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Department of Veterans Affairs VHA HANDBOOK Washington, DC March 9, 2009 USE OF DATA AND DATA REPOSITORIES IN VHA RESEARCH - PDF
Department of Veterans Affairs VHA HANDBOOK Washington, DC March 9, 2009 USE OF DATA AND DATA REPOSITORIES IN VHA RESEARCH
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1 Department of Veterans Affairs VHA HANDBOOK Veterans Health Administration Transmittal Sheet Washington, DC March 9, 2009 USE OF DATA AND DATA REPOSITORIES IN VHA RESEARCH 1. REASON FOR ISSUE. This Veterans Health Administration (VHA) Handbook establishes the procedures for the use of data for VHA research purposes, the storage of VHA research data, and the development of VHA research data repositories. 2. SUMMARY OF MAJOR CHANGES. This new VHA Handbook addresses both the use of data for research and clinical and administrative data repositories for research and addresses the development and use of data research repositories. 3. RELATED DIRECTIVES. VHA Directive RESPONSIBLE OFFICE. The Office of Research and Development (12) is responsible for the contents of this VHA Handbook. Questions may be addressed to (202) RESCISSION. None. 6. RECERTIFICATION. This VHA Handbook is scheduled for recertification on or before the last working date of January Michael J. Kussman, MD, MS, MACP Under Secretary for Health DISTRIBUTION CO: FLD: ed 3/11/09 VISN, MA, DO, OC, OCRO, and 200 ed 3/11/09 T-1
2 March 9, 2009 VHA HANDBOOK CONTENTS USE OF DATA AND DATA REPOSITORIES IN VHA RESEARCH PARAGRAPH PAGE 1. Purpose Background Definitions Scope Sources of Data Repositories Determining If Data are Identifiable or De-identifiable Special Concerns for Use of Identifiable Data Privacy and Confidentiality Storage and Security Use of Data Repositories for Research Purposes Data in Research Data Repositories Responsibilities of VA Facilities Releasing Identifiable or De-Identified Information from Their Records to Another VA Site for Research Purposes Administration of Research Data Repositories Role and Responsibilities of the IRB Role and Responsibilities of the R&D Committee Responsibilities of Investigators Responsibilities of the Owner or Administrator of Non-research Data Repositories Training and Educational Requirements i
3 VHA HANDBOOK March 9, 2009 CONTENTS Continued... PARAGRAPH PAGE 19. References APPENDICES A Critical Questions for the IRB and R&D Committee to Ask About All Research Projects... A-1 B The Eighteen HIPAA Identifiers... B-1 C Required Elements for Data Transfer and Data Use Agreements... C-1 ii
4 March 9, 2009 VHA HANDBOOK USE OF DATA AND DATA REPOSITORIES IN VHA RESEARCH 1. PURPOSE This Veterans Health Administration (VHA) Handbook defines procedures on the research use of data and data repositories, including databases and data warehouses. It addresses both the use of clinical and administrative data repositories for research and the development and use of research data repositories. 2. BACKGROUND Department of Veterans Affairs (VA) data repositories developed for health care, administration of VA programs, or research, are extremely valuable resources for researchers. Any use of these resources for research must be consistent with the mission of VA including having relevance to the health of Veterans, protecting the privacy of the individuals from whom the data are collected, and complying with all applicable ethical and legal standards. 3. DEFINITIONS a. Authorization. The term authorization means prior written permission for use and disclosure of protected health information (PHI) from the information s source person or research subject or legally authorized personal representative, as required under law, including The Health Insurance Portability and Accountability Act of 1996 (HIPAA) Privacy Rule. The written permission is documented on an authorization form. b. Coded Data. The phrase coded data means coded private information as defined in guidance promulgated by the Department of Health and Human Services (HHS) entitled Guidance Research Involving Coded Private Information or Biological Specimens, currently available at: c. Common Rule. The phrase common rule means the Federal Policy for the Protection of Human Subjects adopted by federal departments and agencies conducting or supporting human subject research. The Common Rule is codified for VA at Title 38 Code of Federal Regulations (CFR) Part 16. d. Data. For purposes of this handbook, the term data means information derived directly from patients or human research subjects or indirectly through accessing databases; it includes information from Deoxyribonucleic Acid (DNA) sequencing. It does not include information derived from research involving animals or other types of research that do not involve human subjects. e. Database. A collection of data or information elements organized in a manner to permit systematic retrieval. 1
5 VHA HANDBOOK March 9, 2009 f. Data Repository. The term data repository means a database or a collection of databases that have been created or organized to facilitate the conduct of multiple research protocols, including future protocols not yet envisioned. It may also have been created for other purposes such as administrative and clinical purposes. The terms data repository and data warehouse have the same meaning. g. Data Transfer Agreement. This term means a written agreement between the provider and the recipient of data that are transferred from one to the other. It defines what data may be used, how the data will be used, who may access and use the data, how the data must be stored and secured, and how the recipient will dispose of the data after completion of the research. h. Data Warehouse. The term data warehouse has the same meaning as data repository. i. Data Use Agreement. For the purposes of this Handbook, the term data use agreement means a written agreement governed by 45 CFR (e). j. Decedent Data. Decedent data refers to information elements about individuals who are deceased. k. De-identified Data. De-identified data is data that meet the HIPAA Privacy Rule (45 CFR (b)), VHA Handbook , and the Common Rule (38 CFR Part 16) definitions of de-identified (see