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6.6 Resource AuditEvent - Content

This resource maintained by the Security Work Group

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.

6.6.1 Scope and Usage

The audit event is based on the ATNA Audit record definitions, originally from RFC 3881, and now managed by DICOM (see DICOM Part 15 Annex A5). This resource is managed collaboratively between HL7, DICOM, and IHE for the MHD/mHealth initiatives.

The primary purpose of this resource is the maintenance of audit log information. However, it can also be used for simple event-based notification or even general indexing of resources stored in a variety of repositories.

6.6.2 Background and Context

Servers that provide support for Audit Event resources should not generally accept update or delete operations on the resources, as this would compromise the integrity of the audit record.

Audit Events are created as events occur, to track and audit the events. Audit Event resources are often (though not exclusively) created by the application responding to the create/read/query/update/delete/execute etc. event. A Provenance resource contains overlapping information, but is a record-keeping assertion that gathers information about the context in which the information in a resource was obtained. Provenance resources are prepared by the application that initiates the create/update etc. of the resource.

Structure

Name	Flags	Card.	Type	Description & Constraints
AuditEvent			DomainResource	Event record kept for security purposes
event		1..1	Element	What was done
type		1..1	CodeableConcept	Type/identifier of event AuditEventType (Required)
subtype		0..*	CodeableConcept	More specific type/id for the event AuditEventSubType (Required)
action		0..1	code	Type of action performed during the event AuditEventAction (Required)
dateTime		1..1	instant	Time when the event occurred on source
outcome		0..1	code	Whether the event succeeded or failed AuditEventOutcome (Required)
outcomeDesc		0..1	string	Description of the event outcome
participant	I	1..*	Element	A person, a hardware device or software process Either a userId or a reference, but not both
role		0..*	CodeableConcept	User roles (e.g. local RBAC codes) DICOMRoleId (Required)
reference	I	0..1	Practitioner \| Organization \| Device \| Patient \| RelatedPerson	Direct reference to resource
userId	I	0..1	string	Unique identifier for the user
altId		0..1	string	Alternative User id e.g. authentication
name		0..1	string	Human-meaningful name for the user
requestor		1..1	boolean	Whether user is initiator
location		0..1	Location	Where
policy		0..*	uri	Policy that authorized event
media		0..1	Coding	Type of media
network		0..1	Element	Logical network location for application activity
identifier		0..1	string	Identifier for the network access point of the user device
type		0..1	code	The type of network access point AuditEventParticipantNetworkType (Required)
source		1..1	Element	Application systems and processes
site		0..1	string	Logical source location within the enterprise
identifier		1..1	string	The id of source where event originated
type		0..*	Coding	The type of source where event originated AuditEventSourceType (Required)
object	I	0..*	Element	Specific instances of data or objects that have been accessed Either an identifier or a reference, but not both Either a name or a query (or both)
identifier	I	0..1	Identifier	Specific instance of object (e.g. versioned)
reference	I	0..1	Any	Specific instance of resource (e.g. versioned)
type		0..1	code	Object type being audited AuditEventObjectType (Required)
role		0..1	code	Functional application role of Object AuditEventObjectRole (Required)
lifecycle		0..1	code	Life-cycle stage for the object AuditEventObjectLifecycle (Required)
sensitivity		0..1	CodeableConcept	Policy-defined sensitivity for the object AuditEventObjectSensitivity (Example)
name	I	0..1	string	Instance-specific descriptor for Object
description		0..1	string	Descriptive text
query	I	0..1	base64Binary	Actual query for object
detail		0..*	Element	Additional Information about the Object
type		1..1	string	Name of the property
value		1..1	base64Binary	Property value

