technology equipped to do so, e.g an EHR or a web portal, via the Direct standard, and who has the authority to do so. 22