www.metaintegration.com www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML Cleveland, May 22-26, 2000 End Stage Renal Disease (ESRD) http://www.hcfa.gov/medicare/esrdpage.htm http://www.hcfa.gov/quality/qlty%2D5d.htm Standard Information Management System (SIMS) http://www.simsproject.com http://www.esrdnetwork6.org Vital Information System to Improve Outcomes in Nephrology (VISION) HCFA / ESRD E-Reporting based on HL7 v3 XML Technology XML based Data Collection / ETL Tool soon http://www.metaintegration.net/HCFA Contacts @ HCFA Contacts @ Meta Integration Cyrus Karimian Denis Stricker Bill Le Clair Christian Bremeau CKarimian@hcfa.gov DStricker@hcfa.gov © 1997-2000 Meta Integration Technology, Inc. leclair@metaintegration.com bremeau@metaintegration.com Page 1 HCFA ESRD Network SOW Background www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • The Statement of Work (SOW) delineates the activities to be conducted by each End Stage Renal Disease (ESRD) Network Organization (Network) to meet the requirements of section 1881(c) of the Social Security Act; the Health Care Financing Administration's (HCA's) Health Care Quality Improvement Program (HCQIP); and other directives related to improving the quality of care of patients with ESRD. • The statute, regulations, the ESRD Network Organizations manual, and other HCFA instructions provide additional detail concerning Network functions, activities, and responsibilities. © 1997-2000 Meta Integration Technology, Inc. Page 2 HCFA ESRD Network SOW Goals www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • Improve the quality of health care services and quality of life for ESRD beneficiaries; • Improve data reliability, validity, and reporting among ESRD providers/facilities, Networks and HCFA (or other appropriate agency); • Establish and improve partnerships and cooperative activities among and between the ESRD Networks, Peer Review Organizations (PROs), State Survey Agencies, ESRD providers/facilities, ESRD facility owners, and professional groups. © 1997-2000 Meta Integration Technology, Inc. Page 3 HCFA ESRD Network SOW Information Management www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • The Network shall be required to utilize the Standard Information Management System (SIMS) to support Network data processing, information management and reporting contractual requirements to HCFA. • HCFA is redesigning the current Renal Beneficiary and Utilization System (REBUS). • The new system will be named the Renal Management Information System (REMIS). • The Network shall be required to utilize REBUS or REMIS as directed by HCFA. © 1997-2000 Meta Integration Technology, Inc. Page 4 HCFA / ESRD / SIMS Responsibilities www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • The Network's responsibilities for data processing, information management and reporting are: – To have sufficient system capacity with the appropriate computer hardware and software to carry out its contractual responsibilities; – To effectively manage the collection, validation, storage and use of data, including data provided by HCFA, for review, profiling, pattern analysis, and sharing with the HCFA RO and State Survey Agency for use in its ESRD Medicare survey and certification activities; – To ensure timely and accurate reporting by the providers/facilities; – To maintain an ESRD patient and facility database and ensure the integrity and accuracy of the databases; and – To ensure the quality and accuracy of the data submitted to HCFA for inclusion in the ESRD Program Management and Medical Information System (PMMIS) and the United States Renal Data System (USRDS). © 1997-2000 Meta Integration Technology, Inc. Page 5 HCFA / ESRD / SIMS System Capacity www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • The Network shall maintain a system that provides the capacity to meet its contractual responsibilities for data collection, validation, entry, retrieval, profiling, analysis, and reporting, and for electronic data interchange. The system, at a minimum, shall utilize and consist of the following: – SIMS software, and program documentation, for the entry and transmission of the HCFA ESRD forms described in section C.5.E.; – HCFA approved software for the entry and transmission of clinical performance measures