UML Diagram

XML Template

<AuditEvent xmlns="http://hl7.org/fhir"> 
 <!-- from Resource: id, meta, implicitRules, and language -->
 <!-- from DomainResource: text, contained, extension, and modifierExtension -->
 <event>  <!-- 1..1 What was done -->
  <type><!-- 1..1 CodeableConcept Type/identifier of event --></type>
  <subtype><!-- 0..* CodeableConcept More specific type/id for the event --></subtype>
  <action value="[code]"/><!-- 0..1 Type of action performed during the event -->
  <dateTime value="[instant]"/><!-- 1..1 Time when the event occurred on source -->
  <outcome value="[code]"/><!-- 0..1 Whether the event succeeded or failed -->
  <outcomeDesc value="[string]"/><!-- 0..1 Description of the event outcome -->
 </event>
 <participant>  <!-- 1..* A person, a hardware device or software process -->
  <role><!-- 0..* CodeableConcept User roles (e.g. local RBAC codes) --></role>
  <reference><!--  0..1 Reference(Practitioner|Organization|Device|Patient|
    RelatedPerson) Direct reference to resource --></reference>
  <userId value="[string]"/><!--  0..1 Unique identifier for the user -->
  <altId value="[string]"/><!-- 0..1 Alternative User id e.g. authentication -->
  <name value="[string]"/><!-- 0..1 Human-meaningful name for the user -->
  <requestor value="[boolean]"/><!-- 1..1 Whether user is initiator -->
  <location><!-- 0..1 Reference(Location) Where --></location>
  <policy value="[uri]"/><!-- 0..* Policy that authorized event -->
  <media><!-- 0..1 Coding Type of media --></media>
  <network>  <!-- 0..1 Logical network location for application activity -->
   <identifier value="[string]"/><!-- 0..1 Identifier for the network access point of the user device -->
   <type value="[code]"/><!-- 0..1 The type of network access point -->
  </network>
 </participant>
 <source>  <!-- 1..1 Application systems and processes -->
  <site value="[string]"/><!-- 0..1 Logical source location within the enterprise -->
  <identifier value="[string]"/><!-- 1..1 The id of source where event originated -->
  <type><!-- 0..* Coding The type of source where event originated --></type>
 </source>
 <object>  <!-- 0..* Specific instances of data or objects that have been accessed -->
  <identifier><!--  0..1 Identifier Specific instance of object (e.g. versioned) --></identifier>
  <reference><!--  0..1 Reference(Any) Specific instance of resource (e.g. versioned) --></reference>
  <type value="[code]"/><!-- 0..1 Object type being audited -->
  <role value="[code]"/><!-- 0..1 Functional application role of Object -->
  <lifecycle value="[code]"/><!-- 0..1 Life-cycle stage for the object -->
  <sensitivity><!-- 0..1 CodeableConcept Policy-defined sensitivity for the object --></sensitivity>
  <name value="[string]"/><!--  0..1 Instance-specific descriptor for Object -->
  <description value="[string]"/><!-- 0..1 Descriptive text -->
  <query value="[base64Binary]"/><!--  0..1 Actual query for object -->
  <detail>  <!-- 0..* Additional Information about the Object -->
   <type value="[string]"/><!-- 1..1 Name of the property -->
   <value value="[base64Binary]"/><!-- 1..1 Property value -->
  </detail>
 </object>
</AuditEvent>

