FY2012 VIReC Database a

Methods 

Cyber Seminar Series

RESEARCHERS’ GUIDE TO VA DATA
FY2012 VIReC Database and Methods Cyber Seminar 

Research Access to VA Dat

November 7, 2011

Presented by:

Deni h se Hynes, PhD, MPH, RN

Linda Kok, MA

RESEARCHERS’ GUIDE TO VA DATA
Acknowledgements

Margaret Browning, VIReCJohn Quinn & Irma McCaffrey, National DS t ys

tems

Sam White, Health Information AccessAudrey Revere, Patient Care ServicesMichael Wlezien, Hines ISO and CUPS POCVA Informatics and Computing Infrastru(VINCI) DART Software Development TL k Cit VA L

a

k

e Cit

y VA 

RESEARCHERS’ GUIDE TO VA DATA
Session Objectives

Describe procedures for obtaining authorization to access: 

– Data access app o ed b facilit CUP

Data access app

r

o

ved b

y facilit

y CUP

– Data access approved through DART– Ph B fit M t D t Pharmacy Benefit

s Management D

a

t

a

– Patient Care Services (PCS) Data

– CAPRI d Vi tAW b EHR D t CAPRI and Vi

stAW

eb EHR D

a

t

a

Identify approaches to facilitate the request review process

RESEARCHERS’ GUIDE TO VA DATA
Session Objectives

Describe procedures for obtaining authorization to access: 

– Data access app o ed b facilit CUP

Data access app

r

o

ved b

y facilit

y CUP

– Data access approved through DART– Ph B fit M t D t Pharmacy Benefit

s Management D

a

t

a

– Patient Care Services (PCS) Data

– CAPRI d Vi tAW b EHR D t CAPRI and Vi

stAW

eb EHR D

a

t

a

Identify approaches to facilitate the request review process

RESEARCHERS’ GUIDE TO VA DATA
Audience Poll

(Heidi please convert to poll

Have you ever requested access fonational SAS dataset at Austin with scrambled SSNs? 

– Yes– No

Have you ever requested access to dataset at Austin with real SSNs jucohort of patients entirely from youfacility? 

– Yes– No

RESEARCHERS’ GUIDE TO VA DATA
Data Access Approvals

Managed Locally 

T f A 

Data Identifier ype o Cohort

A

MedSAS Station VISN 

Other SAS 

Workload Data

DSS NDE

SCR SSN Station, VISN or National 

Real SSN Station 

DSS NDE

s 

VSSC

DSS Web Reports 

Real SSN VISN or National Na

Vital Status File 

CDW/VINCI

SCR SSN Station, VISN or National Na

CDW/VINCI

Real SSN Station, VISN or National Na

RESEARCHERS’ GUIDE TO VA DATA
Data Access Approvals

Managed Locally 

Procedure

1. Complete & sign VA Form 9957 <see bonus slid

additional instructions>

- F i l T k C d li k Functional Task C

o

des li

n

k:

http://vaww4.va.gov/NDS/FTCGrid.asp

- Obtain supervisor & local approval signatures

2. Submit to your facility CUPS POC 

- Customer User Provisioning System Point Of Contact - Often the facility Information Security Officer (ISO- Contact the Austin Service Desk to identify your C

3. Receive e-mail with your login ID & temporary 

No need to submit a request through DART

RESEARCHERS’ GUIDE TO VA DATA
Session Objectives

Describe procedure for obtaining authorization to access: 

– Data access approved by facility CUP– Data access approved through DART– Pharmacy Benefits Management Data– Patient Care Services (PCS) Data– CAPRI and VistAWeb EHR Data

Identify approaches to facilitate the request review process

RESEARCHERS’ GUIDE TO VA DATA
Audience Poll

(Heidi please convert to poll

Have you ever requested access to SSN data for a national cohort of paor for a cohort of patients entirely your VISN? 

– Yes– No

Have you ever requested access to data or the VHA Vital Status Files? 