par.6). l. Existing Data. The phrase existing data means data that have already been collected when the research is proposed to VA reviewing committees. m. Health Information. The term health information means any information created or received by a health care provider or health plan that relates to the past, present, or future physical or mental health or condition of an individual or the provision of health care to an individual; or the payment for the provision of health care to an individual. Health Information includes information pertaining to examination, medical history, diagnosis, findings or treatment, and includes such information as laboratory examinations, x-rays, microscopic slides, photographs, prescriptions, and other similar data. n. HIPAA. The acronym HIPAA means The Health Insurance Portability and Accountability Act of o. Human Subject (1) The term human subject means a living individual about whom an investigator is conducting research: (a) Obtains data through intervention or interaction with the individual or (b) Obtains identifiable private information. 2
6 March 9, 2009 VHA HANDBOOK (2) An intervention includes all physical procedures by which data are gathered and all manipulations (physical, psychological or environmental) of the subject or the subject s environment that are performed. (3) Interaction includes communication or interpersonal contact between the researchers and the subject. p. Human Subjects Research. The term human subjects research means research that involves human subjects as defined in the Common Rule (38 CFR Part 16) and VHA Handbook q. Individually-Identifiable Information. The phrase Individually Identifiable Information (III) means any information, including health information, maintained by VHA pertaining to an individual that identifies the individual and, except for individually identifiable health information, is retrieved by the individual s name or other unique identifier. Individually identifiable health information is covered by VHA policies regardless of whether or not the information is retrieved by name. r. Individually-Identifiable Health Information. The phase Individually Identifiable information (III) is a subset of health information, including demographic information, collected from an individual that is: (1) Created or received by a health care provider, health plan, or health care clearinghouse; (2) Relates to the past, present, or future condition of an individual and provision of or payment for health care; and (3) Identifies the individual, or a reasonable basis exists to believe the information can be used to identify the individual. NOTE: IIHI does not have to be retrieved by name or other unique identifier to be covered by the VHA Handbook s. Informed Consent. Free and knowledgeable agreement to participate in research as required under the human subject protection regulations at 38 CFR The written document approved by the IRB is sometimes referred to as the informed consent form and, when signed by a research subject, the written informed consent. t. Investigator. An investigator is any individual who conducts research. The investigator must uphold professional and ethical standards and practices, and adhere to all applicable VA and other Federal requirements and to the local VA facility s policies and procedures regarding the protection of human subjects. u. Institutional Review Board (IRB). The IRB is the Committee responsible for the review, approval, and continuing oversight of research involving human subjects in accordance with 38 CFR Part 16 and VHA Handbook
7 VHA HANDBOOK March 9, 2009 v. Preparatory to Research. Within VHA preparatory to research refers to activities that are necessary for the development of a specific protocol. PHI from data repositories or medical records may be reviewed during this process, but only aggregate data may be recorded and used in the protocol application. Within the VA, preparatory to research does not involve the identification of potential subjects and recording of data that would be used to recruit these subjects or to link to other data. The preparatory to research activity ends once the protocol has been submitted to the IRB and the Research and Development (R&D) Committee for review. NOTE: Pilot studies are not considered to be activities preparatory to research. w. Principal Investigator (PI) (1) A PI is a qualified person or persons designated by an applicant institution to direct a research project or program and who usually writes the grant application. The PI oversees scientific and technical aspects of a grant and the day-to-day management of the research. In the event of an investigation conducted by a team of individuals, the PI is the responsible leader of that team. NOTE: The Food and Drug Administration (FDA) considers Investigator and Principal Investigator to be synonymous. (2) Within VA, a PI must hold an official VA appointment from HRM. x. Prospective Research. Prospective research is a research methodology that requires the generating of new data over time after approval and initiation of the protocol. y. Protected Health Information (PHI). PHI is individually identifiable health information maintained in any form or medium. NOTE: PHI excludes health information in employment records held by a covered entity in its role as an employee. z. Research and Development (R&D) Committee. The R&D Committee is the committee responsible for oversight of a VA facility s research program. aa. Research Data Repository. The term research data repository means a data repository created from data obtained either to conduct a research protocol(s) or gathered in the course of conducting a research protocol and is maintained after the completion of the research protocol. The protocol may be a primary research project designed to prove or disprove a specific hypothesis or it may be a protocol specifically designed to collect data (either a onetime-only collection of data or an ongoing collection) that will be placed in a research data repository for future use. bb. Research Protocol. As used in this Handbook, research protocol means the formal written plan for conducting a research investigation, including but not limited to biomedical, behavioral, social, health service, or educational research investigations, as well as clinical trials. (1) The research protocol typically includes the background and rationale for conducting the research, the research hypotheses, the objectives or specific aims, and the research methods to be used. 4
