EFA Policy Assertion SAML2 Binding

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SAML 2.0 Profile for ECR Policy Assertions

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Assertion Element Opt Usage Convention
@Version R MUST be “2.0”
@ID R URN encoded unique identifier (UUID) of the assertion
@IssueInstant R Time instant of issuance in UTC
Issuer R Address URI that identifies the endpoint of the issuing service
Subject R This element defines the subject confirmation method of the user in order to use the Policy Assertion as a supporting token. Moreover, it defines the subject name identifier that accords with the user identity from an Identity Assertion.
NameID R Identifier of the HP given in the Identity Asstertion encoded as an X.509 subject name, an e-Mail address or as a string value (unspecified format). Only identifiers must be used that can be long-term tracked back to an individual person.
@Format R MUST be urn:oasis:names:tc:SAML:1.1:nameid-format:unspecified

or urn:oasis:names:tc:SAML:1.1:nameid-format:X509SubjectName
or urn:oasis:names:tc:SAML:1.1:nameid-format:emailAddress
For providing an OID as a subject identifier the unspecified format must be used. The OID must be provided as a string encoded in ISO format.

SubjectConfirmation R
@Method R This element MUST hold a URI reference that identifies a protocol to be used to authenticate the subject.[SAML2.0core] The value of this element MUST be set to

urn:oasis:names:tc:SAML:2.0:cm:holder-of-key

SubjectConfirmationData R
ds:KeyInfo R The XML Signature [XMLSignature] element MUST embed a cryptographic key that is only held by the user. This can be the user’s public key (ds:KeyValue/ds:RSAKeyValue), the complete user’s X.509 certificate (ds:X509Data/ds:X509Certificate), or an encrypted symmetric key (xenc:EncryptedKey [XMLEncryption]). This symmetric key MUST be encrypted by using the public key of the consumer service’s certificate [eFA PKI 1.2].
Conditions R
@NotBefore R time instant from which the assertion is useable. This condition MUST be assessed by the assertion consumer to proof the validity of the assertion.
@NotOnOrAfter R Time instant at which the assertion expires. This condition MUST be assessed by the assertion consumer to proof the validity of the assertion. The maximum validity timespan for a Policy Assertion MUST NOT be more than 4 hours.
XACMLPolicyStatement R
PolicySet R PolicySet that expresses the given authorization (see section below for details).
ds:Signature R Enveloped XML signature of the issuer of the Policy Assertion (see section below for details).

PolicySet Profile

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The ECR 2.0 specification differentiates three kinds of an authorization statement as it is described logically in the security token services section for the Policy Provider. These are:

  • Reference without semantics (policyId) to an access policy which contains the valid authorization rules for an eCR Consumer
  • Access policy which contains the valid authorization rules for an eCR Consumer

In order to implement such differentiations the <PolicySet> element has different sub-elements.

Policy Assignment

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Element or Attribute Opt. Constraints
PolicySet R
@PolicySetId R Shall be of type UUID or OID. Shall not be URN encoded.
@PolicyCombiningAlgId R Shall be urn:oasis:names:tc:xacml:1.0:policy-combining-algorithm:deny-overrides.
Target R
Resources R
Resource R

Shall contain at least:

Actions R

May contain Action elements that qualify the use of specific operations in the context of an EFA.

Policy cond. R

Shall be the policy for the subject stated in the ECR Policy Assertion. This element shall conform to one of

Either Policy or PolicyIdReference shall be used.

PolicyIdReference cond. R

Shall be the reference to the policy for the subject stated in the ECR Policy Assertion. This referenced policy shall conform to one of:

Either Policy or PolicyIdReference shall be used.

Policy Attachment for a health professional

If not in the role of a health record manager, health professionals may have access to the health record if it neither suspended nor retired.

Element or Attribute Opt. Constraints
Policy R
@PolicyId R Shall be of type UUID or OID. Shall not be URN encoded.
@RuleCombiningAlgId R Shall be urn:oasis:names:tc:xacml:1.0:rule-combining-algorithm:deny-overrides
Target R
Subjects R
Subject R
SubjectMatch R

Shall contain at leat one of the following SubjectMatch elements:

Shall contain a SubjectMatch for structural role with attribute value of

  • dentist,
  • pharmacist,
  • physician, or
  • nurse midwife.
Resources R
Resource R
ResourceMatch R

Restricts access to open ECRs. This match relates to ecrStatus. It applies the IHE-D Cookbook XACML binding of DocumentEntry.availabilityStatus.

