<xs:enumeration value="18">
<xs:annotation>
<xs:appinfo>Schedule</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="19">
<xs:annotation>
<xs:appinfo>Customer</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="20">
<xs:annotation>
<xs:appinfo>Job</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="21">
<xs:annotation>
<xs:appinfo>Job Stream</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="22">
<xs:annotation>
<xs:appinfo>Table</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="23">
<xs:annotation>
<xs:appinfo>Routing Criteria</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="24">
<xs:annotation>
<xs:appinfo>Query</xs:appinfo>
</xs:annotation>
</xs:enumeration>
</xs:restriction>
</xs:simpleType>
</xs:attribute>
<xs:attribute name="ParticipantObjectDataLifeCycle" use="optional">
<xs:simpleType>
<xs:restriction base="xs:unsignedByte">
<xs:enumeration value="1">
<xs:annotation>
<xs:appinfo>Origination / Creation</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="2">
<xs:annotation>
<xs:appinfo>Import / Copy from original </xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="3">
<xs:annotation>
<xs:appinfo>Amendment</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="4">
<xs:annotation>
<xs:appinfo>Verification</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="5">
<xs:annotation>
<xs:appinfo>Translation</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="6">
<xs:annotation>
<xs:appinfo>Access / Use</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="7">
<xs:annotation>
<xs:appinfo>De-identification</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="8">
<xs:annotation>
<xs:appinfo>Aggregation, summarization,
derivation</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="9">
<xs:annotation>
<xs:appinfo>Report</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="10">
<xs:annotation>
<xs:appinfo>Export / Copy to target</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="11">
<xs:annotation>
<xs:appinfo>Disclosure</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="12">
<xs:annotation>
<xs:appinfo>Receipt of disclosure</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="13">
<xs:annotation>
<xs:appinfo>Archiving</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="14">
<xs:annotation>
<xs:appinfo>Logical deletion</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="15">
<xs:annotation>
<xs:appinfo>Permanent erasure / Physical destruction
</xs:appinfo>
</xs:annotation>
</xs:enumeration>
</xs:restriction>
</xs:simpleType>
</xs:attribute>
<xs:attribute name="ParticipantObjectSensitivity" type="xs:string"
use="optional"/>
</xs:complexType>
<xs:complexType name="CodedValueType">
<xs:attribute name="code" type="xs:string" use="required"/>
<xs:attributeGroup ref="CodeSystem"/>
<xs:attribute name="displayName" type="xs:string" use="optional"/>
<xs:attribute name="originalText" type="xs:string" use="optional"/>
</xs:complexType>
<xs:complexType name="TypeValuePairType">
<xs:attribute name="type" type="xs:string" use="required"/>
<xs:attribute name="value" type="xs:base64Binary" use="required"/>
</xs:complexType>
<xs:attributeGroup name="CodeSystem">
<xs:attribute name="codeSystem" type="OID" use="optional"/>
<xs:attribute name="codeSystemName" type="xs:string"
use="optional"/>
</xs:attributeGroup>
<xs:simpleType name="OID">
<xs:restriction base="xs:string">
<xs:whiteSpace value="collapse"/>
</xs:restriction>
</xs:simpleType>
</xs:schema>
6.2. XML Schema Localization
The schema specified in section 6.1 may be extended and restricted to
meet local implementation-specific requirements. W3C Recommendation
for XML Schema structure [W3CXML-1], section 4, is the governing
standard for accomplishing this.
As of the current version of this document, a public reference URI
for the base schema has not been established.
Local definitions reference the common audit message base schema.
For example, here is a schema with a local vocabulary restriction for
"Audit Enterprise Site ID" plus an extension adding a new "Audit
Source Asset Number" element.
The URI used to identify this schema (http://audit-message-uri) is a
syntactically valid example that does not represent an actual schema.
Schema validators might report an error when attempting to import a
schema using this URI.
