DSTU2

This page is part of the FHIR Specification (v1.0.2: DSTU 2). The current version which supercedes this version is 5.0.0. For a full list of available versions, see the Directory of published versions . Page versions: R5 R4B R4 R3 R2

6.5.6 Resource AuditEvent - Detailed Descriptions

Detailed Descriptions for the elements in the AuditEvent resource.

AuditEvent
Definition

A record of an event made for purposes of maintaining a security log. Typical uses include detection of intrusion attempts and monitoring for inappropriate usage.

Control1..1
Comments

Based on ATNA (RFC 3881).

AuditEvent.event
Definition

Identifies the name, action type, time, and disposition of the audited event.

Control1..1
Requirements

The event must be identified.

AuditEvent.event.type
Definition

Identifier for a family of the event. For example, a menu item, program, rule, policy, function code, application name or URL. It identifies the performed function.

Control1..1
BindingAudit Event ID: Type of event. (Extensible)
TypeCoding
Requirements

This identifies the performed function. For "Execute" Event Action Code audit records, this identifies the application function performed.

Summarytrue
AuditEvent.event.subtype
Definition

Identifier for the category of event.

Control0..*
BindingAudit Event Sub-Type: Sub-type of event. (Extensible)
TypeCoding
Requirements

This field enables queries of messages by implementation-defined event categories.

Summarytrue
AuditEvent.event.action
Definition

Indicator for type of action performed during the event that generated the audit.

Control0..1
BindingAuditEventAction: Indicator for type of action performed during the event that generated the audit. (Required)
Typecode
Requirements

This broadly indicates what kind of action was done on the Participant Object.

Summarytrue
AuditEvent.event.dateTime
Definition

The time when the event occurred on the source.

Control1..1
Typeinstant
Requirements

This ties an event to a specific date and time. Security audits typically require a consistent time base (e.g. UTC), to eliminate time-zone issues arising from geographical distribution.

Summarytrue
Comments

In a distributed system, some sort of common time base (e.g. an NTP [RFC1305] server) is a good implementation tactic.

AuditEvent.event.outcome
Definition

Indicates whether the event succeeded or failed.

Control0..1
BindingAuditEventOutcome: Indicates whether the event succeeded or failed (Required)
Typecode
Summarytrue
Comments

In some cases a "success" may be partial, for example, an incomplete or interrupted transfer of a radiological study. For the purpose of establishing accountability, these distinctions are not relevant.

AuditEvent.event.outcomeDesc
Definition

A free text description of the outcome of the event.

Control0..1
Typestring
Summarytrue
AuditEvent.event.purposeOfEvent
Definition

The purposeOfUse (reason) that was used during the event being recorded.

Control0..*
BindingPurposeOfUse: The reason the activity took place. (Extensible)
TypeCoding
Summarytrue
Comments

Use participant.purposeOfUse when you know that is specific to the participant, otherwise use event.purposeOfEvent. For example, during a machine-to-machine transfer it might not be obvious to the audit system who caused the event, but it does know why.

AuditEvent.participant
Definition

A person, a hardware device or software process.

Control1..*
Requirements

The event has one or more active participants.

Comments

There may be more than one user per event, for example, in cases of actions initiated by one user for other users, or in events that involve more than one user, hardware device, or system process. However, only one user may be the initiator/requestor for the event.

AuditEvent.participant.role
Definition

Specification of the role(s) the user plays when performing the event. Usually the codes used in this element are local codes defined by the role-based access control security system used in the local context.

Control0..*
BindingAudit Active Participant Role ID Code: Role(s) the user plays (from RBAC). (Extensible)
TypeCodeableConcept
Requirements

This value ties an audited event to a user's role(s). It is an optional value that might be used to group events for analysis by user functional role categories.

AuditEvent.participant.reference
Definition

Direct reference to a resource that identifies the participant.

Control0..1
TypeReference(Practitioner | Organization | Device | Patient | RelatedPerson)
Requirements

This field ties an audit event to a specific resource.

Summarytrue
AuditEvent.participant.userId
Definition

Unique identifier for the user actively participating in the event.

Control0..1
TypeIdentifier
Requirements

This field ties an audit event to a specific user.

Summarytrue
Comments

a unique value within the Audit Source ID. For node-based authentication -- where only the system hardware or process, but not a human user, is identified -- User ID would be the node name.