8 March 9, 2009 VHA HANDBOOK (2) The protocol also includes a discussion of ethical issues, involvement of human subjects, privacy, confidentiality, data storage, and data security. cc. Research Team Member. The phrase research team member(s) includes all investigators and research staff who directly support the research, including research assistants, statisticians, protocol coordinators, collaborators, and any other individuals who have roles in the development, implementation, conduct, analysis, or authorship of publications, presentations, or reports of the research. dd. Retrospective Research. Retrospective research is research that utilizes only data already existing at the time the proposed protocol has been submitted for approval by the IRB and the R&D Committee. ee. Remote. An adjective used to describe the use, processing, access to, transmission, or storage of VA information from locations other than sites in VA facilities. ff. VA-approved Research. The phrase VA approved research means research that has been approved by a VA R&D Committee. gg. VA Investigator. A VA investigator is any individual who conducts research while acting under a VA appointment, including full and part-time employees, without compensation (WOC) employees, and employees under the Intergovernmental Personnel Act (IPA) of hh. VA Protected Health Information (VAPI). As defined by VA policy including VA Handbook 6500 and VHA Handbook , protected health information (PHI) is individuallyidentifiable health information transmitted by electronic media, maintained in electronic media, or transmitted or maintained in any other form or medium. PHI excludes education records covered by the Family Educational Rights and Privacy Act, as amended; Title 20 United States Code (U.S.C.) 1232g, records described at 20 U.S.C. 132g(a)(4)(B)(iv), and employment records held by a covered entity in its role as employer. ii. VA Sensitive Information or Data. As defined in VA Directive 6500, VA sensitive information or data means all Department data, on any storage media or in any form or format, which requires protection due to the risk of harm that could result from inadvertent or deliberate disclosure, alteration, or destruction of the information. This term includes information whose improper use or disclosure could adversely affect the ability of an agency to accomplish its mission, propriety information, records about individuals requiring protection under various confidentiality provisions, such as the Privacy Act and HIPAA Privacy Rule, and information that can be withheld under the Freedom of Information Act. Examples of VA sensitive information include: (1) Individually-identifiable medical, benefits, and personnel information. (2) Financial, budgetary, research, quality assurance, confidential commercial, critical infrastructure, investigatory, and law enforcement information. (3) Information that is confidential and privileged in litigation such as: 5
9 VHA HANDBOOK March 9, 2009 (a) Information protected by the deliberative process privilege; (b) Attorney work-product privilege; and (c) Attorney-client privilege. (4) Other information, which released could: (a) Result in violation of law or harm, or unfairness to any individual or group; or (b) Adversely affect the national interest or the conduct of Federal programs. jj. VA Research. The term VA research means the research that has been reviewed and approved by a VA R&D Committee. 4. SCOPE a. VHA research activities include activities in support of VHA research or VHA s mission. This Handbook applies to all VHA research activities involving data or data repositories. VHA data repositories may be maintained within VA or external to VA, with appropriate prior permissions. Use of VA data repositories by non-va investigators or non-va entities may occur only in compliance with all applicable Federal laws, including the Privacy Act of 1974; regulations, including the HIPAA Privacy Rule; and VA and VHA policies. b. This Handbook provides mandatory requirements that investigators, review committees, and others must follow in developing and implementing sound procedures for the use of data including data from VA and non-va data repositories, in a manner that is both beneficial for science and protective of the rights and welfare of those who are the subjects of the data. 5. SOURCES OF DATA IN DATA REPOSITORIES a. Data used for research purposes within VA may come from many different sources, and those sources may be internal or external to VA. Within VA, the data may come from individual research subjects during the conduct of a research protocol or may come from existing research or non-research data repositories. There are numerous external sources including registries, Medicare data, publicly available data, or private sources. b. VA and VHA non-research data repositories are created to assist VA and VHA in its operations. These data repositories contain information gathered and used for a variety of nonresearch purposes, such as the ongoing treatment of Veterans, documentation of treatment provided, issues related to co-payments and collections from insurance companies, health care operations, personnel records, Veterans benefits, and statistical analyses to produce various management tracking tools, evaluations, or follow-up reports. Some examples of these nonresearch data repositories include: (1) Veterans Integrated Service Network (VISN) data warehouses. 6