described in section C.2.C.; – Internet enabled electronic mail capability compatible with HCFA, including the ability to send and receive attachments; – Dial-in capability for connection to REBUS and HCFA compatible web browser access for connection to REMIS; – Office automation software compatible with the HCFA standard; – HCFA supplied or other statistical software for data analysis and profile analysis including profiling patients and facilities by county to facilitate disaster planning and other studies; – Provisions for disaster recovery of the databases and data system; and – Sufficient hardware to run the above software applications. © 1997-2000 Meta Integration Technology, Inc. Page 6 HCFA / ESRD / SIMS Database Management www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • The Network shall maintain a patient database containing the minimum/ critical data elements listed in the Draft ESRD Network Organizations Manual instructions. The Network shall perform the following tasks related to its patient database: – The Networks shall consistently update the SIMS central repository based on data received from the providers/facilities. HCFA will receive a data feed from the SIMS central repository on a regularly scheduled basis to obtain an update of the Networks‘ patient data for REBUS/REMIS. – Upon notification from HCFA either by hardcopy or electronically through REBUS/REMIS, update the Network's patient database with valid changes to important data elements (e.g., beneficiary name, date of birth, Health Insurance Claim Number (HICN) and Beneficiary Identification Code (BIC)). • Through SIMS, the Network shall also maintain a facility database containing the minimum data elements listed in the Draft ESRD Network Organizations Manual instructions. HCFA has the capacity to create data files and labels, and to verify data for the national listing, directly from the SIMS system. HCFA will give the Networks two weeks notice prior to taking these actions so that Networks can properly schedule their system updates for the date the file is created. © 1997-2000 Meta Integration Technology, Inc. Page 7 HCFA / ESRD / SIMS www.hcfa.gov Collection, Validation & Maintenance of HCFA ESRD Forms (Introduction) Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • The Network shall obtain completed HCFA ESRD forms from each ESRD provider/facility in the Network area. The Network will also include all voluntarily submitted forms from the non-Medicare Department of Veterans Affairs (DVA) facilities, and other institutions such as prisons and nursing homes. These forms contain patient specific information necessary for the operation of the national ESRD program. The HCFA ESRD forms and their facility computer generated equivalents include the following: – HCFA-2728-U4 - ESRD Medical Evidence Report Medicare Entitlement and/or Patient Registration (completed on each incident ESRD patient); – HCFA-2744 - ESRD Facility Survey (completed annually); – HCFA-2746 - ESRD Death Notification (or computerized facility generated Death Notification form) (completed within 30 days of the date of death); – HCFA-820 - In-Center Hemodialysis (HD) Clinical Performance Measures Data Collection Form; and – HCFA-821 - Peritoneal Dialysis (PD) Clinical Performance Measures Data Collection Form. © 1997-2000 Meta Integration Technology, Inc. Page 8 HCFA / ESRD / SIMS www.hcfa.gov Collection, Validation & Maintenance of HCFA ESRD Forms (VISION) Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • It is anticipated the: Vital Information System to Improve Outcomes in Nephrology (VISION) project will be rolled out during this contract period, with National Implementation slated for the first quarter of calendar year 2001. However, until such time as the HCFA requires electronic reporting from all dialysis facilities for all patients, it will be on a voluntary basis. At that time, the Networks will be responsible for validating the data from the facilities. • Monitoring the accuracy and completeness of reports, and the validation of facility-level patient data are critical roles in assuring the integrity of the patient tracking system. Similarly, capturing data forms on all incident cases requires a mechanism for cross-checking so facilities can query and detect unreported forms. As