@MatchId R Shall be urn:oasis:names:tc:xacml:1.0:function:anyURI-equal
AttributeValue R Shall be urn:oasis:names:tc:ebxml-regrep:StatusType:Approved
@DataType R Shall be http://www.w3.org/2001/XMLSchema#anyURI
ResourceAttributeDesignator R
@AttributeId R Shall be urn:ihe:iti:xds-b:2007:availability-status
@DataType R Shall be http://www.w3.org/2001/XMLSchema#anyURI
Environments R
Environment R
EnvironmentMatch R

Verifies, that the current date is before the date of expiry, i. e. the grace period has not started.

@MatchId R Shall be urn:oasis:names:tc:xacml:1.0:function:dateTime-greater-than-or-equal
AttributeValue R Shall be the point in time when ecrStatus of the record changes to suspended.
@DataType R Shall be http://www.w3.org/2001/XMLSchema#dateTime
EnvironmentAttributeDesignator R
@AttributeId R Shall be urn:oasis:names:tc:xacml:1.0:environment:current-dateTime
@DataType R Shall be http://www.w3.org/2001/XMLSchema#dateTime
Policy Attachment for health record managers

Health professionals in the role of a health record manager may have access to the health record if it is suspended but nor retired.

Element or Attribute Opt. Constraints
Policy R
@PolicyId R Shall be of type UUID or OID. Shall not be URN encoded.
@RuleCombiningAlgId R Shall be urn:oasis:names:tc:xacml:1.0:rule-combining-algorithm:deny-overrides
Target R
Subjects R
Subject R

Shall contain at leat one of the following SubjectMatch elements:

Shall contain a SubjectMatch for structural role with attribute value health record management.

Environments R
Environment R
EnvironmentMatch R

Verifies, that the current date is before the end of the grace period.

@MatchId R Shall be urn:oasis:names:tc:xacml:1.0:function:dateTime-greater-than-or-equal
AttributeValue R Shall be the point in time when ecrStatus of the record changes to retired.
@DataType R Shall be http://www.w3.org/2001/XMLSchema#dateTime
EnvironmentAttributeDesignator R
@AttributeId R Shall be urn:oasis:names:tc:xacml:1.0:environment:current-dateTime
@DataType R Shall be http://www.w3.org/2001/XMLSchema#dateTime
SubjectMatch for EFA Identity Assertion NameID

This SubjectMatch element relates to the saml:NameID element of the EFA Identity Assertion.

This element applies the IHE-D Cookbook XACML binding of User ID.

Element or Attribute Opt. Constraints
SubjectMatch R
@MatchId R Shall be urn:oasis:names:tc:xacml:1.0:function:string-equal
AttributeValue R

Shall be equal to saml:NameID used for the subject. See EFA Identity Assertion

@DataType R Shall be http://www.w3.org/2001/XMLSchema#string
SubjectAttributeDesignator R
@AttributeId R Shall be urn:oasis:names:tc:xacml:1.0:subject:subject-id
@DataType R Shall be http://www.w3.org/2001/XMLSchema#string
SubjectMatch for health professional ID

This SubjectMatch element relates to the health professional identifier of the EFA Identity Assertion.

Element or Attribute Opt. Constraints
SubjectMatch R
@MatchId R Shall be urn:oasis:names:tc:xacml:1.0:function:string-equal
AttributeValue R

Shall be equal to the HP Identifier as defined for EFA Identity Assertion.

@DataType R Shall be http://www.w3.org/2001/XMLSchema#string
SubjectAttributeDesignator R
@AttributeId R Shall be urn:oasis:names:tc:xacml:1.0:subject:subject-id
@DataType R Shall be http://www.w3.org/2001/XMLSchema#string
SubjectMatch for structural role

This SubjectMatch element relates to the Structural Role of the EFA Identity Assertion.

