Abstract
The American Medical Informatics Association convened the 2014 Health Policy Invitational Meeting to develop recommendations for updates to current policies and to establish an informatics research agenda for personalizing medicine. In particular, the meeting focused on discussing informatics challenges related to personalizing care through the integration of genomic or other high-volume biomolecular data with data from clinical systems to make health care more efficient and effective. This report summarizes the findings ( n = 6) and recommendations ( n = 15) from the policy meeting, which were clustered into 3 broad areas: (1) policies governing data access for research and personalization of care; (2) policy and research needs for evolving data interpretation and knowledge representation; and (3) policy and research needs to ensure data integrity and preservation. The meeting outcome underscored the need to address a number of important policy and technical considerations in order to realize the potential of personalized or precision medicine in actual clinical contexts.
Keywords: translational bioinformatics, health policy, precision medicine, medical informatics, learning health care system
INTRODUCTION AND BACKGROUND
Each year, the American Medical Informatics Association (AMIA) convenes an invitational policy meeting to address important, cutting edge, and complex topics at the intersection of health care and informatics. These meetings seek to identify challenges with current policies, make recommendations for future policies, and identify research needs for advancing the topic of focus. Past themes have included clinical data capture and documentation 1 ; health data use, stewardship, and governance 2 ; and patient-centered care. 3 The 9th Annual AMIA Health Policy Invitational Meeting was held from September 4–5, 2014 and focused on harnessing next-generation informatics for personalizing medicine.
The term personalized, or precision, medicine has multiple related definitions. A systematic review of scientific literature using the terms “personalized” or “individualized” medicine demonstrates how broadly these terms can be interpreted. From biological biomarkers and genomic data to personal preferences, nutrition, lifestyle, and other phenotypic data, all have been referenced as ways to tailor health care to the individual. 4 Indeed, the emergence of “P4 Medicine” embraces the breadth of interpretations by defining a model of health care that is predictive, personalized, preventive, and participatory. 5 While it has always been a care provider’s primary goal to adjust treatment based on the specific characteristics of a patient, new knowledge and advancements in technology offer expanding opportunities to include a plethora of new types of data for personalizing care.
Personalized medicine has become an active area of interest at the federal level. The 2008 Presidential Council of Advisors on Science and Technology (PCAST) released a report on Priorities for Personalized Medicine . 6 This report highlighted 3 primary challenges to implementation: technology and tools, regulation, and reimbursement. Technical and policy barriers for achieving a robust health information technology (HIT) ecosystem for enabling personalized medicine were subsequently discussed in the 2010 PCAST report on Realizing the Full Potential of Health IT (HIT) for Americans: The Path Forward . 7 A key theme in both reports pertained to the role of regulation to enable advancement of the national HIT infrastructure. To help clarify these issues, the FDA published a report in 2013 on its own role in medical product development that supports personalized medicine. 8 Personalized medicine is at the forefront of health and science policy with the 113th/114th House Energy and Commerce Committee’s proposed 21st-Century Cures Initiative 9 and the announcement of a Precision Medicine Initiative in President Barack Obama’s 2015 State of the Union address. 10 The national attention this area of science has garnered speaks to the importance and relevance of the findings of this policy meeting.
MEETING STRUCTURE AND PURPOSE
A Policy Invitational Steering Committee (PISC; see acknowledgments) consisting of subject matter experts from the AMIA membership was assembled and chaired by Peter Tarczy-Hornoch, chair of the Department of Biomedical Informatics and Medical Education at the University of Washington. The committee reviewed existing literature, set the meeting goals, agenda, and invited presenters and attendees. Invitees were selected by the PISC with the intent of having approximately 100 relevant subject matter experts and policy-savvy participants from a wide range of perspectives. The core goal of the meeting was to develop policy recommendations and a research agenda to advance the goal of personalizing medicine. Recognizing the broad definition of personalized medicine discussed above, the PISC focused the meeting discussions by limiting the definition of personalized medicine to topics related to personalizing care through the integration of genomic or other high-volume biomolecular data (collectively referred to here as “omics data”) with data from clinical systems.
In preparation for the meeting, a designated panel chair provided specific objectives to each presenter along with a packet of prereading material and questions that were also used for small group discussion sessions for all attendees. 11 The meeting was convened on September 4–5, 2014 in Washington, DC. The 93 registered attendees included health care providers, academicians, technology vendor representatives, industry executives, policy makers, specialty society representatives, consultants, federal regulators, students, patients, caregivers, and AMIA staff.
