Report To The Chairman, Subcommittee On Oversight and Investigations, Committee On Veterans' Affairs, House of Representatives
Report To The Chairman, Subcommittee On Oversight and Investigations, Committee On Veterans' Affairs, House of Representatives
June 2004
COMPUTER-BASED
PATIENT RECORDS
VA and DOD Efforts to
Exchange Health Data
Could Benefit from
Improved Planning
and Project
Management
GAO-04-687
a
June 2004
A critical element of the While VA and DOD continue to move forward in agreeing to and adopting
Department of Veterans Affairs’ standards for clinical data, they have made little progress since last winter
(VA) information technology toward defining how they intend to achieve an electronic medical record
program is its continuing work based on the two-way exchange of patient health data. The departments
with the Department of Defense
continue to face significant challenges in achieving this capability.
(DOD) to achieve the ability to
exchange patient health care
information and create electronic • VA and DOD lack an explicit architecture—a blueprint—that provides
medical records for use by details on what specific technologies will be used to achieve the
veterans, active-duty military electronic medical record by the end of 2005.
personnel, and their health care
providers. • The departments have not fully implemented a project management
structure that establishes lead decision-making authority and ensures the
This report provides an assessment necessary day-to-day guidance of and accountability for their investment
of the departments’ recent progress in and implementation of this project.
toward achieving an electronic
two-way exchange of health care • They are operating without a project management plan describing the
data, along with recommendations specific responsibilities of each department in developing, testing, and
based on GAO’s work. deploying the electronic interface.
www.gao.gov/cgi-bin/getrpt?GAO-04-687.
Letter 1
Results in Brief 2
Background 3
The Two-Way Exchange Could Benefit from Improved Planning
and Project Management 6
Conclusions 9
Recommendations for Executive Action 10
Agency Comments 11
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June 7, 2004
As requested, our objective was to assess VA’s and DOD’s recent progress
toward achieving an electronic two-way exchange of health care data. In
conducting our work, we analyzed key documentation supporting VA’s
and DOD’s strategy for developing and implementing the two-way
electronic exchange of health data. In addition, we reviewed
documentation to identify the costs incurred by VA and DOD in developing
technology to support the sharing of health data, including costs for the
1
U.S. General Accounting Office, Computer-Based Patient Records: Sound Planning and
Project Management Are Needed to Achieve a Two-Way Exchange of VA and DOD Health
Data, GAO-04-402T (Washington, D.C.: March 17, 2004) and Computer-Based Patient
Records: Short-Term Progress Made, but Much Work Remains to Achieve a Two-Way
Data Exchange Between VA and DOD Health Systems, GAO-04-271T (Washington, D.C.:
November 19, 2003).
While VA and DOD have continued to define data standards that are
Results in Brief essential to facilitating the exchange of data, they have made little
progress toward defining just how they intend to achieve the two-way
exchange of patient health data between their two health information
systems currently under development. Although VA officials recognize the
importance of having an architecture that describes in detail how they
plan to develop an electronic interface between those systems, they
acknowledge that the departments’ efforts continue to be guided by a less
specific, high-level strategy that has been in place since September 2002.
Compounding the challenge and uncertainties of developing the electronic
interface is that VA and DOD have not fully established a project
management structure to ensure the necessary day-to-day guidance of and
accountability for the departments’ investment in and implementation of
this capability. Although maintaining that they were collaborating on this
initiative through a joint working group and receiving oversight from
executive-level councils, neither department has the authority to make
final project decisions binding on the other. Further, the departments are
operating without a project management plan describing the specific
responsibilities of VA and DOD in developing, testing, and deploying the
interface. In the absence of an explicit architecture and critical project
management, VA and DOD are progressing slowly in their development of
the interface and their limited progress to date calls into question the
departments’ ability to begin exchanging patient health information by
their targeted date of the end of 2005.
Given the implications that readily accessible medical data can have for
improving the quality of health care and disability claims processing for
military members and veterans, we are recommending that the Secretaries
of Veterans Affairs and Defense take a number of actions to improve the
likelihood of successfully achieving the two-way exchange of medical
data.
Since 1998 VA and DOD have been trying to achieve the capability to share
Background patient health care data electronically. The original effort—the
government computer-based patient record (GCPR) project—included the
Indian Health Service (IHS) and was envisioned as an electronic interface
that would allow physicians and other authorized users at VA, DOD, and
IHS health facilities to access data from any of the other agencies’ health
information systems. The interface was expected to compile requested
patient information in a virtual record that could be displayed on a user’s
computer screen.
Our prior reviews of the GCPR project determined that the lack of a lead
entity, clear mission, and detailed planning to achieve that mission made it
difficult to monitor progress, identify project risks, and develop
appropriate contingency plans. Accordingly, reporting on this project2 in
April 2001 and again in June 2002, we made several recommendations to
help strengthen the management and oversight of GCPR. Specifically, in
2001 we recommended that the participating agencies (1) designate a lead
entity with final decision-making authority and establish a clear line of
authority for the GCPR project, and (2) create comprehensive and
coordinated plans that included an agreed-upon mission and clear goals,
objectives, and performance measures, to ensure that the agencies could
share comprehensive, meaningful, accurate, and secure patient health care
data. In 2002, we recommended that the participating agencies revise the
original goals and objectives of the project to align with their current
strategy, commit the executive support necessary to adequately manage
the project, and ensure that it followed sound project management
principles. VA and DOD took specific measures in response to our
recommendations for enhancing overall management and accountability
of the project.