AuditEvent.participant.altId
Definition

Alternative Participant Identifier. For a human, this should be a user identifier text string from authentication system. This identifier would be one known to a common authentication system (e.g. single sign-on), if available.

Control0..1
Typestring
Requirements

In some situations a human user may authenticate with one identity but, to access a specific application system, may use a synonymous identify. For example, some "single sign on" implementations will do this. The alternative identifier would then be the original identify used for authentication, and the User ID is the one known to and used by the application.

AuditEvent.participant.name
Definition

Human-meaningful name for the user.

Control0..1
Typestring
Requirements

The User ID and Authorization User ID may be internal or otherwise obscure values. This field assists the auditor in identifying the actual user.

AuditEvent.participant.requestor
Definition

Indicator that the user is or is not the requestor, or initiator, for the event being audited.

Control1..1
Typeboolean
Requirements

This value is used to distinguish between requestor-users and recipient-users. For example, one person may initiate a report-output to be sent to another user.

Comments

There can only be one initiator. If the initiator is not clear, then do not choose any one participant as the initiator.

AuditEvent.participant.location
Definition

Where the event occurred.

Control0..1
TypeReference(Location)
AuditEvent.participant.policy
Definition

The policy or plan that authorized the activity being recorded. Typically, a single activity may have multiple applicable policies, such as patient consent, guarantor funding, etc. The policy would also indicate the security token used.

Control0..*
Typeuri
Requirements

This value is used retrospectively to determine the authorization policies.

Comments

For example: Where an OAuth token authorizes, the unique identifier from the OAuth token is placed into the policy element Where a policy engine (e.g. XACML) holds policy logic, the unique policy identifier is placed into the policy element.

AuditEvent.participant.media
Definition

Type of media involved. Used when the event is about exporting/importing onto media.

Control0..1
BindingMedia Type Code: Used when the event is about exporting/importing onto media. (Extensible)
TypeCoding
Requirements

Usually, this is used instead of specifying a network address. This field is not used for Media Id (i.e. the serial number of a CD).

To DoDo we need an element for Media Id (as opposed to type).
AuditEvent.participant.network
Definition

Logical network location for application activity, if the activity has a network location.

Control0..1
AuditEvent.participant.network.address
Definition

An identifier for the network access point of the user device for the audit event.

Control0..1
Typestring
Requirements

This datum identifies the user's network access point, which may be distinct from the server that performed the action. It is an optional value that may be used to group events recorded on separate servers for analysis of a specific network access point's data access across all servers.

Comments

This could be a device id, IP address or some other identifier associated with a device.

AuditEvent.participant.network.type
Definition

An identifier for the type of network access point that originated the audit event.

Control0..1
BindingAuditEventParticipantNetworkType: The type of network access point of this participant in the audit event (Required)
Typecode
Requirements

This datum identifies the type of network access point identifier of the user device for the audit event. It is an optional value that may be used to group events recorded on separate servers for analysis of access according to a network access point's type.

AuditEvent.participant.purposeOfUse
Definition

The reason (purpose of use), specific to this participant, that was used during the event being recorded.

Control0..*
BindingPurposeOfUse: The reason the activity took place. (Extensible)
TypeCoding
Comments

Use participant.purposeOfUse when you know that is specific to the participant, otherwise use event.purposeOfEvent. For example, during a machine-to-machine transfer it might not be obvious to the audit system who caused the event, but it does know why.

AuditEvent.source
Definition

Application systems and processes.

Control1..1
Requirements

The event is reported by one source.

Comments

Since multi-tier, distributed, or composite applications make source identification ambiguous, this collection of fields may repeat for each application or process actively involved in the event. For example, multiple value-sets can identify participating web servers, application processes, and database server threads in an n-tier distributed application. Passive event participants (e.g. low-level network transports) need not be identified.

AuditEvent.source.site
Definition

Logical source location within the healthcare enterprise network. For example, a hospital or other provider location within a multi-entity provider group.

Control0..1
Typestring
Requirements

This value differentiates among the sites in a multi-site enterprise health information system.

AuditEvent.source.identifier
Definition

Identifier of the source where the event was detected.

NoteThis is a business identifer, not a resource identifier (see discussion)
Control1..1
TypeIdentifier
Requirements

This field ties the event to a specific source system. It may be used to group events for analysis according to where the event was detected.