Two keynote presentations provided context on the history of personalized medicine, the state of current knowledge, and insight into future innovations. Panel presentations prior to each of the 3 breakout sessions provided a more specific view on the policy and research challenges surrounding 3 primary areas of focus: (1) policies governing data access for research as well as personalization of clinical care; (2) policy and research needs regarding evolving data interpretation and knowledge representation; and (3) policy and research needs to ensure data integrity and preservation.
These panels were didactic in nature, with each panelist having approximately 15 minutes each for a prepared presentation. At the end of each panel, there was a 15-minute period for audience questions.
A summary of the meeting presentations is given in table 1 . Following the question period for each panel, there were three ∼90-minute breakout sessions which divided the attendees into 3 smaller discussion groups to address specific questions developed by the PISC (presented in table 2 ). Each set of small group discussions were followed by a report out and further reflection and discussion by the group at large. Following the meeting, notes taken by scribes throughout the meeting were summarized and synthesized by the authors to develop policy findings and recommendations. These preliminary findings and recommendations were presented at the AMIA 2014 Annual Symposium 12 and then reviewed and refined by the PISC.
Table 1:
Title/Speaker | Key Findings | |
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Keynotes |
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Panel A: Policies Governing Data Access for Research and Personalization of Care |
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Panel B: Policies Regarding Knowledge Representation |
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Panel C: Policies for Data Integrity and Preservation |
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Abbreviations: NIH, National Institutes of Health; OMOP, Observational Medical Outcomes Partnership; SNOMED, systematized nomenclature of medicine; LOINC, logical observation identifiers names and codes; HIPAA, Health Insurance Portability and Accountability Act; EHR, electronic health record.
Table 2:
Breakout A: Policies governing data access for research and personalization of care |
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Breakout B: Policies regarding knowledge representation |
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Breakout C: Policies for data integrity and preservation |
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FINDINGS AND RECOMMENDATIONS
Key findings and recommendations from the meeting participants were further refined by the authors and are summarized below. Recommendations for each set of findings are further detailed in table 3 .
Table 3:
Topic | Findings | Recommendations |
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Policies governing data access for research and personalization of care | There is ambiguity in the legislation and regulatory language and wide variation in the interpretation of legislation on the differences between quality improvement (QI) and research. |
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Patients play a vital role in personalizing medicine by providing specific and general consent for use of their data for others’ benefit. |
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Policy and research needs for evolving data interpretation and knowledge representation | It is important to decouple genomic or high-volume data from clinical information systems and retain some form of the raw data in structured and standardized forms. |
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There are ethical, legal, and social considerations that need to be addressed surrounding the (re) use and (re) interpretation of data. |
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Policy and research needs to ensure data integrity and preservation | Errors in medical records present significant barriers to delivering personalized medicine and to the realization of a learning health care system. |
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Ambiguities in regulations that govern the sharing of patient data must be clarified. |
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Abbreviations: AMIA, American Medical Informatics Association; HIPAA, Health Insurance Portability and Accountability Act; PHI, protected health information; NIH, National Institutes of Health; AHRQ, Agency for Healthcare Research and Quality; NLM, National Library of Medicine; CMS, Centers for Medicare and Medicaid Services; PDF, Portable Document Format.
Policies governing data access for research and personalization of care
Finding: There is ambiguity in the legislative and regulatory language and wide variation in the interpretation of legislation and regulation on the differences between quality improvement (QI) and research.
Activities that involve the use of data collected from humans are regulated by multiple rules. In simplified terms, information sharing activities related to treatment, payment, and operations are permitted under the Health Insurance Portability and Accountability Act of 1996 (HIPAA) privacy rule. 18 Most internally focused QI initiatives do not fall under the Federal Policy for Protection of Human Subjects (“Common Rule”) 19 but are considered part of health care operations under HIPAA and hence do not need review by an institutional review board (IRB). However, a problem arises when a QI initiative yields generalizable findings that would ideally be shared with the broader health care community. When one desires to publish the findings of a finished QI project, the work is then considered to be research and is subject to the Common Rule, thereby necessitating IRB review. Further, depending on the actual data items used, HIPAA may or may not apply, possibly restricting the use of protected health information (PHI). This circumstance leads to significant confusion about how to apply these rules and results in lost opportunities for shared learning among health care institutions.