Element or Attribute Opt. Constraints
Subject R
SubjectMatch R
@MatchId R Shall be urn:oasis:names:tc:xacml:1.0:function:string-equal
AttributeValue R

Shall be one of the following roles defined in ASTM E1986-98 (2005):

  • dentist,
  • pharmacist,
  • physician,
  • nurse midwife, or
  • health record management.
@DataType R Shall be http://www.w3.org/2001/XMLSchema#string
SubjectAttributeDesignator R
@AttributeId R Shall be urn:oasis:names:tc:xacml:2.0:subject:role'
@DataType R Shall be http://www.w3.org/2001/XMLSchema#string
SubjectMatch for health professional organization ID

This SubjectMatch element relates to the HP Organization ID of the EFA Identity Assertion.

This element applies the IHE-D Cookbook XACML binding of User Organization ID.

Element or Attribute Opt. Constraints
SubjectMatch R
@MatchId R Shall be urn:oasis:names:tc:xacml:1.0:function:anyURI-equal
AttributeValue R

Shall be the URN encoded OID of the Healthcare Professional Organisation.

@DataType R Shall be http://www.w3.org/2001/XMLSchema#anyURI
SubjectAttributeDesignator R
@AttributeId R Shall be urn:oasis:names:tc:xspa:1.0:subject:organization-id
@DataType R Shall be http://www.w3.org/2001/XMLSchema#anyURI
ResourceMatch for EFA Folder classification

This ResourceMatch element relates to the Folder.codeList entry which indicates an EFA Folder.

This element applies the IHE-D Cookbook XACML binding of Folder.codeList.

Element or Attribute Opt. Constraints
ResourceMatch R
@MatchId R Shall be urn:hl7-org:v3:function:CV-equal (see IHE DE Cookbook, XACML Binding).
AttributeValue R
@DataType R Shall be urn:hl7-org:v3#CV.
hl7:CodedValue R
@code R Shall be ECR.
@codeSystem R Shall be IHE-D-Cookbook-FolderClassCode.
ResourceAttributeDesignator R
@AttributeId R Shall be urn:ihe:iti:xds-b:2007:folder:code.
@DataType R Shall be urn:hl7-org:v3#CV.
ResourceMatch for purpose classification

This ResourceMatch element relates to the Folder.codeList entry which indicates the purpose.

This element applies the IHE-D Cookbook XACML binding of Folder.codeList.

Element or Attribute Opt. Constraints
ResourceMatch R
@MatchId R Shall be urn:hl7-org:v3:function:CV-equal (see IHE DE Cookbook, XACML Binding).
AttributeValue R
@DataType R Shall be urn:hl7-org:v3#CV.
hl7:CodedValue R
@code R Shall be equal to the purpose code of the case record.
@codeSystem R Shall be equal the purpose codingScheme of the case record.
ResourceAttributeDesignator R
@AttributeId R Shall be urn:ihe:iti:xds-b:2007:folder:code
@DataType R Shall be urn:hl7-org:v3#CV.
ResourceMatch for patientId

This ResourceMatch element relates to Folder.patientId and DocumentEntry.patientId.

This element applies the IHE-D Cookbook XACML binding of Folder.patientId.

Element or Attribute Opt. Constraints
ResourceMatch R
@MatchId R Shall be urn:hl7-org:v3:function:II-equal (see IHE DE Cookbook, XACML Binding).
AttributeValue R
@DataType R Shall be urn:hl7-org:v3#II.
hl7:InstanceIdentifier R
@extension R Shall be equal to the Id-Number value of the XDS Metadata Attributes patientId.
@root R Shall be equal to the Assigning-Authority value of the XDS Metadata Attributes patientId.
ResourceAttributeDesignator R
@AttributeId R Shall be urn:ihe:iti:xds-b:2007:patient-id.
@DataType R Shall be urn:hl7-org:v3#II.

Assertion Signature

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Every Policy Assertion MUST be signed by its issuer. The XML signature MUST be applied by using the saml:Assertion/ds:Signature element as defined below.