Summarytrue
AuditEvent.source.type
Definition

Code specifying the type of source where event originated.

Control0..*
BindingAudit Event Source Type: Code specifying the type of system that detected and recorded the event. (Extensible)
TypeCoding
Requirements

This field indicates which type of source is identified by the Audit Source ID. It is an optional value that may be used to group events for analysis according to the type of source where the event occurred.

AuditEvent.object
Definition

Specific instances of data or objects that have been accessed.

Control0..*
Requirements

The event may have other objects involved.

Comments

Required unless the values for Event Identification, Active Participant Identification, and Audit Source Identification are sufficient to document the entire auditable event. Because events may have more than one participant object, this group can be a repeating set of values.

InvariantsDefined on this element
sev-1: Either a name or a query (NOT both) (xpath: not(exists(f:name)) or not(exists(f:query)))
AuditEvent.object.identifier
Definition

Identifies a specific instance of the participant object. The reference should always be version specific.

NoteThis is a business identifer, not a resource identifier (see discussion)
Control0..1
TypeIdentifier
Summarytrue
Comments

Identifier detail depends on object type.

AuditEvent.object.reference
Definition

Identifies a specific instance of the participant object. The reference should always be version specific.

Control0..1
TypeReference(Any)
Summarytrue
AuditEvent.object.type
Definition

The type of the object that was involved in this audit event.

Control0..1
BindingAuditEventObjectType: Code for the object type involved audited. (Extensible)
TypeCoding
Requirements

To describe the object being acted upon. In addition to queries on the subject of the action in an auditable event, it is also important to be able to query on the object type for the action.

Comments

This value is distinct from the user's role or any user relationship to the participant object.

AuditEvent.object.role
Definition

Code representing the functional application role of Participant Object being audited.

Control0..1
BindingAuditEventObjectRole: Code representing the role the Object played in the event. (Extensible)
TypeCoding
Requirements

For some detailed audit analysis it may be necessary to indicate a more granular type of participant, based on the application role it serves.

Comments

See RFC 3881 for rules concerning matches between role and type.

AuditEvent.object.lifecycle
Definition

Identifier for the data life-cycle stage for the participant object.

Control0..1
BindingAuditEventObjectLifecycle: Identifier for the data life-cycle stage for the object. (Extensible)
TypeCoding
Requirements

Institutional policies for privacy and security may optionally fall under different accountability rules based on data life cycle. This provides a differentiating value for those cases.

Comments

This can be used to provide an audit trail for data, over time, as it passes through the system.

AuditEvent.object.securityLabel
Definition

Denotes security labels for the identified object.

Control0..*
BindingAll Security Labels: Security Labels from the Healthcare Privacy and Security Classification System. (Extensible)
TypeCoding
Requirements

This field identifies the security labels for a specific instance of an object, such as a patient, to detect/track privacy and security issues.

AuditEvent.object.name
Definition

An instance-specific descriptor of the Participant Object ID audited, such as a person's name.

Control0..1
Typestring
Summarytrue
Comments

This field may be used in a query/report to identify audit events for a specific person. For example, where multiple synonymous Participant Object IDs (patient number, medical record number, encounter number, etc.) have been used.

InvariantsAffect this element
sev-1: Either a name or a query (NOT both) (xpath: not(exists(f:name)) or not(exists(f:query)))
AuditEvent.object.description
Definition

Text that describes the object in more detail.

Control0..1
Typestring
AuditEvent.object.query
Definition

The actual query for a query-type participant object.

Control0..1
Typebase64Binary
Requirements

For query events it may be necessary to capture the actual query input to the query process in order to identify the specific event. Because of differences among query implementations and data encoding for them, this is a base 64 encoded data blob. It may be subsequently decoded or interpreted by downstream audit analysis processing.

Summarytrue
InvariantsAffect this element
sev-1: Either a name or a query (NOT both) (xpath: not(exists(f:name)) or not(exists(f:query)))
AuditEvent.object.detail
Definition

Additional Information about the Object.

Control0..*
AuditEvent.object.detail.type
Definition

Name of the property.

Control1..1
Typestring
AuditEvent.object.detail.value
Definition

Property value.

Control1..1
Typebase64Binary
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