Recommendations ( s ee table 3 ):
Classify non-interventional research as appropriate use of PHI under HIPAA regulations.
Create mechanisms to transition QI projects to research designations.
Move toward centralized IRB solutions.
Finding: Patients play a vital role in personalizing medicine by providing specific and general consent for use of their data for others’ benefit.
Patient perceptions of the risk/benefit tradeoff in data sharing was identified as a key challenge by meeting participants, due in part to highly publicized data breaches disclosed under the modified HIPAA and the Genetic Information Nondiscrimination Act reporting requirements. 20 Positively, in prior surveys, > 80% of participants indicated that they would allow their health information to be shared among their providers. 21 Additionally, in a study from the UK, 62% of respondents supported the use of electronic health records for care provision, planning, and research while about 28% of respondents were undecided. 22 Among the undecided group, 80% supported use for research and 67% preferred the use of deidentified data.
Recommendations ( s ee table 3 ):
Using public education funds from the Department of Health and Human Service s to develop public awareness campaigns to accurately communicate benefits and risks of data sharing.
Harmonize state and federal laws on consent requirements to reduce the burden placed on patients who are willing to share their data.
Policy and research needs for evolving data interpretation and knowledge representation
Finding: It is important to decouple omics data from clinical information systems and retain some form of the raw data in structured and standardized forms.
Knowledge about both the analysis and interpretation of omics data, once acquired, is expected to change as scientific understanding grows. Currently, omics data interpretations can be returned as reports (eg, Portable Document Format files) that do not allow for reanalysis or reinterpretation. 23 The raw data underlying these reports are usually unavailable to either the ordering provider, patient, or payer. Unfortunately, it is presently unclear what forms of raw data (eg, variant data) and metadata (eg, what was measured, how it was analyzed) should be retained. Additionally, underutilization of standardized terminologies and ontologies to describe both the raw data and interpretations hamper consistent interpretation of results across different testing centers. 24,25 Many institutions have found that it is not feasible to store these data in the clinical information systems due to both size and variable clinical utility at the time of data collection. 26,27
Recommendations ( s ee table 3 ): Finding: There are ethical, legal, and social considerations that need to be addressed surrounding the (re )use and (re )interpretation of data.
Convene a standing expert committee to identify necessary metadata elements for omic data reanalysis and reinterpretation as new technologies emerge.
Research adequacy of existing ontologies and identify additional needs to capture omics-related metadata and interpretations.
Require that omics data be returned in computer-readable formats as part of the Clinical Laboratory Improvement Amendment certification.
Identify data governance standards to keep raw biomolecular data separate from clinical information systems.
Genomic data, in particular, has value across the lifetime of a patient. Although technical innovations make it increasingly feasible to measure these data repeatedly, a single measurement of these data maintains more value than is typical of other health data. At present, most of these tests are analyzed a single time and are siloed at the collecting institution unless the patient requests their health records. However, as previously stated, many of the institutions collecting genomic data do not store these data in a patient’s medical record due to the large volume and variable clinical utility of these data. If these data are not part of the patient’s medical record, it is unclear whether the HIPAA record access provisions apply. Should those provisions apply to medically collected biomolecular data, additional clarification is needed to determine the level of “raw” data the patient is entitled access (eg, sequence reads vs all genotype vs variant list). Drawing from other types of medical data, if genomic data are treated like imaging data, a patient should have access to the raw information reported by the instrument, allowing for complete reanalysis and interpretation by an outside source. However if genomic data were treated like other laboratory tests, simply returning the final genotype calls would be sufficient (eg, laboratory tests that make use of mass spectrometry only report the analyte of interest rather than the entire mass spectrum). Regardless of the patient’s right to access these data, we know that the interpretation of these data will evolve over time. At present, it is unclear who bears ethical and legal obligations to perform this reanalysis and inform patients with this updated information.
Recommendations ( s ee table 3 ):
Define who bears ethical and legal responsibilities for reanalysis of raw data.
Clarify the patient’s right under HIPAA to access raw biomolecular data collected by care providers when those data are not stored in the medical record.
Policy and research needs to ensure data integrity and preservation
Finding: Errors in medical records present significant barriers to delivering personalized medicine and to the realization of a learning health care system.