10 March 9, 2009 VHA HANDBOOK (2) National Databases Systems (vaww.va.gov/nds ). NOTE: This is an internal VA link not available to the public. (3) VA registries, data centers. (4) Veterans Health Information Systems and Technology Architecture (VistA) Computerized Patient Record System (CPRS). (5) Pharmacy Benefits Management. (6) The Emerging Pathogens Initiative. (7) Center for Medicare and Medicaid Services (CMS) data. 6. DETERMINING IF DATA ARE IDENTIFIABLE OR DE-IDENTIFIED For the purposes of this Handbook, data, including data contained within data repositories, are classified into two types: identifiable and de-identified. a. Identifiable Data. For the purposes of this Handbook the definition of identifiable data is based on both the Common Rule (38 CFR Part 16) and the HIPAA Privacy Rule. (1) If either condition in following subparagraphs 6a(1) or 6a(2), is met, the data are identifiable. (a) The identity of the subject is or may be readily ascertained by the investigator or research team member or others from the information contained with in the data. The information is considered private information as defined in 38 CFR (f)(2) if it includes information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place and information that has been provided for specific purposes by an individual and that the individual can reasonably expect will not be made public (for example, a medical record or information about specific beliefs) or (b) The subject is identifiable by HIPAA Privacy regulations because: 1. The data contain one or more of the eighteen types of identifiers listed in the HIPAA Privacy Rule in 45 CFR (b) (2) (see App. B), 2. The covered entity has actual knowledge that the information could be used alone or in combination with other information to identify an individual who is the subject of the information; (i.e., there are other data that when combined with the dataset will allow the identification of any individual) (45 CFR 164(b)(2)(ii)), or 3. The data have not met the criteria for de-identification by statistical means as outlined in 45 CFR (b)(1). 7
11 VHA HANDBOOK March 9, 2009 NOTE: The HIPAA Privacy Rule states that for data to be statistically de-identified the data must be statistically verified by a person with appropriate knowledge of and experience with generally accepted statistical and scientific principles and methods for rendering information not individually identifiable. This person must give an assurance in writing that there is a very small risk that the information could be used to identify the individual and must document the methods and results of the analysis that justify such determination. Statistical verification should be used only when it is determined that this method is necessary for the research and that the person doing the statistical verification has the appropriate experience and expertise. (2) Social Security Numbers (SSNs), real or scrambled, are considered identifiers. NOTE: Scrambled SSNs are considered identifiers by the HIPAA Privacy Rule because they are unique to the individual and are derived from the SSN. In addition, this rule prohibits re-identification codes from being based on an identifier such as SSN (in whole or in part), name, or other direct identifier. (a) Real SSNs may be obtained only when required to meet the specific aims of the research protocol and their collection and use is approved by the IRB and the R&D Committee. To obtain access to real SSNs, the procedures defined by the VHA Privacy Office must be followed. (b) When a research protocol calls for use of scrambled SSNs, the SSNs cannot be unscrambled by research staff or other individuals without an amendment to the research protocol and approval by the appropriate review committees. All required approvals from VHA Privacy Officer must also be obtained. b. De-identified Data. De-indentified data is health information or other information on human subjects that: (1) Does not meet the common rule definition of human subjects, and (2) Meets the HIPAA de-identification requirements: (a) No longer contains any of the eighteen types of identifiers listed in Appendix B, or (b) Meets the criteria for de-identification by statistical means as outline in 45 CFR 164(b)(1). c. Re-identification of De-identified Data. Re-identification of de-identified data must be approved in advance by an IRB(s) and R&D Committee(s). (1) Approval may be given only if the research could not be conducted without re-identification of the data. (2) Re-identification is necessary to validate the results of the research. (3) The data being re-identified are contained in a data repository. 8
12 March 9, 2009 VHA HANDBOOK (a) If the data repository s policies state that the data repository may contain only deidentified data, then the re-identification of the data may not be done by the repository staff nor can the re-identified data be placed in the repository. (b) If a research data repository contains only de-identified data by policy, the individual or body responsible for administering the data repository must amend the policies and the protocol governing the research repository before placing re-identified data in the data repository. The new policies permitting storage of re-identified data in the data repository must be approved by the IRB and R&D Committee of record for the facility where the research data repository resides. Only after these approvals have been obtained may the repository contain identifiable data. (c) If the facility where the research data repository resides does not have a Federal-wide Assurance (FWA) or IRB of record, identifiable data may not be entered into the research repository. 7. SPECIAL CONCERNS FOR USE OF IDENTIFIABLE DATA a. Human Subjects Protection. Research involving the use of identifiable data meeting the criteria for human subjects research must be in compliance with the Common Rule (38 CFR Part 16), all VHA policies related to protections of human subjects in research (e.g., VHA Handbook ), VHA Handbook , and VA Handbook (1) Determining if the research involves human subjects is critical because VHA must ensure that there are appropriate protections for the individuals from whom the data are collected and that research complies with applicable ethical standards. This determination dictates which review committees (e.g., the IRB) must approve the research prior to its initiation and if the requirements found in the Common Rule (38 CFR Part 16) apply to the research (see App. A). (2) Research that involves human subjects is defined in the Common Rule (38 CFR f). A human subject is a living individual about whom an investigator conducting research obtains data through: (a) Intervention or interaction with the individual, or (b) Identifiable private information. This includes research that involves the use of identifiable information or data about human subjects. (3) Research that does not involve interaction or intervention with human subjects and involves only the use of de-identified data (as defined in pars 3 and 6) is not considered to be human subjects research. b. Compliance with all Confidentiality Requirements. The collection, use, and release of PHI from a data repository must comply with all applicable confidentiality and information security provisions, including the Privacy Act of 1974, the HIPAA Privacy Rule, and 38 U.S.C (confidentiality of medical records related to drug abuse, alcoholism, alcohol abuse, 9