JSON Template

{
  "resourceType" : "AuditEvent",
  // from Resource: id, meta, implicitRules, and language
  // from DomainResource: text, contained, extension, and modifierExtension
  "event" : { // R!  What was done
    "type" : { CodeableConcept }, // R!  Type/identifier of event
    "subtype" : [{ CodeableConcept }], // More specific type/id for the event
    "action" : "<code>", // Type of action performed during the event
    "dateTime" : "<instant>", // R!  Time when the event occurred on source
    "outcome" : "<code>", // Whether the event succeeded or failed
    "outcomeDesc" : "<string>" // Description of the event outcome
  },
  "participant" : [{ // R!  A person, a hardware device or software process
    "role" : [{ CodeableConcept }], // User roles (e.g. local RBAC codes)
    "reference" : { Reference(Practitioner|Organization|Device|Patient|
    RelatedPerson) }, // C? Direct reference to resource
    "userId" : "<string>", // C? Unique identifier for the user
    "altId" : "<string>", // Alternative User id e.g. authentication
    "name" : "<string>", // Human-meaningful name for the user
    "requestor" : <boolean>, // R!  Whether user is initiator
    "location" : { Reference(Location) }, // Where
    "policy" : ["<uri>"], // Policy that authorized event
    "media" : { Coding }, // Type of media
    "network" : { // Logical network location for application activity
      "identifier" : "<string>", // Identifier for the network access point of the user device
      "type" : "<code>" // The type of network access point
    }
  }],
  "source" : { // R!  Application systems and processes
    "site" : "<string>", // Logical source location within the enterprise
    "identifier" : "<string>", // R!  The id of source where event originated
    "type" : [{ Coding }] // The type of source where event originated
  },
  "object" : [{ // Specific instances of data or objects that have been accessed
    "identifier" : { Identifier }, // C? Specific instance of object (e.g. versioned)
    "reference" : { Reference(Any) }, // C? Specific instance of resource (e.g. versioned)
    "type" : "<code>", // Object type being audited
    "role" : "<code>", // Functional application role of Object
    "lifecycle" : "<code>", // Life-cycle stage for the object
    "sensitivity" : { CodeableConcept }, // Policy-defined sensitivity for the object
    "name" : "<string>", // C? Instance-specific descriptor for Object
    "description" : "<string>", // Descriptive text
    "query" : "<base64Binary>", // C? Actual query for object
    "detail" : [{ // Additional Information about the Object
      "type" : "<string>", // R!  Name of the property
      "value" : "<base64Binary>" // R!  Property value
    }]
  }]
}

Structure

Name	Flags	Card.	Type	Description & Constraints
AuditEvent			DomainResource	Event record kept for security purposes
event		1..1	Element	What was done
type		1..1	CodeableConcept	Type/identifier of event AuditEventType (Required)
subtype		0..*	CodeableConcept	More specific type/id for the event AuditEventSubType (Required)
action		0..1	code	Type of action performed during the event AuditEventAction (Required)
dateTime		1..1	instant	Time when the event occurred on source
outcome		0..1	code	Whether the event succeeded or failed AuditEventOutcome (Required)
outcomeDesc		0..1	string	Description of the event outcome
participant	I	1..*	Element	A person, a hardware device or software process Either a userId or a reference, but not both
role		0..*	CodeableConcept	User roles (e.g. local RBAC codes) DICOMRoleId (Required)
reference	I	0..1	Practitioner \| Organization \| Device \| Patient \| RelatedPerson	Direct reference to resource
userId	I	0..1	string	Unique identifier for the user
altId		0..1	string	Alternative User id e.g. authentication
name		0..1	string	Human-meaningful name for the user
requestor		1..1	boolean	Whether user is initiator
location		0..1	Location	Where
policy		0..*	uri	Policy that authorized event
media		0..1	Coding	Type of media
network		0..1	Element	Logical network location for application activity
identifier		0..1	string	Identifier for the network access point of the user device
type		0..1	code	The type of network access point AuditEventParticipantNetworkType (Required)
source		1..1	Element	Application systems and processes
site		0..1	string	Logical source location within the enterprise
identifier		1..1	string	The id of source where event originated
type		0..*	Coding	The type of source where event originated AuditEventSourceType (Required)
object	I	0..*	Element	Specific instances of data or objects that have been accessed Either an identifier or a reference, but not both Either a name or a query (or both)
identifier	I	0..1	Identifier	Specific instance of object (e.g. versioned)
reference	I	0..1	Any	Specific instance of resource (e.g. versioned)
type		0..1	code	Object type being audited AuditEventObjectType (Required)
role		0..1	code	Functional application role of Object AuditEventObjectRole (Required)
lifecycle		0..1	code	Life-cycle stage for the object AuditEventObjectLifecycle (Required)
sensitivity		0..1	CodeableConcept	Policy-defined sensitivity for the object AuditEventObjectSensitivity (Example)
name	I	0..1	string	Instance-specific descriptor for Object
description		0..1	string	Descriptive text
query	I	0..1	base64Binary	Actual query for object
detail		0..*	Element	Additional Information about the Object
type		1..1	string	Name of the property
value		1..1	base64Binary	Property value