2
U.S. General Accounting Office, Veterans Affairs: Sustained Management Attention Is
Key to Achieving Information Technology Results, GAO-02-703 (Washington, D.C.: June
12, 2002) and Computer-Based Patient Records: Better Planning and Oversight By VA,
DOD, and IHS Would Enhance Health Data Sharing, GAO-01-459 (Washington, D.C.: April
30, 2001).
The revised strategy also envisioned the pursuit of a longer term, two-way
exchange of health information between DOD and VA.3 Known as
HealthePeople (Federal), this initiative is premised upon the departments’
development of a common health information architecture comprising
standardized data, communications, security, and high-performance health
information systems. The joint effort is expected to result in the secured
sharing of health data required by VA’s and DOD’s health care providers
between systems that each department is currently developing—DOD’s
Composite Health Care System (CHCS) II and VA’s HealtheVet VistA.
3
IHS, was not included in FHIE, but was expected to assume a role in the longer-term
project------HealthePeople (Federal).
4
DOD’s CHCS II capabilities are being deployed in blocks. Block 1 provides a graphical user
interface for clinical outpatient processes; block 2 supports general dentistry; block 3
provides pharmacy, laboratory, radiology, and immunizations capabilities; block 4 provides
inpatient and scheduling capabilities; and block 5 will provide additional capabilities as
defined.
5
The six initiatives that make up HealtheVet VistA are health data repository, billing
replacement, laboratory, pharmacy, imaging, and appointment scheduling replacement.
System Architecture Not VA’s and DOD’s ability to exchange data between their separate health
Developed information systems is crucial to achieving the goals of HealthePeople
(Federal). Yet, successfully sharing health data between the departments
via a secure electronic interface between each of their data repositories
can be complex and challenging, and depends significantly on the
departments’ having a clearly articulated architecture, or blueprint,
defining how specific technologies will be used to achieve the interface.
Developing, maintaining, and using an architecture is a best practice in
engineering information systems and other technological solutions. An
architecture would articulate, for example, the system requirements and
design specifications, database descriptions, and software descriptions
that define the manner in which the departments will electronically store,
update, and transmit their data.
6
Standardized clinical data is important for exchanging health information between
disparate systems. The Institute of Medicine’s Committee on Data Standards for Patient
Safety has reported the lack of common data standards as a key factor preventing
information sharing within the health care industry. VA and DOD, along with the
Department of Health and Human Services, have been active participants in the
Consolidated Health Informatics initiative. As part of this initiative, the Secretary of Health
and Human Services announced in early May the adoption of 15 new standards to enable
the exchange of health information.
While the pharmacy prototype may help define a technical solution for the
two-way exchange of health information between the two departments’
existing systems, there is no assurance that this same solution can be used
to interface the new systems under development. Because the
departments’ new health information systems—major components of
HealthePeople (Federal)—are scheduled for completion over the next 4 to
9 years, the prototype may only test the ability to exchange data in VA’s
and DOD’s existing health systems. Thus, given the uncertainties regarding
what capabilities the pharmacy prototype will demonstrate, it is difficult to
predict how or whether the prototype initiative will contribute to defining
the architecture and technological solution for the two-way exchange of
patient health information for the HealthePeople (Federal) initiative.
7
Sec. 724 of the act mandates that the Secretaries of Veterans Affairs and Defense seek to
ensure that, on or before October 1, 2004, the two departments’ pharmacy data systems are
interoperable for VA and DOD beneficiaries by achieving real-time interface, data
exchange, and checking of prescription drug data of outpatients, and using national
standards for the exchange of outpatient medication information. The act further states
that if the specified interoperability is not achieved by that date, the Secretary of Veterans
Affairs shall adopt DOD’s Pharmacy Data Transaction System for VA’s use.
8
GAO-01-459.
9
The Joint Executive Council is comprised of the Deputy Secretary of Veterans Affairs, the
Under Secretary of Defense for Personnel and Readiness, and the cochairs of joint councils
on health, benefits, and capital planning. The council meets on a quarterly basis to
recommend strategic direction of joint coordination and sharing efforts. The VA/DOD
Health Executive Council is comprised of senior leaders from VA and DOD, who work to
institutionalize sharing and collaboration of health services and resources. The council is
cochaired by the VA Under Secretary for Health and DOD Assistant Secretary of Defense
for Health Affairs, and meets on a bimonthly basis.
Project Management Plan An equally important component necessary for guiding the development of
Lacking the electronic interface is a project management plan. Information
technology project management principles and industry best practices10
emphasize that a project management plan is needed to define the
technical and managerial processes necessary to satisfy project
requirements. Specifically, the plan should include, among other things,
the authority and responsibility of each organizational unit; a work
breakdown structure for all of the tasks to be performed in developing,
testing, and deploying the software, along with schedules associated with
the tasks; and a security policy.
Without a project management plan, VA and DOD lack assurance that they
can successfully develop and implement an electronic interface and the
associated capability for exchanging health information within the time
frames that they have established. VA and DOD officials stated that they
have begun discussions to establish an overall project plan.
10
Institute of Electrical and Electronics Engineers, IEEE/EIA Guide for Information
Technology (IEEE/EIA 12207.1 - 1997), April 1998.
• select a lead entity with final decision-making authority for the initiative;
Should you have any question on matters contained in this report, please
contact me at (202) 512-6240, or Barbara Oliver, Assistant Director, at
(202) 512-9396. We can also be reached by e-mail at koontzl@gao.gov and
oliverb@gao.gov, respectively. Other key contributors to this report were
Michael P. Fruitman, Valerie C. Melvin, J. Michael Resser, and Eric L.
Trout.
Sincerely yours,
Linda D. Koontz
Director, Information Management Issues
Veterans Affairs
(310710)
Page 15 GAO-04-687 VA/DOD Health Data Exchange
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