VISION is implemented, the activities specified below will need to be retained in a format that is consistent with migration from hardcopy to electronic reporting. © 1997-2000 Meta Integration Technology, Inc. Page 9 HCFA / ESRD / SIMS www.hcfa.gov Collection, Validation & Maintenance of HCFA ESRD Forms (Activities) Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • The Network shall conduct activities to ensure that the data required on the forms are collected, completed, and validated in accordance with Draft ESRD Network Organizations Manual instructions, and the ESRD Program Instruction Manual for Renal Providers. These activities include the following: – Review forms received for accuracy and completeness and return to the provider/facility (or otherwise query the provider/facility) for correction or completion of those forms with missing or inaccurate data. – Receive and process the ESRD Medical Evidence Report, Medicare Entitlement and/or Patient Registration form (HCFA-2728-U4). – Process and transmit the information on HCFA-2728 and HCFA-2746 forms directly to the HCFA Data Center via SIMS. – Process and transmit the information on the HCFA-2744 form directly to the HCFA Data Center via SIMS by the fifth working day in April. – Transmit corrections on the HCFA-2744 form by hard copy or through SIMS by the third Friday in May. – Maintain a file of all HCFA ESRD hardcopy forms that are processed for at least two years. © 1997-2000 Meta Integration Technology, Inc. Page 10 www.hcfa.gov HCFA / ESRD Data Flow The big picture… Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 Social Security Administration (SSA) Transforming the ESRD Reporting Process to HCFA Health Care Financing Administration (HCFA) from Paper Forms to HL7 v3 XML based E-reporting ESRD Medical Evidence Report Medicare Entitlement And/Or Patient Registration Form HCFA-2728-U3 In-Center Hemodialysis (HD) Clinical Performance Measures Data Collection Form 2000, Form HCFA-820 Peritoneal Dialysis (PD) Clinical Performance Measures Data Collection Form 2000 Form HCFA-821 ESRD Medical Information System Facility Survey Part One: Dialysis Part Two: Kidney Transplants Form HCFA-2744 Facility Specific Information Form SIMS-??? End Stage End Stage Renal Disease End Stage Renal Disease (ESRD) Renal(ESRD) Disease Facility (ESRD) Facility Facility Patient Specific Information Form SIMS-??? Patient Death Form HCFA-2746 ESRD Beneficiary Selection (Home Patients Only) Form HCFA-382 Dialysis Facility (DF) Clinical Performance Measures Data Collection Form 2000 Form HCFA-??? © 1997-2000 Meta Integration Technology, Inc. Page 11 www.hcfa.gov HCFA / ESRD Data Flow The SIMS front end Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 End Stage End Stage Renal Disease End Stage Renal(ESRD) Disease Renal(ESRD) Disease Facility (ESRD) Facility Facility SIMS Networks (geographically distributed) Network #01 Health Care Financing Administration (HCFA) Network #02 … … Reporting HCFA (Paper) Forms End Stage End Stage Renal Disease End Stage Renal Disease (ESRD) Renal(ESRD) Disease Facility (ESRD) Facility Facility Network #20 HCFA-2728-U3 HCFA-2746 End Stage End Stage Renal Disease End Stage Renal Disease (ESRD) Renal(ESRD) Disease Facility (ESRD) Facility Facility HCFA-2744 Replication IBM Model 2.04 Databases © 1997-2000 Meta Integration Technology, Inc. Overnight Updates MS SQL Server Databases Page 12 www.hcfa.gov HCFA / ESRD Data Flow Inside HCFA Today… Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML Social Security Administration (SSA) www.metaintegration.com Cleveland, May 22-26, 2000 Health Care Financing Administration (HCFA) MS SQL Server IBM Model 2.04 IBM Model 2.04 © 1997-2000 Meta Integration Technology, Inc. Page 13 www.hcfa.gov HCFA / ESRD Data Flow Inside HCFA Tomorrow… Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 Health Care Financing Administration (HCFA) Oracle Business Intelligence (BI) & Knowledge Management (KM) Solutions: Data Warehousing Data Mining OLAP Auxiliary ESRD Specialized Databases Very limited and primitive had-hoc query and reports on the IBM mainframe (no need for legacy software migration, replaced by Oracle BI & KM tools: DW, DM, OLAP). IBM Model 2.04 Legacy Migration ETL Updates ETL Oracle 8i Updates ETL IBM Model 2.04 © 1997-2000 Meta Integration