UML Diagram

XML Template

<AuditEvent xmlns="http://hl7.org/fhir"> 
 <!-- from Resource: id, meta, implicitRules, and language -->
 <!-- from DomainResource: text, contained, extension, and modifierExtension -->
 <event>  <!-- 1..1 What was done -->
  <type><!-- 1..1 CodeableConcept Type/identifier of event --></type>
  <subtype><!-- 0..* CodeableConcept More specific type/id for the event --></subtype>
  <action value="[code]"/><!-- 0..1 Type of action performed during the event -->
  <dateTime value="[instant]"/><!-- 1..1 Time when the event occurred on source -->
  <outcome value="[code]"/><!-- 0..1 Whether the event succeeded or failed -->
  <outcomeDesc value="[string]"/><!-- 0..1 Description of the event outcome -->
 </event>
 <participant>  <!-- 1..* A person, a hardware device or software process -->
  <role><!-- 0..* CodeableConcept User roles (e.g. local RBAC codes) --></role>
  <reference><!--  0..1 Reference(Practitioner|Organization|Device|Patient|
    RelatedPerson) Direct reference to resource --></reference>
  <userId value="[string]"/><!--  0..1 Unique identifier for the user -->
  <altId value="[string]"/><!-- 0..1 Alternative User id e.g. authentication -->
  <name value="[string]"/><!-- 0..1 Human-meaningful name for the user -->
  <requestor value="[boolean]"/><!-- 1..1 Whether user is initiator -->
  <location><!-- 0..1 Reference(Location) Where --></location>
  <policy value="[uri]"/><!-- 0..* Policy that authorized event -->
  <media><!-- 0..1 Coding Type of media --></media>
  <network>  <!-- 0..1 Logical network location for application activity -->
   <identifier value="[string]"/><!-- 0..1 Identifier for the network access point of the user device -->
   <type value="[code]"/><!-- 0..1 The type of network access point -->
  </network>
 </participant>
 <source>  <!-- 1..1 Application systems and processes -->
  <site value="[string]"/><!-- 0..1 Logical source location within the enterprise -->
  <identifier value="[string]"/><!-- 1..1 The id of source where event originated -->
  <type><!-- 0..* Coding The type of source where event originated --></type>
 </source>
 <object>  <!-- 0..* Specific instances of data or objects that have been accessed -->
  <identifier><!--  0..1 Identifier Specific instance of object (e.g. versioned) --></identifier>
  <reference><!--  0..1 Reference(Any) Specific instance of resource (e.g. versioned) --></reference>
  <type value="[code]"/><!-- 0..1 Object type being audited -->
  <role value="[code]"/><!-- 0..1 Functional application role of Object -->
  <lifecycle value="[code]"/><!-- 0..1 Life-cycle stage for the object -->
  <sensitivity><!-- 0..1 CodeableConcept Policy-defined sensitivity for the object --></sensitivity>
  <name value="[string]"/><!--  0..1 Instance-specific descriptor for Object -->
  <description value="[string]"/><!-- 0..1 Descriptive text -->
  <query value="[base64Binary]"/><!--  0..1 Actual query for object -->
  <detail>  <!-- 0..* Additional Information about the Object -->
   <type value="[string]"/><!-- 1..1 Name of the property -->
   <value value="[base64Binary]"/><!-- 1..1 Property value -->
  </detail>
 </object>
</AuditEvent>