Accurate health records are necessary for delivering personalized medicine and for realizing a learning health care system in which current medical information is used to inform future treatment decisions. Under current legal guidelines, medical record data cannot be altered to remove errors. Instead, care providers may add information in the form of an amendment that identifies and corrects the error. While amending errors this way is usually sufficient for traditional patient care, it can be problematic for personalizing medicine. First, many of the methods used to personalize medicine rely on computer algorithms processing medical record data. Many of these algorithms rely on keywords and are not sufficiently advanced to identify corrections in the form of amendments. At present, it is unclear how frequent this type of error is and what impact it has on downstream analyses of medical record data. Secondly, from the patient perspective, requiring a health care provider intermediary for amendment and error correction can be fraught with challenges. Many providers are unwilling or unable to amend documentation from other providers, or they simply forget to enter the amendment given the high workload from increasing documentation requirements.
Recommendations ( s ee table 3 ): Finding: Ambiguities in regulations that govern the sharing of patient data must be clarified.
Conduct research on the impact of documentation errors on the reuse of medical record data by computational methodologies.
Engage in a national discussion on the rights of patients to go beyond reading their medical records as assured by HIPAA to having the ability to add data to the record to identify and correct errors without going through a physician intermediary , as is the current custom.
To more effectively practice personalized medicine using omics data, researchers must have access to large patient data sets, which are most efficiently assembled through the sharing of data among multiple institutions (requiring mechanisms for unique patient identification or other record-matching techniques—a key focus of the AMIA 2012 Health Policy Invitational 2 ). The provisions outlined in HIPAA for sharing deidentified and limited data sets are often used by institutions to govern what data can be shared. There are concerns, however, whether omics data should be considered a “biometric identifier” that would be excluded from data sharing initiatives under HIPAA. If these data were classified as PHI, a number of National Institutes of Health (NIH) data sharing mandates (eg, NIH database of Genotypes and Phenotypes—dbGaP 28 ) would be problematic for electronic medical records–linked biobanks. There are also privacy concerns for the large data sources; currently, legal protections related to the potential misuse of clinical data are not transferable to deidentified data sets. Further, mandates requiring broad data sharing create privacy concerns for patients who may otherwise desire to share their data with local researchers but may not be comfortable with broader use of their data.
Recommendations ( s ee table 3 ):
Clarify whether omics data are considered biometric identifiers under HIPAA.
Augment legal protections to safeguard de identified data from misuse and attempted re identification of subjects.
CONCLUSION
The anticipated benefits of personalized medicine have brought the field to the forefront of biomedical research as well as health and science policy. The 2014 AMIA Health Policy Invitational Meeting focused on topics related to using omics data integrated with data from clinical systems to personalized care. Realizing the potential of personalized medicine and moving it from demonstration projects to routine clinical care will require addressing a number of important policy and technical considerations. The policy recommendations emerging from the meeting underscores the need for thoughtful policymaking to advance the incorporation of omics data into contemporary medicine for the ultimate development of an integrated learning health care system that epitomizes the promise of precision medicine.
CONTRIBUTORS
LKW and PT contributed equally. All authors contributed to the summarization and synthesis of meeting notes as well as writing, reviewing, and approving this manuscript.
COMPETING INTERESTS
None.
ACKNOWLEDGEMENTS
The steering committee members were Peter Tarczy-Hornoch (Chair), Elmer V Bernstam, Chris G Chute, Joshua C Denny, Charles P Friedman, Robert R Freimuth, Rebecca Kush, Yves A Lussier, Daniel Masys, Lucila Ohno-Machado, Casey L Overby, Indra Neil Sarkar, Nigam Shah, Justin B Starren, Jessica Tennenbaum, and Marc S Williams. AMIA staff support was provided by Ross Martin and Susie Aguirre.
We would like to thank all participants at this meeting for their valuable contributions to this important discussion. The opinions expressed in this document are those of the authors and do not necessarily reflect the official positions of the AMIA Board of Directors, AMIA corporate members, Agency for Healthcare Research and Quality (AHRQ), or the US Department of Health and Human Services.
FUNDING
This meeting was funded in part by the AHRQ, grant no. R13 HS 1R13HS021825-01. Additional support was provided for the meeting by the following AMIA corporate members: AstraZeneca, Bristol-Myers Squibb, Cerner Corporation, ConvergeHEALTH by Deloitte, GE Healthcare, First Databank, GlaxoSmithKline, Oracle Health Sciences, MEDITECH, Philips, RTI International, and Wolters Kluwer Health. Facilitation services were provided by Deloitte Consulting, LLP.
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