STU 3 Candidate

This page is part of the FHIR Specification (v1.4.0: STU 3 Ballot 3). 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: R4 R3 R2

E.1.4 StructureDefinition: EHRSRLE-AuditEvent - Detailed Descriptions

Definitions for the ehrsrle-auditevent Profile.

AuditEvent(EHRSRLE-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.

Control0..*
TypeAuditEvent
Comments

Based on ATNA (RFC 3881).

AuditEvent.id
Definition

The logical id of the resource, as used in the URL for the resource. Once assigned, this value never changes.

Control0..1
Typeid
Comments

The only time that a resource does not have an id is when it is being submitted to the server using a create operation. Bundles always have an id, though it is usually a generated UUID.

AuditEvent.meta
Definition

The metadata about the resource. This is content that is maintained by the infrastructure. Changes to the content may not always be associated with version changes to the resource.

Control0..1
TypeMeta
AuditEvent.implicitRules
Definition

A reference to a set of rules that were followed when the resource was constructed, and which must be understood when processing the content.

Control0..1
Typeuri
Is Modifiertrue
Comments

Asserting this rule set restricts the content to be only understood by a limited set of trading partners. This inherently limits the usefulness of the data in the long term. However, the existing health eco-system is highly fractured, and not yet ready to define, collect, and exchange data in a generally computable sense. Wherever possible, implementers and/or specification writers should avoid using this element as much as possible.

AuditEvent.language
Definition

The base language in which the resource is written.

Control0..1
BindingA human language.
The codes SHALL be taken from http://tools.ietf.org/html/bcp47
Typecode
Comments

Language is provided to support indexing and accessibility (typically, services such as text to speech use the language tag). The html language tag in the narrative applies to the narrative. The language tag on the resource may be used to specify the language of other presentations generated from the data in the resource Not all the content has to be in the base language. The Resource.language should not be assumed to apply to the narrative automatically. If a language is specified, it should it also be specified on the div element in the html (see rules in HTML5 for information about the relationship between xml:lang and the html lang attribute).

AuditEvent.text
Definition

A human-readable narrative that contains a summary of the resource, and may be used to represent the content of the resource to a human. The narrative need not encode all the structured data, but is required to contain sufficient detail to make it "clinically safe" for a human to just read the narrative. Resource definitions may define what content should be represented in the narrative to ensure clinical safety.

Control0..1 This element is affected by the following invariants: dom-1
TypeNarrative
Alternate Namesnarrative, html, xhtml, display
Comments

Contained resources do not have narrative. Resources that are not contained SHOULD have a narrative.

AuditEvent.contained
Definition

These resources do not have an independent existence apart from the resource that contains them - they cannot be identified independently, and nor can they have their own independent transaction scope.

Control0..*
TypeResource
Alternate Namesinline resources, anonymous resources, contained resources
Comments

This should never be done when the content can be identified properly, as once identification is lost, it is extremely difficult (and context dependent) to restore it again.

AuditEvent.extension
Definition

May be used to represent additional information that is not part of the basic definition of the resource. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension.

Control0..*
TypeExtension
Alternate Namesextensions, user content
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.modifierExtension
Definition

May be used to represent additional information that is not part of the basic definition of the resource, and that modifies the understanding of the element that contains it. Usually modifier elements provide negation or qualification. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension. Applications processing a resource are required to check for modifier extensions.

Control0..*
TypeExtension
Is Modifiertrue
Alternate Namesextensions, user content
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.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
BindingType of event.
The codes SHALL be taken from Audit Event ID; other codes may be used where these codes are not suitable
TypeCoding
Requirements

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

AuditEvent.subtype
Definition

Identifier for the category of event.

Control0..*
BindingSub-type of event.
The codes SHALL be taken from Audit Event Sub-Type; other codes may be used where these codes are not suitable
TypeCoding
Requirements

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

AuditEvent.action
Definition

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

Control0..1
BindingIndicator for type of action performed during the event that generated the audit.
The codes SHALL be taken from AuditEventAction
Typecode
Requirements

This broadly indicates what kind of action was done on the AuditEvent.entity by the AuditEvent.agent.

AuditEvent.recorded
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.

Comments

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

AuditEvent.outcome
Definition

Indicates whether the event succeeded or failed.

Control0..1
BindingIndicates whether the event succeeded or failed
The codes SHALL be taken from AuditEventOutcome
Typecode
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.outcomeDesc
Definition

A free text description of the outcome of the event.