13 VHA HANDBOOK March 9, 2009 infection with the human immunodeficiency virus, and sickle cell anemia), and the information security provisions of 38 U.S.C. c. Recruitment of Research Subjects. Identifiable information must not be used to recruit subjects for research protocols unless approved by the IRB(s) and the R&D Committee(s). In addition to the IRB s approval of the protocol, the IRB must include an approval of a waiver of HIPAA authorization in such instances. The initial contact with the potential human subject needs to be in person or by mail, not by telephone. Additionally, the contact must follow the most recent VA and VHA memoranda or guidance regarding this issue. NOTE: These may be found on the Office of Research and Development (ORD) website at: d. Re-contacting Research Subjects. Identifiable information must not be used to recontact individuals to obtain additional information unless approved by the IRB(s) and the R&D Committee(s). Re-contacting individuals without previous permission of the individual must meet the same requirements as those set forth by the IRB(s) and R&D Committee(s) for recruitment. e. Decedent s Data. VHA must protect the individually identifiable health information about a deceased individual. A decedent s individually identifiable health information may be used for research purposes without obtaining HIPAA authorization from the decedent s personal representative and without IRB or Privacy Board (PB) approval. NOTE: For further requirements including the representations that must be made and information on the use of decedent s data see VHA Handbook NOTE: If the investigator must access a data repository containing individually-identifiable information of living and deceased individuals to identify the deceased individuals and obtain their information, the protocol must then be reviewed by an IRB. The IRB may waive the requirement for informed consent or HIPAA authorization if the applicable criteria are met. f. Use of Data that Contain Coded Private Information. Use of data that contains coded private information from data repositories requires IRB approval if the data are considered identifiable under the human subject protection regulations. (1) Data that contain coded private information are considered identifiable under the human subject protection regulations (38 CFR Part 16) if any member of the research team can access the identities of the source persons from whom the data were obtained. In such cases, review and approval by the IRB(s) and the R&D Committee(s) is required for the research. (2) Data that contain coded private information are considered not identifiable under the human subject protection regulations (38 CFR Part 16) and guidance from the Office for Human Research Protections (OHRP) if there is a written agreement preventing all members of the research team from accessing, or otherwise attempting to ascertain, identities or any identifiers of source persons. g. Use of Centers for Medicare and Medicaid (CMS) data. All requests for use, transmission, distribution, storage, and disposition of CMS data must follow all VA and VHA policies, as well as all CMS requirements and other applicable Federal regulations. 10
14 March 9, 2009 VHA HANDBOOK PRIVACY AND CONFIDENTIALITY a. Privacy and Confidentiality. Privacy of research subjects and confidentiality of their data are critically important and must be addressed carefully to protect the rights of individual research participants, their families, and their communities. A number of laws, VA and other Federal regulations and policies control how a research subject s private information may be used and when that data can be shared with non-va investigators or institutions. The laws, regulations, and policies also address use of individually identifiable information even when it does not contain any health data. NOTE: Individually Identifiable Health Information is a subset of Individually Identifiable Information. Privacy laws, regulations, and policies that are applicable to data repository research include, but are not limited to: (1) HIPAA, Standards for Privacy of Individually Identifiable Health Information (45 CFR Part 160 and Subparts A and E of Part 164). (2) The Privacy Act (5 U.S.C. 552a) and implementing regulations at 38 CFR and the associated Systems of Records. NOTE: The Privacy Act requires agencies to publish a notice of the existence and character of their System of Records in the Federal Register. The System of Records, in part, states what records can be released outside of VA and who may grant permission to release the data. (3) The VA Claims Confidentiality Statutes (38 U.S.C. 5701) and implementing regulations 38 CFR (4) Confidentiality of Drug Abuse, Alcoholism and Alcohol Abuse, Human Immunodeficiency Virus (HIV) Infection, and Sickle Cell Anemia Medical Records (38 U.S.C. 7332), and implementing regulations at 38 CFR (5) Confidentiality of Healthcare Quality Assurance Review Records (38 U.S.C. 5705) and implementing regulations at 38 CFR (6) VHA Handbook , Privacy and Release of Information. NOTE: VHA Handbook , Privacy and Release of Information, addresses many of the issues related to the preceding regulations. b. Local Institutional Policies and Procedures. Each VA facility conducting research using data covered by the preceding regulations and requirements must develop policies and procedures that ensure compliance with all of the applicable privacy and security regulations and policies. (1) The policies and procedures should involve review by a knowledgeable person(s) designated to verify that there is compliance with all applicable statutes, regulations, and policies related to privacy and security of data prior to obtaining access to the data. A committee, an IRB, or R&D Committee or subcommittee may be set up to be responsible for the review of privacy and security issues related to the collection, use, storage, transmission, and retention of the data. 11