Technology, Inc. Page 14 www.hcfa.gov HCFA / ESRD Data Flow Long Term Objective… Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML Do they have a database ? Health Care Financing Administration (HCFA) MS SQL Server Data Extraction, Transformation & Load (ETL) Electronic Data Interchange (EDI) www.metaintegration.com Cleveland, May 22-26, 2000 End Stage Renal Disease (ESRD) Facility RDBMS ? over Secure Internet (based on XML) Are they connected on internet / dialups ? How about the security of the medical information ? © 1997-2000 Meta Integration Technology, Inc. Is HL7 v3 XML Ready ? Page 15 HCFA / ESRD Data Flow The VISION Data Collection Tool www.hcfa.gov (Vital Information System to Improve Outcomes in Nephrology)www.metaintegration.com Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML Cleveland, May 22-26, 2000 •Manual Entries of HCFA Forms •Automatic Import (ETL from ESRD Facility Database) •Automatic Export (ETL to HCFA SIMS) •Form Editing, Browsing, Queries, Printing, etc. HCFA-2728-U3 HCFA-2746 HCFA-2744 End Stage Renal Disease (ESRD) Facility VISION Data Collection Tool Health Care Financing Administration (HCFA) (Windows Standalone Utility) Graphical User Interface Graphical User Interface (GUI) Graphical User Interface (GUI) Visual Basic) (Windows (GUI) Visual Basic) (Windows (Windows MFC Visual Basic) MS SQL Server MS Access DB ETL © 1997-2000 Meta Integration Technology, Inc. RDBMS ? ETL Page 16 HCFA / ESRD Data Flow ETL #1 & 2 : VISION Import/Export of HL7 v3 XML “Based” HCFA Documents www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 VISION Data Collection Tool Meta Integration Works (Windows Standalone Utility) Data Extraction, Transformation |& Load (ETL) Graphical User Interface (GUI) Graphical User Interface (Windows Visual Basic) (GUI) Graphical User Interface (Windows Visual Basic) (GUI) Generation & Maintenance of the Data Movement Components (C++ based, Windows Plug&Play) (Windows MFC Visual Basic) Import MS Access DB Data Movement Component Export Data Movement Component XML Files HL7 v3 XML based HCFA-2728-U3 Import Data Movement Component Export HL7 v3 XML based HCFA -2744 HL7 v3 XML based HCFA -2746 © 1997-2000 Meta Integration Technology, Inc. Page 17 HCFA / ESRD Data Flow www.hcfa.gov ETL #3 : HCFA / SIMS Import of HL7 v3 XML “Based” HCFA Documents Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 Meta Integration Works Data Extraction, Transformation |& Load (ETL) Health Care Financing Administration (HCFA) Generation & Maintenance of the Data Movement Components (C++ based, Windows Plug&Play) XML Files MS SQL Server Import Data Movement Component HL7 v3 XML based HCFA-2728-U3 Import Data Movement Component Import HL7 v3 XML based HCFA -2744 HL7 v3 XML based HCFA -2746 © 1997-2000 Meta Integration Technology, Inc. Page 18 HCFA / ESRD Data Flow www.hcfa.gov ETL #4, 5, … : ESRD Facility Export of HL7 v3 XML “Based” HCFA Documents Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 Meta Integration Works Data Extraction, Transformation |& Load (ETL) Generation & Maintenance of the Data Movement Components (C++ based, Windows Plug&Play) End Stage Renal Disease (ESRD) Facility XML Files Any RDBMS via ODBC Export Data Movement Component HL7 v3 XML based HCFA-2728-U3 Export Data Movement Component Export HL7 v3 XML based HCFA -2744 HL7 v3 XML based HCFA -2746 © 1997-2000 Meta Integration Technology, Inc. Page 19 HCFA / ESRD Data Flow www.hcfa.gov Generating Data Movement Components HL7 v3 XML “based” HCFA Documents www.metaintegration.com Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML Cleveland, May 22-26, 2000 Meta Integration Works Data Extraction, Transformation |& Load (ETL) (step 1) Model Converter (Import Bridges) HL7 v3 XML DTD based HCFA-2728-U3 (step 2) Model Mapper Database Schema Logical Model (ERwin, Rose, etc.) Physical Model (DDL) (step 3) Data Bridge Builder MS Access DB HL7 v3 XML based HCFA-2728-U3 © 1997-2000 Meta Integration Technology, Inc. HCFA-2728 HL7 v3 XML to VISION Data Movement Component Page 20 www.hcfa.gov HCFA / ESRD Data Flow Introducing VISION phase 1 Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML Health Care Financing Administration (HCFA) www.metaintegration.com Cleveland, May 22-26, 2000 End Stage End Stage Renal Disease End Stage Renal(ESRD) Disease