JSON Template

{
  "resourceType" : "AuditEvent",
  // from Resource: id, meta, implicitRules, and language
  // from DomainResource: text, contained, extension, and modifierExtension
  "event" : { // R!  What was done
    "type" : { CodeableConcept }, // R!  Type/identifier of event
    "subtype" : [{ CodeableConcept }], // More specific type/id for the event
    "action" : "<code>", // Type of action performed during the event
    "dateTime" : "<instant>", // R!  Time when the event occurred on source
    "outcome" : "<code>", // Whether the event succeeded or failed
    "outcomeDesc" : "<string>" // Description of the event outcome
  },
  "participant" : [{ // R!  A person, a hardware device or software process
    "role" : [{ CodeableConcept }], // User roles (e.g. local RBAC codes)
    "reference" : { Reference(Practitioner|Organization|Device|Patient|
    RelatedPerson) }, // C? Direct reference to resource
    "userId" : "<string>", // C? Unique identifier for the user
    "altId" : "<string>", // Alternative User id e.g. authentication
    "name" : "<string>", // Human-meaningful name for the user
    "requestor" : <boolean>, // R!  Whether user is initiator
    "location" : { Reference(Location) }, // Where
    "policy" : ["<uri>"], // Policy that authorized event
    "media" : { Coding }, // Type of media
    "network" : { // Logical network location for application activity
      "identifier" : "<string>", // Identifier for the network access point of the user device
      "type" : "<code>" // The type of network access point
    }
  }],
  "source" : { // R!  Application systems and processes
    "site" : "<string>", // Logical source location within the enterprise
    "identifier" : "<string>", // R!  The id of source where event originated
    "type" : [{ Coding }] // The type of source where event originated
  },
  "object" : [{ // Specific instances of data or objects that have been accessed
    "identifier" : { Identifier }, // C? Specific instance of object (e.g. versioned)
    "reference" : { Reference(Any) }, // C? Specific instance of resource (e.g. versioned)
    "type" : "<code>", // Object type being audited
    "role" : "<code>", // Functional application role of Object
    "lifecycle" : "<code>", // Life-cycle stage for the object
    "sensitivity" : { CodeableConcept }, // Policy-defined sensitivity for the object
    "name" : "<string>", // C? Instance-specific descriptor for Object
    "description" : "<string>", // Descriptive text
    "query" : "<base64Binary>", // C? Actual query for object
    "detail" : [{ // Additional Information about the Object
      "type" : "<string>", // R!  Name of the property
      "value" : "<base64Binary>" // R!  Property value
    }]
  }]
}

Alternate definitions: Schema/Schematron, Resource Profile (XML, JSON), Questionnaire

6.6.3.1 Terminology Bindings

Path	Definition	Type	Reference
AuditEvent.event.type	Type of event	Required	http://hl7.org/fhir/vs/audit-event-type
AuditEvent.event.subtype	Sub-type of event	Required	http://hl7.org/fhir/vs/audit-event-sub-type
AuditEvent.event.action	Indicator for type of action performed during the event that generated the audit.	Required	http://hl7.org/fhir/audit-event-action
AuditEvent.event.outcome	Indicates whether the event succeeded or failed	Required	http://hl7.org/fhir/audit-event-outcome
AuditEvent.participant.role	Role(s) the user plays (from RBAC)	Required	http://hl7.org/fhir/vs/dicm-402-roleid
AuditEvent.participant.network.type	The type of network access point that originated the audit event	Required	http://hl7.org/fhir/network-type
AuditEvent.source.type	Code specifying the type of source where event originated	Required	http://hl7.org/fhir/vs/audit-source-type
AuditEvent.object.type	Code for the participant object type being audited	Required	http://hl7.org/fhir/object-type
AuditEvent.object.role	Code representing the functional application role of Participant Object being audited	Required	http://hl7.org/fhir/object-role
AuditEvent.object.lifecycle	Identifier for the data life-cycle stage for the participant object	Required	http://hl7.org/fhir/object-lifecycle
AuditEvent.object.sensitivity	The sensitivity of an object in a audit event resource. May also encompass confidentiality and rudimentary access control	Example	http://hl7.org/fhir/vs/audit-event-sensitivity

Path

Definition

Type

Reference

AuditEvent.event.type

Type of event

Required

http://hl7.org/fhir/vs/audit-event-type

AuditEvent.event.subtype

Sub-type of event

Required

http://hl7.org/fhir/vs/audit-event-sub-type

AuditEvent.event.action

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

Required

http://hl7.org/fhir/audit-event-action

AuditEvent.event.outcome

Indicates whether the event succeeded or failed

Required

http://hl7.org/fhir/audit-event-outcome

AuditEvent.participant.role

Role(s) the user plays (from RBAC)