– Yes– No

RESEARCHERS’ GUIDE TO VA DATA
Data Access Approvals 

Managed Nationally

Type of A

Data Identifier Cohort 

SCR SSN Station, VISN MedSAS 

Other SAS 

Workload Data

SCR SSN Station, VISN or National

Real SSN Station 

DSS NDEs 

VSSC & DSS Web 

Reports Real SSN VISN or National Reports 

SCR SSN Station, VISN N ti l 

Vital Status File 

CDW

SCR SSN

or N

ational 

Real SSN Station, VISN 

RESEARCHERS’ GUIDE TO VA DATA

Real SSN , or National 
Data Access Approvals 

Managed Nationally

CDW & VINCI Workspace

– CDW– Vital Status File

Other

– BIRLS Death File– Medical SAS datasets – DSS NDEs– Vital Status File– OEF

/OIF Roster File

– VSSC & DSS Web Reports

RESEARCHERS’ GUIDE TO VA DATA
Where to Start DART Request P

Begin on NDS web pages: 

— Descriptions of required documents — Link to data access forms— Link to Functional Task Codes— Launch DART button

— DART is a software application that auto

data request submission review and apdata request submission, review and ap

RESEARCHERS’ GUIDE TO VA DATA
The DART Request Proces

DART Procedure:

— Enter project and PI information— Enter inf bd 

ormation a

bout secon

dary rese

if needed

— Enter information about study staff— Select data needed— Upload documents listed (verify) — Submit request 

RESEARCHERS’ GUIDE TO VA DATA
Required Documents 

Per Research Study Per Study Site Per 

Research Data Request Memo 

Per Study Site

Research and Development (R&D) 

VA Form 

Memo stud

y s

Research ProtocolData Use Agreement 

Committee approval letterIRB approval lette

r

y

to systeVA PrivAccess 

or VSSC Data Use AgreementSample Informed 

pp

Waiver of HIPAA authorization 

Access Vital StBehavioapplica

Consent and HIPAA Authorization, where applicable 

Note: Not all documents are required for each data request.

RESEARCHERS’ GUIDE TO VA DATA
Data Access Approval Proc

in DART

1) Submission of 

Research Packet 5) Notification to 

h

Researcher via DART

Data 

C t di

Researc

her

NDS

4) Approval of Data 

Cus

t

odian

VHA Privacy

Review

4) Approval of Data Use Agreement and 

Notification to the 

Data Steward

NDS

VHA Data

Security 

ORD

RESEARCHERS’ GUIDE TO VA DATA
Session Objectives

Describe procedures for obtaining authorization to access: 

– Data access approved by facility CUPS – Data access approved through DART– Pharmacy Benefits Management Data– Patient Care Services (PCS) Data– CAPRI and VistAWeb EHR Data

Identify approaches to facilitate the request review process

RESEARCHERS’ GUIDE TO VA DATA
Audience Poll

(Heidi please convert to poll

Have you ever requested PBM data

– Yes– No

RESEARCHERS’ GUIDE TO VA DATA
Access to VHA Pharmacy Ben

VHA Pharmacy Ben

Management (PBM) Data

PBM Strategic Health Group (data stewaNo direct researcher access PBM Services creates a custom data ext

-SAS - S

QL - ACCESS

-ACSII - EXCEL

Procedure:

– Submit a copy of IRB approval letter– Sb i u

b

mit a f h d l summary

of 

t

h

e stu

d

y protocol

– Submit a completed research data reque

RESEARCHERS’ GUIDE TO VA DATA
Access to PBM Data Access to PBM Data – con

Available on PBM Intranet website:

– Research data request form – Instructions for requesting a data ext

http://vaww.apps.cmop.va.gov/PBMIntranetWEbSiteArch

qualityimprovement/rdrf.asp

RESEARCHERS’ GUIDE TO VA DATA
Session Objectives

Describe procedures for obtaining authorization to access: 

– Data access approved by facility CUPS – Data access approved through DART– Pharmacy Benefits Management Data– Patient Care Services (PCS) Data– CAPRI and VistAWeb EHR Data

Identify approaches to facilitate the request review process

RESEARCHERS’ GUIDE TO VA DATA
Audience Poll

(Heidi please convert to poll

Have you ever requested access to Patient Care Services (PCS) data?