Control0..1
Typestring
AuditEvent.purposeOfEvent
Definition

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

Control0..*
BindingThe reason the activity took place.
The codes SHALL be taken from PurposeOfUse; other codes may be used where these codes are not suitable
TypeCoding
Comments

Use AuditEvent.agent.purposeOfUse when you know that is specific to the agent, otherwise use AuditEvent.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.agent
Definition

An actor taking an active role in the event or activity that is logged.

Control1..*
TypeBackboneElement
Requirements

An agent can be a person, an organization, software, device, or other actors that may be ascribed responsibility.

Alternate NamesActiveParticipant
Comments

Several agents may be associated (i.e. have some responsibility for an activity) with an event or activity.

For example, an activity may be initiated by one user for other users or involve more than one user. However, only one user may be the initiator/requestor for the activity.

AuditEvent.agent.id
Definition

unique id for the element within a resource (for internal references).

Control0..1
Typeid
AuditEvent.agent.extension
Definition

May be used to represent additional information that is not part of the basic definition of the element. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension.

Control0..*
TypeExtension
Alternate Namesextensions, user content
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.agent.modifierExtension
Definition

May be used to represent additional information that is not part of the basic definition of the element, and that modifies the understanding of the element that contains it. Usually modifier elements provide negation or qualification. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension. Applications processing a resource are required to check for modifier extensions.

Control0..*
TypeExtension
Is Modifiertrue
Alternate Namesextensions, user content, modifiers
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.agent.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 access control security system (e.g. RBAC, ABAC) used in the local context.

Control0..*
BindingRole(s) the user plays (from RBAC).
The codes SHALL be taken from Audit Active Participant Role ID Code; other codes may be used where these codes are not suitable
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.

Comments

should be roles relevant to the event. Should not be an exhaustive list of roles.

AuditEvent.agent.reference
Definition

Direct reference to a resource that identifies the agent.

Control0..1
TypeChoice of: Reference(Practitioner), Reference(Organization), Reference(Device), Reference(Patient), Reference(RelatedPerson)
Requirements

This field ties an audit event to a specific resource.

AuditEvent.agent.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.

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.agent.altId
Definition

Alternative agent 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.agent.name
Definition

Human-meaningful name for the agent.

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.agent.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 agent as the initiator.

AuditEvent.agent.location
Definition

Where the event occurred.

Control0..1
TypeReference(Location)
AuditEvent.agent.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.agent.media
Definition

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

Control0..1
BindingUsed when the event is about exporting/importing onto media.
The codes SHALL be taken from Media Type Code; other codes may be used where these codes are not suitable
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).

AuditEvent.agent.network
Definition

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

Control0..1
TypeBackboneElement
AuditEvent.agent.network.id
Definition

unique id for the element within a resource (for internal references).

Control0..1
Typeid
AuditEvent.agent.network.extension
Definition

May be used to represent additional information that is not part of the basic definition of the element. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension.

Control0..*
TypeExtension
Alternate Namesextensions, user content
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.agent.network.modifierExtension
Definition

May be used to represent additional information that is not part of the basic definition of the element, and that modifies the understanding of the element that contains it. Usually modifier elements provide negation or qualification. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension. Applications processing a resource are required to check for modifier extensions.

Control0..*
TypeExtension
Is Modifiertrue
Alternate Namesextensions, user content, modifiers
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.agent.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.agent.network.type
Definition

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

Control0..1
BindingThe type of network access point of this participant in the audit event
The codes SHALL be taken from AuditEventParticipantNetworkType
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.agent.purposeOfUse
Definition

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

Control0..*
BindingThe reason the activity took place.
The codes SHALL be taken from PurposeOfUse; other codes may be used where these codes are not suitable
TypeCoding
Comments

Use AuditEvent.agent.purposeOfUse when you know that is specific to the agent, otherwise use AuditEvent.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
TypeBackboneElement
Must Supporttrue
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.id
Definition

unique id for the element within a resource (for internal references).

Control0..1
Typeid
AuditEvent.source.extension
Definition

May be used to represent additional information that is not part of the basic definition of the element. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension.

Control0..*
TypeExtension
Alternate Namesextensions, user content
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.source.modifierExtension
Definition

May be used to represent additional information that is not part of the basic definition of the element, and that modifies the understanding of the element that contains it. Usually modifier elements provide negation or qualification. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension. Applications processing a resource are required to check for modifier extensions.