Required

http://hl7.org/fhir/vs/dicm-402-roleid

AuditEvent.participant.network.type

The type of network access point that originated the audit event

Required

http://hl7.org/fhir/network-type

AuditEvent.source.type

Code specifying the type of source where event originated

Required

http://hl7.org/fhir/vs/audit-source-type

AuditEvent.object.type

Code for the participant object type being audited

Required

http://hl7.org/fhir/object-type

AuditEvent.object.role

Code representing the functional application role of Participant Object being audited

Required

http://hl7.org/fhir/object-role

AuditEvent.object.lifecycle

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

Required

http://hl7.org/fhir/object-lifecycle

AuditEvent.object.sensitivity

The sensitivity of an object in a audit event resource. May also encompass confidentiality and rudimentary access control

Example

http://hl7.org/fhir/vs/audit-event-sensitivity

6.6.3.2 Constraints

sev-1: On AuditEvent.object: Either a name or a query (or both) (xpath on f:AuditEvent/f:object: not(exists(f:name)) or not(exists(f:query)))
sev-2: On AuditEvent.object: Either an identifier or a reference, but not both (xpath on f:AuditEvent/f:object: exists(f:identifier) != exists(f:reference))
sev-3: On AuditEvent.participant: Either a userId or a reference, but not both (xpath on f:AuditEvent/f:participant: exists(f:userId) != exists(f:reference))

6.6.3.3 Using Coded Values

The audit event resource and the ATNA Audit record are used in many contexts through healthcare. The coded values defined in the "extensible" bindings above are those widely used and/or defined by DICOM, IHE or ISO, who all defined these codes to meet very specific use cases. These codes should be used when the are suitable, or other codes can be defined.

The set of codes defined for this resource are expected to grow over time, and additional codes may be proposed / requested using the community input link above.

6.6.3.4 Event codes for Common Scenarios

This table summarizes common event scenarios, and the codes that should be used for each case.

Scenario

type

subtype

action

Other

User Login (example)

110114 User Authentication

110122 User Authentication

E Execute

One participant which contains the details of the logged in user

OAuth based User Login

110114 User Authentication

110122 User Authentication

E Execute

todo

User Logout (example)

110114 User Authentication

110123 User Logout

E Execute

One participant which contains the details of the logged out user

REST operation logged on server (example)

rest RESTful Operation

[code] defined for operation

* (see below)

Participant for logged in user, if available, and one object with a reference if at least the type is known as part of the operation. Reference.url should be provided to the granularity known

Audit Event Actions for RESTful operations:

Operation

Action

create

read, vread, tags-get, history-instance, history-type, history-system

update, tags-update

delete, tags-delete

search, validate, transaction, conformance, mailbox

6.6.4 Search Parameters

Search parameters for this resource. The common parameters also apply. See Searching for more information about searching in REST, messaging, and services.

Name	Type	Description	Paths
action	token	Type of action performed during the event	AuditEvent.event.action
address	token	Identifier for the network access point of the user device	AuditEvent.participant.network.identifier
altid	token	Alternative User id e.g. authentication	AuditEvent.participant.altId
date	date	Time when the event occurred on source	AuditEvent.event.dateTime
desc	string	Instance-specific descriptor for Object	AuditEvent.object.name
identity	token	Specific instance of object (e.g. versioned)	AuditEvent.object.identifier
name	string	Human-meaningful name for the user	AuditEvent.participant.name
object-type	token	Object type being audited	AuditEvent.object.type
participant	reference	Direct reference to resource	AuditEvent.participant.reference (Device, Patient, Organization, Practitioner, RelatedPerson)
patient	reference	A patient that the .object.reference refers to	(Patient)
patientid	token	The id of the patient (one of multiple kinds of participations)
policy	uri	Policy that authorized event	AuditEvent.participant.policy
reference	reference	Specific instance of resource (e.g. versioned)	AuditEvent.object.reference (Any)
site	token	Logical source location within the enterprise	AuditEvent.source.site
source	token	The id of source where event originated	AuditEvent.source.identifier
subtype	token	More specific type/id for the event	AuditEvent.event.subtype
type	token	Type/identifier of event	AuditEvent.event.type
user	token	Unique identifier for the user	AuditEvent.participant.userId