– Yes– No

RESEARCHERS’ GUIDE TO VA DATA
Typ 

es of Data Available Throu Types of PCS Data Availa

Care Coordination Diagnostic Ser

Dentistry

(Moved to 10NC) Specialty Care S

Cardiology

Diabetes

Eastern Pacem

Foot Care (Podi

Infectious Dise

MRSA

Geriatrics & Extended Care

VA Form 9957 re

quired MRSA

Neurology

Oncology (CR

PADRECC

Transplant

Surgery (VASQIP) Mo

q

for all RAI/MDS data use requests

Functional Task Code: 1100RR08 

VA Privacy Statement

Surgery (VASQIP) 

– Mo

Mental Health Services National Center fo

Promotion/Di

Ph B fi Pharmacy Benefits

Management Pi C r mary Ca

Prosthetics Rehabilitation S

RESEARCHERS’ GUIDE TO VA DATA

Spinal Cord Injury TeleHealth Se
Access to PCS Data 

PCS provides analytic datasets creafrom data within its stewardshipData Transfer Agreement (DTA) reqDTA requirements vary for data reqfor:

– Research Studies– Q lit I t St di Qualit

y Improvement St

udies

– Program Evaluation Studies

RESEARCHERS’ GUIDE TO VA DATA
Access to PCS Data Access to PCS Data – con

Procedure for Research Use:– Complete appropriate DTA Request form– Prepare brief study description addressing ite

outlined in PCS DTA policy

• Describe data re

quested

– Complete PCS Data Security Checklist– Provide FTE VA Appointment Verification Let

ovide FTE VA Appoin

t

m

e

n

t V

erification Let

– Document mandatory research training for s– Provide copies of IRB and R&D approvals

RESEARCHERS’ GUIDE TO VA DATA
Access to PCS Data Access to PCS Data – con

Data request instructions and contact information are available on the PCS Wpage:

http://vaww.infoshare.va.gov/sites/OSPM/default.aspx

RESEARCHERS’ GUIDE TO VA DATA
Session Objectives

Describe procedures for obtaining authorization to access: 

– Data access approved by facility CUP– Data access approved through DART– Pharmacy Benefits Management Data– Patient Care Services (PCS) Data– CAPRI and VistAWeb EHR Data

Identify approaches to facilitate the request review process

RESEARCHERS’ GUIDE TO VA DATA
Audience Poll

(Heidi please convert to poll

Have you ever requested access to VistAWeb or CAPRI electronic healrecord (EHR) data?

– Yes– No

RESEARCHERS’ GUIDE TO VA DATA
VistAWeb & CAPRI

Access is through Intranet Web 

b

Single sign-on fo

approved patient l

VistAWeb CAPRI

Provides readonly access to the

full set of 

CPRS EHR 

browser

No software installation required

ff f

or approval for a

Requires installatio

Looks like C

data, one patient 

at a time

Search to find a 

Looks different 

from CPRS

VistA Imaging integration

Looks like C

Search function, 

clinical notes for te

specific pa

specific patient 

within a specific 

facility

Access to Vis

Direct VistA Im

availab

RESEARCHERS’ GUIDE TO VA DATA
Access to VistAWeb & CAP

“Special User” access is required for VistAWCAPRI. It is granted by VHA Privacy Office Health Information Access (HIA) program to those official duties require access to non-local mrecords 

RESEARCHERS’ GUIDE TO VA DATA
“Special User” Access

Proce

dure:

– Fax or email (using PKI) request packets to HIA - 

following:

• Special User Access Request Form• Rules of Behavior • Research Study Protocol • Informed Consent or Waiver of Consent • HIPAA Authorization or Waiver of Authorization • Research and Development (R&D) Committee A

Letter

• Research study Institutional Review Board (IRB

Letter 

• DUA

RESEARCHERS’ GUIDE TO VA DATA
“Special User” Access “Special User” Access - He

See HIA website for details of accesrequirements and faxing instruction

http://vaww va gov/hia/ http://vaww.va.gov/hia/

Submit questions to HIA at: 

hia@va.gov

RESEARCHERS’ GUIDE TO VA DATA
Session Objectives

Describe procedures for obtaining authorization to access: 