Renal(ESRD) Disease Facility (ESRD) Facility Facility Network #01 Network #02 … … Network #19 Conventional Reporting HCFA (Paper) Forms Network #20 E-Reporting “HyperShip” Secured Transport U.S. Postal Office Certified ! © 1997-2000 Meta Integration Technology, Inc. End Stage End Stage Renal Disease End Stage Renal Disease (ESRD) Renal(ESRD) Disease Facility (ESRD) Facility Facility VISION Data Collection Tool (Windows Standalone Utility) HCFA-2728-U3 End Stage End Stage Renal Disease End Stage Renal Disease (ESRD) Renal(ESRD) Disease Facility (ESRD) Facility Facility HCFA-2746 HCFA-2744 Page 21 HL7 Development Environment www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 Interaction Model Interaction InteractionModel Model Unused? Domain Information Models (DIM) Reference Information Model (RIM) Refined Message Information Model (R-MIM) Harmonization Process The HL7 Development Environment is composed of: •A repository called “RIM” implemented on Microsoft Access •Represents the master copy of all HL7 metadata, •Contains RIM tables as well as R-MIM, HMD, more? •Can be populated from Rational Rose (with referential integrity, and version management)) •But contains more information than in Rose? •Can export to Rose •A toolset called “RoseTree” implemented with Visual Basic © 1997-2000 Meta Integration Technology, Inc. Message Object Diagram Message Object Diagram Message Object Diagram Hierarchical Message Descriptions (HMD) HL7 v2.x (EncodingRules 7) ER7 HL7 v3.x (XML DTD) Messages Page 22 HL7 v3 XML “Based” HCFA Documents Document/Message Construction www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • Goal – – – – – Build HL7 XML documents/messages for HCFA forms Use Message Development Framework Version 3.2 April 1999 Use RoseTree RIM095 with no modifications Use standard coding schemes • LOINC codes (Logical Observation Identifiers, Names and Codes ) for identifying laboratory and clinical observations. • ICD-9 (International Classification of Diseases) – Fortunate that USAM 2.4 (Unified Service Action Model) existed © 1997-2000 Meta Integration Technology, Inc. Page 23 HL7 v3 XML “Based” HCFA Documents Current Message Choices www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • What about the current documents – Patient Record Architecture Framework • Not enough RIM information • Not all the information seems to be in the RIM (i.e.,Clinical_Document_Header with Patient relationship) • Closest to what we need but timeliness is an issue – Could not find other documents dealing with documents © 1997-2000 Meta Integration Technology, Inc. Page 24 HL7 v3 XML “Based” HCFA Documents Classes Used www.metaintegration.com www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML Clinical_document(1) Clinical_document_header(1) Authentication(0..1) Healthcare_document_authenticator(1) Person(1..n) Person_name(1) Service(0..n) Target(0..n) Material(1) Master_patient_service_location(1) Dependent_Service(1..n) Service(1) Healthcare_provider_organization(1) Master_patient_service_location(1) Patient(1) Person(1) Person_name(1) Employee(0..n) Person_Employment(0..n) Administrative_patient_death(1) Cleveland, May 22-26, 2000 Master_patient_service_location (from previous box) Patient(1) … Patient_Encounter(0..n) Service(0..n) Target(0..n) Material(0..1) Master_patient_service_location(0..1) Dependent_Service(0..n) Service(1..n) Consent(1) Consent.Actor(1) Consent.Witness(0..1) Master_healthcare_benefit_product(0..1) Insurer(0..1) Organization(1) Material(0..n) (Statistical) Target(0..n) Service(0..n) (statistical) Service is an Observation, Procedure, Condition_node, Medication, or Supply © 1997-2000 Meta Integration Technology, Inc. Page 25 HL7 v3 XML “Based” HCFA Documents Status www.hcfa.gov Implementing HCFA’s ESRD E-Reporting with HL7 v3 XML www.metaintegration.com Cleveland, May 22-26, 2000 • Lessons learned – The RIM is fairly complete – found no needs create new relationships or to create new attributes – It is sometimes hard to choose a path when several paths are possible and valid (Services for example) – Yes/No questions require interpretation – Members of HL7 are very cooperative • Waiting on – Statistics – not yet defined • Used Xeena tool from IBM (free validating XML editing tool) © 1997-2000 Meta Integration Technology, Inc. Page 26