15 VHA HANDBOOK March 9, 2009 (2) Persons with the required knowledge include, but are not limited to: the facility Privacy Officer, the facility Information Security Officer (ISO), a research compliance officer, IRB administrator, a research administrator, IRB members, or others. These persons may need to obtain additional training in HIPAA and the Privacy Act of STORAGE AND SECURITY a. All applicable Federal statutes and regulations and VA and VHA policies governing storage and security of data and information must be followed (see VA Handbook 6500). NOTE: Links to VA policies may be found at: b. All identifiable data used and maintained as part of a research protocol must be retained or stored for the period of time stated in the applicable Privacy Act System of Records notice, Records Control Schedule (RCS) 10-1, and VA policy. Identifiable information may not be destroyed except with appropriate destruction authority. NOTE: If the IRB-approved protocol, the HIPAA authorization, or the waiver of authorization state that identifiers will be destroyed as soon as they are no longer needed for the research, then they must be destroyed in accordance with the protocol, the HIPAA authorization, and/or the wavier of HIPAA authorization. c. Each research data repository must have a security plan for all data maintained that is consistent with VA requirements. The ISO needs to be consulted for any questions or to assist in the development of this plan. d. Transmission and transfer of identifiable data must be performed in accordance with VA security policies. e. Electronic access to identifiable data in a research data repository must be controlled through appropriate access controls, such as usernames and passwords, in accordance with VA security policies. 10. USE OF DATA REPOSITORIES FOR RESEARCH PURPOSES VA investigators may use VA and VHA data, including data from existing treatment, payment, operations, or research data repositories, to prepare a VA research protocol, conduct VA-approved research, or to create or maintain a VA research data repository. NOTE: Individual investigators or VA employees (compensated by VA or persons appointed under a without compensation (WOC) or IPA do not own the data used or obtained by VA investigators for R&D Committee approved research, preparatory to research activities, or data placed in VA Research Data Repositories. These data are VA information and is owned by the Administration, Staff Office, or other Agency component that generates or gathers the information to perform statutory responsibilities. For clinical trials the original, completed case report forms are the property of the research sponsor, but VA must retain copies of the case report forms. Patient medical records, III, original notes, documents, and records produced by VA in the course of the protocol are the property of VA. 12
16 March 9, 2009 VHA HANDBOOK a. Use Preparatory to Research. Data repositories may be used by VA investigators for activities that are preparatory to VA research without the requirement to obtain either a HIPAA authorization from the subject or waiver of HIPAA authorization by an IRB or a PB. This includes use of PHI for the preparation of a research protocol prior to submission to the IRB(s) or R&D Committee(s). "Preparatory to Research" activity is the only instance of access for research purposes allowed in VHA without a written HIPAA authorization signed by the individual, a waiver of HIPAA authorization by an IRB or PB, or approval by the R&D Committee(s) and the IRB(s). This access is granted only to VHA researchers. Non-VHA researchers may not access VHA data for reviews preparatory to research. Additionally, the following holds true: (1) The investigator must make the representations necessary for preparatory access as required by the HIPAA Privacy Rule and document it in the investigator's research files. The representations required by the HIPAA Privacy Rule are: (a) The access to PHI is only to prepare a protocol; (b) No PHI will be removed from the covered entity (i.e., VHA); and (c) The PHI accessed is necessary for preparation of the research proposed. (2) Only aggregate data may be recorded in the researcher s files and these aggregate data may be used only for background information, to justify the research, or to show that there are adequate numbers of potential subjects that allow the investigator to meet sample size requirements. (3) Individually identifiable health information will not be recorded. (4) Data or information reviewed will not be used for contacting or recruiting subjects. (5) Investigators must comply with all other access requirements set by the repository of interest. (6) A Data Use Agreement (DUA)-Data Transfer Agreement (DTA) is required if the data are transferred from a data repository to the investigator. The data transferred from the data repository must be destroyed or returned to the data owner or administrator after the data are aggregated. NOTE: If the investigator or the investigator s research staff directly accesses a data repository, the investigator must submit the HIPAA representation, described in subparagraph 9a(1), to the data repository owner or administrator with the additional statement that only aggregate data will be recorded for the preparatory to research activity and no individually identifiable information will be recorded. NOTE: Pilot studies are not considered to be activities preparatory to research, but are fullfledged research projects that must be approved by the IRB(s), when human subjects are involved, and the R&D Committee(s). 13