– Data access approved by facility CUP– Data access approved through DART– Pharmacy Benefits Management Data– Patient Care Services (PCS) Data– CAPRI and VistAWeb EHR Data

Identify approaches to facilitate the request review process

RESEARCHERS’ GUIDE TO VA DATA
Reduce Processing and Processing and 

Review Time

IRB Protocol: 

– Verify that you have clearly justified 

• Identifiers requested (real vs scrambled SSN

• Types of data 

– Review data privacy & security plans with PO & 

IRB and R&D Committee Approval Letters

– Provide original and current approvals– Verify that your IRB approval includes

• HIPAA th i ti i f th i ti HIPAA authorization or waiver of authorizatio

• Informed consent forms, where appropriate 

– For multiple-site studies, provide

• Local IRB approvals for each site or • VA Central IRB approval 

RESEARCHERS’ GUIDE TO VA DATA
Reduce Processing and Processing and 

Review Time– cont.

Form 9957, when required:

– Type all fields except the signatures – Accompany approval signatures with person’s na– Electronic signatures are accepted

General suggestions for DART:

– Clearly name electronic documents – Submit only .pdf or Word documents (e.g., .doc, – Double check - before submitting the request 

• Are uploaded documents complete and • Verify that documents are uploaded to the correct 

requirement

RESEARCHERS’ GUIDE TO VA DATA
EFFORTS ON BEHALF 

RESEARCHERS

RESEARCHERS’ GUIDE TO VA DATA
Efforts to 

Improve Data Request Proc

Solutions VIReC VINCI and OIA aSolutions VIReC, VINCI, and OIA apursuing include:

– Further simplify process– Educate researchers and operations sta– Increase staffing for request review– Expand & improve CDW data domains

DART to release new version soon

– More specific request status values– Adding q VA/CMS data requests– Improving document submission proces

*OIA = Office of Informatics and Analytics

RESEARCHERS’ GUIDE TO VA DATA
CONTACTS & HELP

RESEARCHERS’ GUIDE TO VA DATA
Austin Mainframe & DAR

H l d k C t t H

elp

desk Con

tac

t

For questions regard f ing Austin Main

frame or DA

– CDCO National Service Desk (NSD)

• E-Mail: cdco-nsd@va.gov• Phone: 888-326-6780 

For a complete list of SAS Datasets on Austin Ma

http://vaww4.va.gov/NDS/SAS/SASDataDictionarie

Dictionaries.asp

RESEARCHERS’ GUIDE TO VA DATA
Data Access Help

NDS information about required docum

http://vaww4.va.gov/NDS/DataAccess/DataAccessRES.asp

Latest version of data access forms for reques

t

s

http://vaww4.va.gov/NDS/DataAccess/DataAccessForms.asp

VINCI Guide to required documents

http://vaww.vinci.med.va.gov/vincicentral/Library/Data_Source_Required_Docume

DART User Guide

http://vaww.vinci.med.va.gov/vincicentral/Library/DART%20User%20Guide.pdf

DART Data Access presentation slides

http://www.hsrd.research.va.gov/for_researchers/cyber_seminars/archives/vinci-0

RESEARCHERS’ GUIDE TO VA DATA

As of 11/07/2011 
VIReC Help

VIReC website:

http://www.virec.research.va.gov

– Information on VA data sources and how 

access data

– Documentation on select VA datasets use

research 

RESEARCHERS’ GUIDE TO VA DATA
VIReC Help (cont’d)

HSRData Listserv

– Join at the VIReC Web site– Discussion amon

g 

 >500 data stewards

managers, and users

– Past messages in archive (on intranet)

VIReC Help Desk

– VIR C t ff ill ti 

VIR

eC 

s

t

aff 

will answer your question a

direct you to available resources on to

– VIReC@va gov VIReC@va.gov

– (708) 202-2413

RESEARCHERS’ GUIDE TO VA DATA
Questions?

