1. “ Jericho / UT Austin Pilot” Privacy with Dynamic Patient Review June 25, 2013 Presented by: David Staggs, JD, CISSP Jericho Systems Corporation

2. 206/25/2013 Agenda Administrative issues Pilot scope Data flow diagram Information leakage Relevant filtering Data segmentation Available attributes for various eHealth exchange calls How to pass the attributes in the PCD request UT student involvement Questions POA&M

3. 306/25/2013 Pilot Administrivia This pilot is a community led pilot –Limited support provided by the ONC Apurva Dharia (ESAC) Jeanne Burton (Security Risk Solutions) Melissa Springer (HHS) In conjunction with DS4P bi-weekly return of an All Hands meeting Access to DS4P Wiki, teleconference, and calendar Meeting times: Tuesdays 11AM (ET) –Dial In: +1-650-479-3208 Access code: 662 197 169 URL: https://siframework1.webex.com/siframework1/onstage/g.php?t=a& d=662197169 https://siframework1.webex.com/siframework1/onstage/g.php?t=a& d=662197169

4. 406/25/2013 Scope of the Pilot 1. Define the exchange of HL7 CDA-compliant PCD between a data custodian and a PCD repository that includes a report on the outcome of the request back to the healthcare consumer. 2. Additional goal: use of identifiers that can uniquely identify the healthcare consumer and PCD repository used to report the outcome of the request back to the healthcare consumer by healthcare consumer’s provider and subsequent EHR custodians. 3. Stretch goal: use of the PCD repository as a proxy allowing direct authentication by the healthcare consumer to the provider, subsequently reducing correlation errors.

5. 506/25/2013 Expected Data Flow (updated) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor   B ,  = Clinical data A,B = PCD data = audit record And Subsequent Custodian of Data being Provided at 

6. Information Leakage PCD repository reference implementation options: –Give the data custodian the entire PCD once and allow use for multiple requests –Give the data custodian a subset of the PCD relevant to the data custodian and allow use for multiple requests –Give the data custodian a subset of the PCD relevant to each request for a clinical document Information leakage is reduced by providing only what is required to decide patient’s intent for the clinical document being requested 06/25/20136

7. What’s Relevant? Filtering the PCD to reduce data leakage: –What information is available and necessary to filter the PCD (SAML attributes) organization and organization-id (remote node) subject-id and subject:npi (remote requester) role (role of remote requester) purposeofuse (stated reason for the request) resource-id (unique patient identifier) Provide recommendation meeting clinical workflow 06/25/20137

8. What’s Relevant? Filtering the PCD to reduce data leakage: –What information is available and necessary to filter the PCD (SAML attributes) organization and organization-id (remote node) subject-id and subject:npi (remote requester) role (role of remote requester) purposeofuse (stated reason for the request) resource-id (unique patient identifier) use patient-id Provide recommendation meeting clinical workflow Clerks submit requests for clinicians 06/25/20138

9. Data Segmentation Patient’s consent over release of certain clinical data: –What information is available and necessary to filter the PCD (attributes from the clinical document) –Requires segmentation (data tagging) of the clinical document being requested HL7 CDA r2 Confidentiality codes (e.g., ETH) in header HL7 HCS Sensitivity codes (in data segments) If data tags are passed in the request for a PCD, only the patient’s restrictions on those data tags need be sent –Custodian already knows the existence of the data segment because it sees it in the clinical document 06/25/20139

10. Repository Requests Vary Which responses should require a PCD? In response to Cross Gateway Patient Discovery (XCPD) –NHIN Patient Discovery IHE ITI-55 –NHIN Patient Location Query IHE ITI-56 In response to NHIN Query for Documents Transaction –IHE Cross Community Access (XCA) ITI-38 In response to NHIN Retrieve Document Transaction –IHE ITI XCA Supplement Section 3.39 XCPD maps identifiers, other request have different attributes 06/25/201310

11. Cross Gateway Patient Discovery 06/25/201311 Attribute IDSourceDescriptionOptionality PCD Query urn:oasis:names:tc:xspa:1.0:subject:purposeofuseXUA assertionHL7 valueRequired urn:oasis:names:tc:xpsa:1.0:subject:organization-idXUA Assertionunique organizational identifier of the requestor Required urn:oasis:names:tc:xpsa:1.0:subject:organizationXUA AssertionName of the organization of the requestor Required urn:nhin:names:saml:homeCommunityIdXUA AssertionHome community id of the requestor Required If Available Optional urn:oasis:names:tc:xpsa:1.0:subject:organizationXUA Assertionhome community ID of the requestor RequiredOptional urn:oasis:names:tc:xacml:1.0:resource:patient-id XDS.b metadatapatient idRequired urn:oasis:names:tc:xacml:1.0:action:action-idN/ADefined Value: DocumentQuery Required urn:oasis:names:tc:xacml:2.0:subject:roleXUA AssertionASTM role of the requesting user Optional urn:oasis:names:tc:xacml:1.0:subject:subject-idXUA AssertionRequestor name, email address or NPI RequiredOptional urn:oasis:names:tc:xspa:1.0:environment:localityConfigurationhome community ID of servicing organization RequiredOptional

