Requesting Research Identifiable Data for HCIA Awardees 02/19/2014 - PowerPoint PPT Presentation

Requesting Research Identifiable Data for HCIA Awardees 02/19/2014 Presented by Faith Asper, ResDAC Director of Assistance Work performed under CMS Contract #HHSM-500-2013-00166C

About ResDAC  Centers for Medicare and Medicaid (CMS) contractor  Offer free assistance to researchers interested in using Medicare and Medicaid data for research  Staffed by a team of public health and health services research specialists  Provide a range of services related to CMS data ˗ Assistance Desk ˗ Workshops and Outreach 2 Work performed under CMS Contract #HHSM-500-2013-00166C

ResDAC Services Introduction to Requesting CMS Using CMS Data CMS Data Data - Strengths and - Cost estimates - Variable and weaknesses of for CMS data code definitions CMS data - Questions about - Programs and - Data file request process polices that availability affect data - Formal contents - Cohort selection applications for CMS identifiable - Identifying data services and calculating payments ResDAC Support 3 Work performed under CMS Contract #HHSM-500-2013-00166C

Overview of Webinar  Overview of the request process and timelines  Review of the required materials  Discussion of each request document and tips for completion 4 Work performed under CMS Contract #HHSM-500-2013-00166C

Overview of Request Process Researcher ResDAC DPSP CMS Buccaneer Contractor Draft DMP Review Packet Packet Reviews Revisions Final Packet CMS Analyst Privacy Board Decision Processing Notification 5 Work performed under CMS Contract #HHSM-500-2013-00166C

Privacy Board Request Materials All new study requests require the following documents:  Request Letter  Executive Summary  Data Management Plan  Study Protocol  Data Use Agreement & Signature Addendum  IRB Evidence of Waiver Approval  Evidence of Funding  Specification Worksheet 6 Work performed under CMS Contract #HHSM-500-2013-00166C

File Specific Materials Depending on the request circumstances, researchers may also need the file-specific documentation. Not all of these documents will be required for all requests. Fil ile-Specif Specific ic Doc ocumentat umentation ion  Part D Variable Justification  Assessment Variable Justification  National Death Index Supplemental Application 7 Work performed under CMS Contract #HHSM-500-2013-00166C

Request Materials List Request Document Notes 1. Request Letter ResDAC has created a template especially for the HCIA awardees. 2. Executive Summary The Executive Summary is the main document reviewed by the CMS Privacy Board. It includes a Data management plan, which is reviewed by another CMS contractor. Resources for how to complete this document are found on our site: http://www.resdac.org/cms- data/request/materials/rif-executive-summary-template 3. Study Protocol Please supply the HCIA grant proposal that CMS approved. 4. Data Use Agreement Please complete the 6-page DUA. 5. Signature Addendum to This is needed for individuals that will access the data and do DUA NOT report to either the User (#16 of DUA) or Custodian (#17 of DUA). 8 Work performed under CMS Contract #HHSM-500-2013-00166C

Request Materials List, continued Request Document Notes 6. Evidence of Funding Include the CMS grant award face sheet as evidence that this request is an HCIA awardee and therefore, data are free of charge. 7. Specifications Worksheet This document outlines the data that are requested and where data are to be shipped. 8. IRB Waiver Approval Institutional review board waiver approval is necessary for all research requests. 9. Part D Variable Justification Please provide the Part D variable justification worksheet that is found within the specifications worksheet. 10. Assessment Variable The Assessment variable justification worksheets are separate Justification Excel spreadsheets found on our website. 11. National Death Index If requesting the NDI cause of death data, please supply the Supplement supplement and a separate review is required. 9 Work performed under CMS Contract #HHSM-500-2013-00166C

Selected Request Materials & Tips for Completion 10 Work performed under CMS Contract #HHSM-500-2013-00166C

Step 1: Obtain the request materials  Start at the ResDAC home page under  “Research Identifiable Files” 11 Work performed under CMS Contract #HHSM-500-2013-00166C

Step 1: Obtain the request materials  The request materials are at the bottom of this page. 12 Work performed under CMS Contract #HHSM-500-2013-00166C

Step 1: Obtain the request materials  Use the filters to obtain the list of materials. 13 Work performed under CMS Contract #HHSM-500-2013-00166C

Step 2: Prepare a Draft of the Materials  Prepare a draft of all the request materials (before signing the materials)  HCIA Awardees DO NOT need a Cost Invoice 14 Work performed under CMS Contract #HHSM-500-2013-00166C

Request Letter 15 Work performed under CMS Contract #HHSM-500-2013-00166C

Data Use Agreement CMS will assign after submission This should be the HCIA Awardee Organization Name 16 Work performed under CMS Contract #HHSM-500-2013-00166C

Data Use Agreement List specific files and years requested. Leave SOR blank. Year for the crosswalk files should be the year that it was provided. (i.e. 2014) CMS has an automatic 1 yr retention period. 17 Work performed under CMS Contract #HHSM-500-2013-00166C

Data Use Agreement If signature addenda are needed, include that under #12. 18 Work performed under CMS Contract #HHSM-500-2013-00166C

Data Use Agreement #16 is the individual that is authorized to sign on behalf of the Requesting Organization. #17 is the individual that is responsible for the data security. 19 Work performed under CMS Contract #HHSM-500-2013-00166C

Data Use Agreement CMS will insert the CMMI staff that will be signing the HCIA DUAs. 20 Work performed under CMS Contract #HHSM-500-2013-00166C

Specifications Worksheet  The three main tabs are Contact_Request Info, Extract summary, PDE Justification 21 Work performed under CMS Contract #HHSM-500-2013-00166C

Specifications Worksheet 22 Work performed under CMS Contract #HHSM-500-2013-00166C

Step 3: Email Draft Materials to ResDAC  Email dr draft t versio ions ns (unsigned) to resdac@umn.edu  A ResDAC Technical Advisor will be assigned to review and email back comments. 23 Work performed under CMS Contract #HHSM-500-2013-00166C

Step 4: Email Final Materials to ResDAC  Email fin inal l versions ions (with signatures) to resdac@umn.edu ˗ Please note that CMS can’t accept digital signatures.  A ResDAC Technical Advisor will forward all to CMS for a Privacy Board review. 24 Work performed under CMS Contract #HHSM-500-2013-00166C

Step 5: CMS Approval & Buccaneer Processing  CMS Privacy Board will review request  CMS Privacy Analyst will notify requestor of approval and will forward request to Buccaneer for processing.  Buccaneer will process the request and ship data. 25 Work performed under CMS Contract #HHSM-500-2013-00166C

Resources for Help  ResDAC Assistance Desk ˗ Email: resdac@umn.edu ˗ Phone: 1-888-973-7322 ˗ Web: http://www.resdac.org  ResDAC Website ˗ CMS Data Request Center ˗ ResConnect (Resource Library) » Tips for Completing a RIF Request Packet » Tips for Completing the DUA 26 Work performed under CMS Contract #HHSM-500-2013-00166C

Questions?  Submit a question through Q&A icon at the top of the screen OR  Submit a question through the chat box. 27 Work performed under CMS Contract #HHSM-500-2013-00166C