17 VHA HANDBOOK March 9, 2009 b. Use of Data for Research Purposes (1) Minimum Necessary Data. VA investigators may obtain only the minimum amount of data that are necessary to conduct the research (i.e., minimum necessary data). (2) Approved Use. VA investigators may use identified and de-identified data from data repositories only in accordance with the VA-approved protocol and not for any other purpose. NOTE: VA-approved research protocols are defined as those protocols that have been reviewed and approved by a VA R&D Committee(s). If IRB approval(s) is required, the protocol must be approved by the IRB prior to R&D Committee approving the protocol. (3) Required Approvals. The PI and each co-investigator or investigator, when stationed at different VA facilities or institutions, must obtain the following approvals: (a) IRB. If the research meets the Common Rule definition of human subjects research, IRB approval must be obtained from the IRB(s) of record for the PI s facility and each coinvestigator s facility. IRB approvals of a waiver of HIPAA authorization must be obtained as required. (b) R&D Committee. All VA research must be approved by the R&D Committee(s) of the PI s VA facility and each co-investigator s VA facility. (c) Other approvals. Other approvals may include, but are not limited to: union approval (e.g., to perform research on employee data); Privacy Office approval (e.g., for direct access to patient medical records through CPRS); ISO approval; and approvals from the administrator or oversight committee of a specific data repository. 11. DATA IN RESEARCH DATA REPOSITORIES A research data repository is created when data obtained from implementing a research protocol are placed in a data repository. The protocol may be a primary research project designed to prove or disprove a specific hypothesis, or it may be a protocol specifically designed to collect data that will be placed in a research data repository for future use. A research data repository can be created only after a research repository protocol is developed and approved by the IRB (if human research is involved) and the R&D Committee. a. Collection of Data. Data may be collected under the following circumstances: (1) Identifiable Data (a) The investigator has obtained an individual s informed consent approved by the IRB, and HIPAA authorization; or 14
18 March 9, 2009 VHA HANDBOOK (b) An IRB finds that all criteria are met under 38 CFR (d) to waive the requirement for a research informed consent. In addition, the IRB or Privacy Board waives the requirement for a HIPAA authorization and documents that all criteria under 45 CFR (i)(2) are met. (2) De-identified Data (a) De-identified data (as defined in paragraphs 3 and 6 of this Handbook) may be collected without informed consent or HIPAA authorization after the protocol has received the appropriate approvals. NOTE: Someone other than the investigator must verify that the data are deidentified. This individual may be the facility Privacy Officer, a member of the IRB, or other knowledgeable person as defined in the facility's Standard Operating Procedures (SOPs). (b) A protocol involving de-identified data needs to be approved only by the R&D Committee. The R&D Committee must confirm the data are de-identified. NOTE: If the investigator must review identifiable data prior to the data being de-identified, then an informed consent and HIPAA authorization must be obtained from the individual or the IRB must waive the informed consent and HIPAA authorization. If exempt from IRB review under the Common Rule (an informed consent or waiver of informed consent is not required), a HIPAA authorization or waiver of authorization by an IRB or PB may still be required. b. Sources of Data. Sources of data include: (1) Data Obtained Directly from Research Subjects. Data may be collected from research subjects directly through such means as medical tests, interventions, questionnaires, or surveys. (2) Data Obtained from Sources other than Directly from the Subject. Data may be collected from indirect sources such other research projects or research data repositories if appropriate approval has been obtained for such re-use of the data. Data also may be collected from non-research sources such as from a third party, or from review of the subject s administrative, medical, or other records. NOTE: Use or reuse for research of data obtained from indirect sources, including other research projects, must obtain the same IRB or R&D Committee approvals as any other research project. (3) Research Data Repository. Research data are not considered to constitute a research data repository and are not subject to the requirements of this Handbook, if the data are: (a) Collected for a specific research protocol; (b) Never used for any other research purpose while retained for the research project for which the data were collected; and (c) Destroyed after the required record retention period. 15
19 VHA HANDBOOK March 9, 2009 NOTE: These data may not be used for other research purposes unless allowed by the informed consent under which they were collected, approved by the IRB, and placed in a research data repository. 12. RESPONSIBILITIES OF VA FACILITIES RELEASING IDENTIFIABLE OR DE-IDENTIFIED INFORMATION FROM THEIR RECORDS TO ANOTHER VA SITE FOR RESEARCH PURPOSES VA facilities that release identifiable or de-identified information for use in a VA-approved research protocol to a VA investigator or to a VA research repository are not considered to be engaged in research if the releasing facilities do not have any other role in the research, i.e., the VA facility will not be considered engaged in research solely on the basis of this transfer of data. The releasing VA facility does not need to hold a FWA, but if it does, the releasing VA facility s IRB and R&D Committee is not responsible for reviewing specific individual research protocols, unless an investigator or other member of the protocol s research team are at the same facility as the research data repository. Prior to the release of information the following steps must occur: a. A Combined DUA-DTA must be implemented between the releasing facility and the receiving VA