12. Query for Documents Transaction 06/25/201312 Attribute IDSourceDescriptionOptionality PCD Query urn:oasis:names:tc:xspa:1.0:subject:purposeofuseXUA assertionHL7 valueRequired urn:oasis:names:tc:xpsa:1.0:subject:organization-idXUA Assertionunique organizational identifier of the requestor Required urn:oasis:names:tc:xpsa:1.0:subject:organizationXUA AssertionName of the organization of the requestor Required urn:nhin:names:saml:homeCommunityIdXUA AssertionHome community id of the requestor Required If Available Optional urn:oasis:names:tc:xpsa:1.0:subject:organizationXUA Assertionhome community ID of the requestor RequiredOptional urn:oasis:names:tc:xacml:1.0:resource:patient-id XDS.b metadatapatient idRequired urn:oasis:names:tc:xacml:1.0:action:action-idN/ADefined Value: DocumentQuery Required urn:oasis:names:tc:xacml:2.0:subject:roleXUA AssertionASTM role of the requesting user Optional urn:oasis:names:tc:xacml:1.0:subject:subject-idXUA AssertionRequestor name, email address or NPI RequiredOptional urn:oasis:names:tc:xspa:1.0:environment:localityConfigurationhome community ID of servicing organization RequiredOptional urn:oasis:names:tc:xspa:2.0:resource:typeXDS.b Query or Document LOINC code for document requested Required urn:oasis:names:tc:xspa:1.0:resource:hl7:confidenti ality- code XDS.b Query or Document Confidentiality code of CDA document RequiredOptional?

13. Retrieve Document Transaction 06/25/201313 Attribute IDSourceDescriptionOptionality PCD Query urn:oasis:names:tc:xspa:1.0:subject:purposeofuseXUA assertionHL7 valueRequired urn:oasis:names:tc:xpsa:1.0:subject:organization-idXUA Assertionunique organizational identifier of the requestor Required urn:oasis:names:tc:xpsa:1.0:subject:organizationXUA AssertionName of the organization of the requestor Required urn:nhin:names:saml:homeCommunityIdXUA AssertionHome community id of the requestor Required If Available Optional urn:oasis:names:tc:xpsa:1.0:subject:organizationXUA Assertionhome community ID of the requestor RequiredOptional urn:oasis:names:tc:xacml:1.0:resource:patient-id XDS.b metadatapatient idRequired urn:oasis:names:tc:xacml:1.0:action:action-idN/ADefined Value: DocumentQuery Required urn:oasis:names:tc:xacml:2.0:subject:roleXUA AssertionASTM role of the requesting user Optional urn:oasis:names:tc:xacml:1.0:subject:subject-idXUA AssertionRequestor name, email address or NPI RequiredOptional urn:oasis:names:tc:xspa:1.0:environment:localityConfigurationhome community ID of servicing organization RequiredOptional urn:oasis:names:tc:xspa:2.0:resource:typeXDS.b Query or Document LOINC code for document requested Required urn:oasis:names:tc:xspa:1.0:resource:hl7:confidenti ality- code XDS.b Query or Document Confidentiality code of CDA document RequiredOptional? urn:oasis:names:tc:xspa:1.0:resource:hl7:sensitivity- code XDS.b Document Sensitivity code of dataRequiredRequired if available

14. Notes on Data Segmentation How do we pass attributes in the PCD request? Include attributes in SAML/XUA Assertion and keep XDS.b Find Documents query unchanged Create new XDS.b query and define attributes as slot query parameters Extend existing XDS.b Find Documents query, including attributes as additional optional slot query parameters 06/25/201314

15. IG Query and Response PCD 1506/25/2013

16. UT Student Contribution UT Austin HIT Students: John Bender and Adrian Tan –Project: "Definition of Data Sets Exchanged During Request for Patient Consent Directive (PCD) on e-Health Exchange" Goals: –Review common or emerging privacy and security standards for the transfer of information within eHealth Exchange –Determine optimal standard(s) for data exchange Potential usability of HL7 HCS for Jericho Pilot Stage 2 –Health Care Privacy & Security Classification System –Define required security labels within the HCS for PCD transfer –Define specific PCD data to be exchanged, including metadata Deadline: July 22nd 06/25/201316

17. 1706/25/2013 Reminder: Test Methodology

18. 1806/25/2013 Pilot Timeline General Timeline, conditioned on agreement of stakeholders MilestoneTarget DateResponsible Party Kick off and LogisticsApril 2013Jericho Systems Basic InfrastructureJune 2013Members AuthN via RepositoryAugust 2013Members Reporting CapabilityOctober 2013Members CompleteNovember 2013Members

19. 1906/25/2013 Questions? For example: Should we demonstrate data segmentation information being passed in the PCD request?