<xs:schema xmlns:audit="http://audit-message-URI"
xmlns:xs="http://www.w3.org/2001/XMLSchema"
elementFormDefault="qualified" attributeFormDefault="unqualified">
<xs:import schemaLocation="http://audit-message-URI"/>
<xs:complexType name="LocaAuditSourceIdentificationType">
<xs:complexContent>
<xs:restriction base="AuditSourceIdentificationType">
<xs:attribute name="AuditEnterpriseSiteID" use="required">
<xs:simpleType>
<xs:restriction base="xs:string">
<xs:enumeration value="Main"/>
<xs:enumeration value="Clinic1"/>
<xs:enumeration value="Clinic2"/>
<xs:enumeration value="Radiology"/>
<xs:enumeration value="Lab"/>
</xs:restriction>
</xs:simpleType>
</xs:attribute>
</xs:restriction>
</xs:complexContent>
</xs:complexType>
<xs:element name="LocalAuditSourceIdentification">
<xs:complexType>
<xs:complexContent>
<xs:extension base="LocaAuditSourceIdentificationType">
<xs:attribute name="AuditSourceAssetNumber" type="xs:string"
use="required"/>
</xs:extension>
</xs:complexContent>
</xs:complexType>
</xs:element>
</xs:schema>
7. Security Considerations
Audit data must be secured at least to the same extent as the
underlying data and activities being audited. This includes access
controls as well as data integrity and recovery functions. This
document acknowledges the need for, but does not specify, the
policies and technical methods to accomplish this.
It is conceivable that audit data might have unintended uses, e.g.,
tracking the frequency and nature of system use for productivity
measures. ASTM standard E2147-01 [E2147] states, in paragraph
5.3.10, "Prohibit use for other reasons than to enforce security and
to detect security breaches in record health information systems, for
example, the audits are not to be used to explore activity profiles
or movement profiles of employees."
Some audit data arises from security-relevant processes other than
data access. These are the trigger events listed in section 4.1 and
4.2 of this document. Audit data, defined in this document, can
record the accountabilities for the results of these processes, as
part of a complete security implementation. A discussion of the
associated authorities, reference standards, and implementation
technology choices for the processes is outside the scope of this
document.
8. References
8.1. Normative References
[E2147] "E2147-01 Standard Specification for Audit and
Disclosure Logs for Use in Health Information Systems",
ASTM International, June 2002.
[ISO15408-2] "ISO/IEC 15408:1999 Common Criteria for Information
Technology Security Evaluation, Part 2: Security
Functional Requirements", ISO, August 1999.
[ISO8601] "ISO 8601:2000 Data elements and interchange formats --
Information interchange -- Representation of dates and
times", ISO, December 2000.
[RFC1305] Mills, D., "Network Time Protocol (Version 3)
Specification, Implementation", RFC 1305, March 1992.
[RFC2396] Berners-Lee, T., Fielding, R. and L. Masinter, "Uniform
Resource Identifiers (URI): Generic Syntax", RFC 2396,
August 1998.
[W3CXML-1] W3C Recommendation "XML Schema Part 1: Structures",
version 1.0, May 2001.
[W3CXML-2] W3C Recommendation "XML Schema Part 2: Datatypes,"
version 1.0, May 2001.
8.2. Informative References
[HL7SASIG] Marshall, G. and G. Dickinson, "Common Audit Message",
HL7 Security and Accountability Special Interest Group,
November 2001.
[IHETF-3] "IHE Technical Framework", Volume III, HIMMS/RSNA, April
2002.
[NEMASPC] "Security and Privacy Auditing in Health Care
Information Technology", Joint NEMA/COCIR/JIRA Security
and Privacy Committee, 26 June 2001.
Acknowledgments
The author gratefully acknowledges the advice and assistance of the
following people during the preparation of this document:
Carmela Couderc, Siemens Medical Solutions
Michael Davis, SAIC
Gary Dickinson
Christoph Dickmann, Siemens Medical Solutions
Daniel Hannum, Siemens Medical Solutions
Robert Horn, Agfa
James McAvoy, Siemens Medical Solutions
John Moehrke, General Electric Medical Systems
Jennifer Puyenbroek, McKesson Information Solutions
Angela Ray, McKesson Information Solutions
Lawrence Tarbox, Siemens Corporate Research
Author’s Address
Glen Marshall
Siemens Medical Solutions Health Services
51 Valley Stream Parkway
Malvern, PA 19312
USA
Phone: (610) 219-3938
EMail: glen.f.marshall@siemens.com
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