RESEARCHERS’ GUIDE TO VA DATA
BONUS SLIDES

Common Terms & AcronymsCompleting VA Form 9957GETSSN ProcedureAccess to VA Data by Non-VA Rese

RESEARCHERS’ GUIDE TO VA DATA
Common Terms & Acronym

RESEARCHERS’ GUIDE TO VA DATA
Common Terms & Acronym

Term/ 

Acronym Description

AITC

Austin Information Technology Center (AITC) is the VA's centr

processing center located in Austin, TX. Also referred to as: 

Center Operations, Austin Campus, Austin Automation Cente

Franchise Data Center.

CUPS POC

Customer User Provisioning System (CUPS) Point Of Contact 

called the ACRS POC, provides local assistance in completing V

CUPS POC grants local access to AITC data. This role is frequently perform

identify your CUPS POC, contact the AITC Service Desk at (888) 

an email to cdco-nsd@va.gov

ISO Information Securit

y Officer at local facility/station - si

PO Privacy Officer at local facility - sits on facility IR

Data The office responsible for maintenance and protection of a data

Steward as Data Custodian or Information Custodian.

DUA/DTA Data Use Agreement or Data Transfer Agreemen

RESEARCHERS’ GUIDE TO VA DATA

HIA VHA Privacy Office, Health Information Access Prog
Common Terms & Acronym

Term/ 

Acronym Description

NDS

National Data Systems is a division of VHA Office of Health Inf

Health Data & Information (HDI) and is the data steward for so

including the Medical SAS Datasets (MedSAS) and the VA Vital 

coordinates access to other data at AITC.

Real SSN 

Data Data containing real Social Security Numbers

Scrambled

SSN Data Data containing coded or scrambled Social Security N

TSO Time Sharing Option account through which programs may be su

Account data on the mainframe computers at AITC

VA Form 

9957

Request form required as part of requests for authorization to a

AITC. Links to this form maybe found on the NDS and VIReC i

Also called the CUPS form formerly called the ACRS Also called the CUPS form, formerly called the ACRS 

FTC Functional Task Code: Code associated with a type or group of d

the 9957 form to identify data for which access is being 

RESEARCHERS’ GUIDE TO VA DATA

MedSAS Medical SAS Data sets include the VHA Inpatient, Outpatient 

Databases 
Common Terms & Acronym

Term/ 

Acronym Descri

ption

DSS Decision Support System data includes National Data Ext

for fact of lab and lab results and DSS Web Repo

BIRLS Beneficiary Identification and Records Locator Subsystem 

PCS Patient Care Services provides analytical datasets that are with

CAPRI Compensation and Pension Records Interchange

VistAWeb Read-only web interface to VistA at national lev

VSSC VISN System Support Center provides data cubes and web repo

data sources

PBM Pharmacy Benefits Management provides extracts of VHA p

CDW Corporate Data Warehouse – a growing national repository 

administrative data in a relational data warehouse arch

RESEARCHERS’ GUIDE TO VA DATA

VINCI VA Informatics and Computing Infrastructure – a growing sourc

interest to researchers
Completing 

VA Form 9957 

RESEARCHERS’ GUIDE TO VA DATA
VA Form 9957:

Required for all data at Aus

1. Determine correct Functional Task Cod

– See: Functional Task Code Access Grid on 

intranet site: 

http://vaww4.va.gov/NDS/FTCGrid.asp 

– Or contact your local CUPS POC

2. Include Functional Task Codes in Form 

S ti 3 A R t d Section 3. Access Requested

RESEARCHERS’ GUIDE TO VA DATA
VA Form 9957 cont.

3. Complete VA Form 9957, sign your nam

obtain signatures of approving official(Section 4:

– For all scrambled SSN data, VISN and national 

data and all Vital Status Files the approving off

• For study staff: the PI 

• For the PI: the ACOS-R or other supervisor, 

– For local real SSN data

• Th i b Th

e

signature

a

bove,

plus l l F ili Di local Facility Dire

– For VISN real SSN data

• Th i t b Th

e

signa

ture

a

bove,

plus l l HSR&D Di 

local HSR&D Dire

Note: Local policies may vary on additional required 

--- check with 

your CUPS POC

RESEARCHERS’ GUIDE TO VA DATA 
VA Form 9957 cont.