Control0..*
TypeExtension
Is Modifiertrue
Alternate Namesextensions, user content, modifiers
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

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
Must Supporttrue
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.

Control1..1
TypeIdentifier
Must Supporttrue
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.

AuditEvent.source.type
Definition

Code specifying the type of source where event originated.

Control0..*
BindingCode specifying the type of system that detected and recorded the event.
The codes SHALL be taken from Audit Event Source Type; other codes may be used where these codes are not suitable
TypeCoding
Must Supporttrue
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.entity
Definition

Specific instances of data or objects that have been accessed.

Control0..*
TypeBackboneElement
Requirements

The event may have other entities involved.

Alternate NamesParticipantObject
Comments

Required unless the values for event identification, agent identification, and audit source identification are sufficient to document the entire auditable event. Because events may have more than one entity, 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.entity.id
Definition

unique id for the element within a resource (for internal references).

Control0..1
Typeid
AuditEvent.entity.extension
Definition

May be used to represent additional information that is not part of the basic definition of the element. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension.

Control0..*
TypeExtension
Alternate Namesextensions, user content
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.entity.modifierExtension
Definition

May be used to represent additional information that is not part of the basic definition of the element, and that modifies the understanding of the element that contains it. Usually modifier elements provide negation or qualification. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension. Applications processing a resource are required to check for modifier extensions.

Control0..*
TypeExtension
Is Modifiertrue
Alternate Namesextensions, user content, modifiers
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.entity.identifier
Definition

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

Control0..1
TypeIdentifier
Comments

Identifier detail depends on entity type.

AuditEvent.entity.reference
Definition

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

Control0..1
TypeReference(Resource)
AuditEvent.entity.type
Definition

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

Control0..1
BindingCode for the object type involved audited.
The codes SHALL be taken from AuditEventObjectType; other codes may be used where these codes are not suitable
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 entity.

AuditEvent.entity.role
Definition

Code representing the role the entity played in the event being audited.

Control0..1
BindingCode representing the role the Object played in the event.
The codes SHALL be taken from AuditEventObjectRole; other codes may be used where these codes are not suitable
TypeCoding
Requirements

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

AuditEvent.entity.lifecycle
Definition

Identifier for the data life-cycle stage for the entity.

Control0..1
BindingIdentifier for the data life-cycle stage for the object.
The codes SHALL be taken from AuditEventObjectLifecycle; other codes may be used where these codes are not suitable
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.entity.securityLabel
Definition

Denotes security labels for the identified entity.

Control0..*
BindingSecurity Labels from the Healthcare Privacy and Security Classification System.
The codes SHALL be taken from All Security Labels; other codes may be used where these codes are not suitable
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.entity.name
Definition

A name of the entity in the audit event.

Control0..1 This element is affected by the following invariants: sev-1
Typestring
Requirements

Use only where entity can't be identified with an identifier.

Comments

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

AuditEvent.entity.description
Definition

Text that describes the entity in more detail.

Control0..1
Typestring
Requirements

Use only where entity can't be identified with an identifier.

AuditEvent.entity.query
Definition

The query parameters for a query-type entities.

Control0..1 This element is affected by the following invariants: sev-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.

AuditEvent.entity.detail
Definition

Additional Information about the entity.

Control0..*
TypeBackboneElement
AuditEvent.entity.detail.id
Definition

unique id for the element within a resource (for internal references).

Control0..1
Typeid
AuditEvent.entity.detail.extension
Definition

May be used to represent additional information that is not part of the basic definition of the element. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension.

Control0..*
TypeExtension
Alternate Namesextensions, user content
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.entity.detail.modifierExtension
Definition

May be used to represent additional information that is not part of the basic definition of the element, and that modifies the understanding of the element that contains it. Usually modifier elements provide negation or qualification. In order to make the use of extensions safe and manageable, there is a strict set of governance applied to the definition and use of extensions. Though any implementer is allowed to define an extension, there is a set of requirements that SHALL be met as part of the definition of the extension. Applications processing a resource are required to check for modifier extensions.

Control0..*
TypeExtension
Is Modifiertrue
Alternate Namesextensions, user content, modifiers
Comments

There can be no stigma associated with the use of extensions by any application, project, or standard - regardless of the institution or jurisdiction that uses or defines the extensions. The use of extensions is what allows the FHIR specification to retain a core level of simplicity for everyone.

AuditEvent.entity.detail.type
Definition

Name of the property.

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

Property value.

Control1..1
Typebase64Binary