investigator. The Combined DUA-DTA must meet all VHA requirements. b. The release of the information may occur only after the releasing facility s Privacy Officer and ISO have reviewed the request to ensure that all privacy and security procedures governing transfer of the data have been met. NOTE: The releasing facility may require other facility specific procedures. c. The request, to the facility with the research data repository, for release of data must include the following for all sites engaged in the protocol: (1) Documentation of IRB(s) approval(s) of the protocol if the project is considered human subjects research. If the request is for identifiable data that will be placed in a research repository, documentation that the research repository operations are defined in a VA-approved repository protocol for which the IRB approval is current. (2) Documentation of the IRB s waiver of informed consent and waiver of HIPAA authorization if the subject of the information has not signed an informed consent and HIPAA authorization for the new protocol prior to the release of identifiable information. (3) Documentation of R&D Committee approval of the research protocol or the research repository. (4) If the request is for information that will be placed in a research repository, the request for data must include a copy of the repository protocol that includes a justification for the information request, a summary of the research data repository s objectives, and a copy of its privacy and security plan. 16
20 March 9, 2009 VHA HANDBOOK NOTE: The transfer of the data must be in compliance with all VA privacy and information security requirements. 13. ADMINISTRATION OF RESEARCH DATA REPOSITORIES A VHA research data repository is a resource for VA investigators, and it must remain under the control of VA. The repository may contain either identifiable or de-identified data. The data may be released to non-va personnel or non-va entities only in accordance with VHA Handbook Data repositories must be maintained and operated in accordance with the requirements of this Handbook and all other applicable VA and VHA policies and regulations. a. Administrative Structure. The administrative structure of the research data repository must always include a VA investigator who is responsible for all activities of the data repository. NOTE: An investigator under a WOC or IPA appointment may not serve as the sole administrator of a VA data repository. Its oversight may involve a number of persons and committees including, but not limited to: a repository administrator, information technology specialist, data repository specialist, and various oversight committees (e.g., scientific, ethical, compliance, or security). b. Oversight Responsibilities. The functions that must be carried out by an administrator of a research data repository include: (1) Developing policies and procedures that include requirements for releasing data from the repository and mechanisms for verifying approval of the research by the IRB(s), if the request is for identifiable data, and R&D Committee(s) of record for the investigator(s) who is requesting the data; (2) Reviewing requests to access data; (3) Keeping records; (4) Maintaining the privacy of subjects and the confidentiality of the data in the repository; and (5) Ensuring data in the repository are stored and secured according to VA requirements. c. Oversight Committee. One or more committees are to be established to provide scientific and ethical advice for repositories that contain a number of different databases or provide data broker services. The composition and charge of the committee(s) needs to be based on the size and complexity of the data repository. ORD is to be consulted for specific guidance on the need for separate scientific and ethics oversight committee versus a combined scientific and ethics oversight committee. 17
21 VHA HANDBOOK March 9, 2009 (1) Scientific Oversight Committee (a) This Committee is composed of investigators with scientific expertise and experience with data from databases or data repositories, health systems research, epidemiology, statistics, and any disease areas related to the intended uses of the data. (b) This committee is responsible for assisting the data repository administrator in developing policy on the use of the data and for providing technical and scientific recommendations to the research repository administrator and investigators wishing to access data in the data repository. (c) Depending on the data repository s written procedures, the committee may approve or disapprove data use requests or make recommendation to the administrators of the data repository to approve or disapprove data use requests. (2) Ethics Oversight Committee (a) This Committee is composed of experts in the ethical and legal implications of research involving human subjects, use of large data bases or data from data repositories, as well as experts in the relevant scientific disciplines. (b) This Committee is responsible for: 1. Reviewing requests for data for the protection of human research subjects and advising the database owner or administrator on possible actions related to the requests; and 2. Providing a disinterested review of the repository s activities, including policies, procedures, and proposals for use of stored data. d. Stable administrative oversight. A concerted effort must be made to ensure that the administrative oversight of the research data repository remains stable. Measures to ensure stable administrative oversight include: (1) Obtaining approval from the IRB, if applicable, and R&D Committee responsible for oversight of the research data repository for any proposed changes in administrative oversight. (2) Ensuring continued control of the data and compliance with current VA and VHA requirements if administrative oversight is transferred to another qualified VA-compensated investigator or administrator. (3) Combining the research data repository with another VA research data repository. (4) The IRB, if applicable, and the R&D Committee must approve the appointment of a new administrator of a research data repository, and combining research data repositories. 18