3. Obtain the signature of the CUPS POC (

f f ilit for your facility.

A. If VISN or national real SSN data are requsubmit the Form 9957 with your DART requeB. Otherwise, for local access or national scrSSN access 

y p

our CUPS POC will 

process the 

RESEARCHERS’ GUIDE TO VA DATA 
Form 9957 Form 9957 - Signature Blo

Signature Blo

Any NDS Data with Scrambled SSNs

Y N d Titl Your Name and Title

Your Supervisor and Title (PI or ACOS-R )

CUPS POC (ISO) & Title

RESEARCHERS’ GUIDE TO VA DATA
Form 9957 Form 9957 - Signature Blo

Signature Blo

Local Facility Data with Real SSNs 

Y N d Titl Your Name and Title

Your Supervisor and Title (PI or ACOS-R )

Your Facility Director and Title

CUPS POC (ISO) & Title

RESEARCHERS’ GUIDE TO VA DATA
Form 9957 Form 9957 - Signature Blo

Signature Blo

VISN Data with Real SSNs

Your Name and Title

Your Supervisor and Title (PI or ACOS-R )

Your ACOS-R or Local HSR&D Director

L l i t Local requirements may vary.......

CUPS POC (ISO) & Title

RESEARCHERS’ GUIDE TO VA DATA
Form 9957 Form 9957 - Signature Blo

Signature Blo

National Data with Real SSNs & All Vital Sta

Your Name and Title

Your Supervisor and Title (PI or ACOS-R )

Local eq i ements ma a Local requirements may vary.......

CUPS POC (ISO) & Title

RESEARCHERS’ GUIDE TO VA DATA
Us g t e ing the

GETSSN 

Procedure

RESEARCHERS’ GUIDE TO VA DATA
Using the GETSSN Procedu

The “GETSSN” procedure at Austin protool to produce a cross-walk of scrambSSNs or real to scrambled SSNs for youcohort instead of access to entire real SdatasetUsed in SAS JCL on Austin mainframeCan be used for local VISN or national Can be used for local, VISN or national access to real SSNsCurrently required for local Currently required for local station station

-only 

only level access to real SSNs

RESEARCHERS’ GUIDE TO VA DATA
Using GETSSN Procedure

Access permission requirements

– Same as for other NDS managed datase– L l l f l l h Local approval for local co

horts

– NDS-managed approval for VISN or 

access

GetSSN User Instructions:

http://vaww.aac.va.gov/npcd/docfiles/GETSSN_User_Instruct

RESEARCHERS’ GUIDE TO VA DATA
Access to VA Data 

by 

Non

-VA 

Researchers

RESEARCHERS’ GUIDE TO VA DATA
Access to VA Data by Non Access to VA Data by Non-

Researchers

The VA restricts release of data contaProtected Health Information (PHI) fresearch use to VA employees with aVA research protocolsExceptions:

– Obtain written permission of the VA Under Sec

Health

– Obtain a signed HIPAA-compliant authorization 

patient or his/her personal representative for a

individual individual s health ’s health records

RESEARCHERS’ GUIDE TO VA DATA
Access to VA Data by Non Access to VA Data by Non-

Researchers

Request data in the form of a de

-iden

dataset under the Freedom of Informa(FOIA). 

– To do this, contact the FOIA officer at your 

medical center to submit a request 

(htt // f i /) (http://www.

foia.va.gov/).

– De-identified data may contain none of the 

elements of Protected Health Information aHIPAA, and may not contain other informatmakes re-identification likel

y. 

RESEARCHERS’ GUIDE TO VA DATA
Access to VA Data by Non Access to VA Data by Non-

Researchers

Researchers who are not VA employeare interested in using VA data may cbecoming affiliated with the VA.

– Collaborate with a VA researcher and estab

standing for oneself such as an Interagency 

A t VA Agreement or

a VA

-With t C ti 

Without Compensation 

affiliate to work under the supervision of a Investi

g q py ator who is a 

qualified VA em

plo

yee

RESEARCHERS’ GUIDE TO VA DATA