20. 20 Plan of Action Upon agreement of the participants the POA is: Identify the elements available from previous DS4P pilots Scope level of effort, decide on extended scenario Determine first draft of functional requirements Review standards available for returning information on requests Determine any gaps or extensions required in standards Stand up information holders and requestors Create XDS.b repository holding PCD Identify remaining pieces Document and update IG with results of our experience 06/25/2013

21. DS4P Standards Material Location of DS4P Standards Inventory: http://wiki.siframework.org/Data+Segmentation+-+Standards+Inventory Location of DS4P Standards Mapping Issues: http://wiki.siframework.org/file/view/Copy%20of%20DataMappingsIssues%20051 02012.xlsx/333681710/Copy%20of%20DataMappingsIssues%2005102012.xlsx General Standards Source List: http://wiki.siframework.org/file/view/General%20SI%20Framework%20Standards %20Analysis.xlsx/297940330/General%20SI%20Framework%20Standards%20A nalysis.xlsx Standards Crosswalk Analysis http://wiki.siframework.org/Data+Segmentation+for+Privacy+Standards+and+Har monizationhttp://wiki.siframework.org/Data+Segmentation+for+Privacy+Standards+and+Har monization (at bottom of page, exportable) Implementation Guidance http://wiki.siframework.org/file/view/Data%20Segmentation%20Implementation% 20Guidance_consensus_v1_0_4.pdf/416474106/Data%20Segmentation%20Impl ementation%20Guidance_consensus_v1_0_4.pdf 06/25/201321

22. 2206/25/2013 DS4P References Use Case: http://wiki.siframework.org/Data+Segmentation+for+Privacy+Use+C ases http://wiki.siframework.org/Data+Segmentation+for+Privacy+Use+C ases Implementation Guide: http://wiki.siframework.org/Data+Segmentation+for+Privacy+IG+Co nsensus http://wiki.siframework.org/Data+Segmentation+for+Privacy+IG+Co nsensus Pilots Wiki Page: http://wiki.siframework.org/Data+Segmentation+for+Privacy+RI+and +Pilots+Sub-Workgroup http://wiki.siframework.org/Data+Segmentation+for+Privacy+RI+and +Pilots+Sub-Workgroup

23. 2306/25/2013 Backup Slides

24. 2406/25/2013 Expected Data Flow (updated) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor   B ,  = Clinical data A,B = PCD data = audit record And Subsequent Custodian of Data being Provided at 

25. 2506/25/2013 Expected Data Flow (updated) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor Clinical exchange #  Clinical exchange #  B ,  = Clinical data A,B = PCD data = audit record And Subsequent Custodian of Data being Provided at  Fetch PCD Send audit

26. 2605/25/2013 Expected Data Flow (1) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor  ,  = Clinical data A,B = PCD data = audit record

27. 2705/25/2013 Expected Data Flow (2) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor  ,  = Clinical data A,B = PCD data = audit record

28. 2805/25/2013 Expected Data Flow (3) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor  B ,  = Clinical data A,B = PCD data = audit record And Subsequent Custodian of Data being Provided at 

29. 2905/25/2013 Expected Data Flow (4) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor  ,  = Clinical data A,B = PCD data = audit record And Subsequent Custodian of Data being Provided at 

30. 3005/25/2013 Expected Data Flow (5) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor ,  = Clinical data A,B = PCD data = audit record And Subsequent Custodian of Data being Provided at 

31. 3106/25/2013 Expected Data Flow (updated) Custodian of Data being Provided at  Patient PCD Repository 2 nd Requestor 1 st Requestor   B ,  = Clinical data A,B = PCD data = audit record And Subsequent Custodian of Data being Provided at 

32. Informative Note: PCDs 05/14/201332 PCD Format PCD Header PCD Body Structure of the PCD

33. Query and Response for Location 06/25/201333

34. Query and Response PCD 3406/25/2013

35. 35 NHIN IHE XCA 06/25/2013 NHIN Query for Documents Web Service Interface Specification XCA Cross Gateway Query transaction [ITI-38] as the protocol for query for documents NHIN Retrieve Documents Web Service Interface Specification XCA Cross Gateway Retrieve transaction [ITI-39] as the protocol for retrieving documents

36. 3606/25/2013 Issues from Previous Call 1.Issues inherent in embedding PCD repository information Embedding PCD Repository information in clinical documents Providing a pointer to location is static (even if PCD dynamic) Can we meet goal by embedding query information? 2.Subsequent Custodian of Data should multicast query for PCD Provide broad information, specific to organization Provide unique PCD identifier in clinical document 3.Cover new use cases If PCD not found, multiple PCD found, or new repository 4.Build on previous pilots Most recent PCD, no de-confliction step considered

37. 3706/25/2013 Running Observations 1.XCA simplifies back-end implementation Although XDS.b is described in IHE documents, not required Many current examples of eHealth Exchange use XCA 2.On-Demand Documents Supplement NHIN has adopted the use of On-Demand Documents Updates XCA to use dynamically created documents Allows registration of content dynamically assembled 3.Audit record from custodian of release decision Previous pilots used unique message ID, not externalized 4.Creation of PCD on demand If PCD has sensitive data, should not give all information