Signature Parameter Usage Convention
CanonicalizationMethod SHOULD be http://www.w3.org/2001/10/xml-exc-c14n#
Transformation Enveloped signature transform acc. to section 6.6.4 of [W3C XMLDSig] SHOULD be used (http://www.w3.org/2000/09/xmldsig#enveloped-signature). In addition, exclusive canonicalization SHOULD be defined as transformation (http://www.w3.org/2001/10/xml-exc-c14n#, acc. [W3C XMLDSig] and [W3C XML-EXC 1.0]). As inclusive namespaces other prefixes than the ones defined in EFA Namespaces MUST NOT be used.
SignatureMethod For signing assertions the signature method

http://www.w3.org/2001/04/xmldsig-more#rsa-sha256 or
http://www.w3.org/2000/09/xmldsig#rsa-sha1
SHOULD be used. An assertion consumer MAY reject signatures that use SHA-1 for digesting.

DigestMethod For signing assertions the digest method

http://www.w3.org/2000/09/xmldsig#sha1 or
http://www.w3.org/2001/04/xmlenc#sha256
SHOULD be used. An assertion consumer MAY reject SHA-1 digests.

KeyInfo This element MUST either contain a wsse:SecurityTokenReference element which references the X.509 certificate of the assertion’s issuer by using a subject key identifier OR contain a ds:X509Data element which contains the X.509 certificate of the assertion issuer.

Example Assertion

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 <soap12:Envelope  >
 <soap12:Header  >
  <wsse:Security  > 
   <saml:Assertion xmlns:saml="urn:oasis:names:tc:SAML:2.0:assertion"
     ID="uuid-6dbb391c-20d3-4568-8c04-ff9d91d049c1" 
     IssueInstant="2013-04-05T08:14:28.788Z" Version="2.0">
   <saml:Issuer>urn:de:berlin:hp:pap</saml:Issuer>
    <ds:Signature xmlns:ds="http://www.w3.org/2000/09/xmldsig#">
     <ds:SignedInfo>
      <ds:CanonicalizationMethod
       Algorithm="http://www.w3.org/2001/10/xml-exc-c14n#" />
       <ds:SignatureMethod Algorithm="http://www.w3.org/2000/09/xmldsig#rsa-sha1" />
       <ds:Reference URI="#urn:uuid:7102AC72154DCFD1F51253534608780">
        <ds:Transforms>
         <ds:Transform 
          Algorithm="http://www.w3.org/2000/09/xmldsig#enveloped-signature" />
         <ds:Transform 
          Algorithm="http://www.w3.org/2001/10/xml-exc-c14n#">
          <ec:InclusiveNamespaces 
           xmlns:ec="http://www.w3.org/2001/10/xml-exc-c14n#" 
           PrefixList="ds saml xs" />
         </ds:Transform>
        </ds:Transforms>
        <ds:DigestMethod Algorithm="http://www.w3.org/2000/09/xmldsig#sha1" />
        <ds:DigestValue>A1LyLvFHRrYaOJ28YVFd3MfKGSI=</ds:DigestValue>
       </ds:Reference>
      </ds:SignedInfo>
      <ds:SignatureValue>ggyn … LQ==</ds:SignatureValue>
      <ds:KeyInfo>
       <ds:X509Data>
        <ds:X509Certificate></ds:X509Certificate>
       </ds:X509Data>
      </ds:KeyInfo>
     </ds:Signature>
     <saml:Subject>
      <saml:NameID 
       Format="urn:oasis:names:tc:SAML:1.1:nameid-format:X509SubjectName">
       ...
      </saml:NameID>
      <saml:SubjectConfirmation 
       Method="urn:oasis:names:tc:SAML:2.0:cm:holder-of-key">
       <saml:SubjectConfirmationData>
         <ds:KeyInfo>
           <ds:X509Data>
             <ds:X509Certificate></ds:X509Certificate>
           </ds:X509Data>
         </ds:KeyInfo>
        </saml:SubjectConfirmationData/>
      </saml:SubjectConfirmation>
     </saml:Subject>
     <saml:Conditions 
      NotBefore="2013-04-05T08:14:28.788Z" 
      NotOnOrAfter="2013-04-05T12:14:28.788Z">
    </saml:Conditions>
    <xacml-saml:XACMLPolicyStatement>
<PolicySet xmlns="urn:oasis:names:tc:xacml:2.0:policy:schema:os"
  xmlns:hl7="urn:hl7-org:v3"
  xmlns:rim="urn:oasis:names:tc:ebxml-regrep:xsd:rim:3.0"
  xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
  xsi:schemaLocation="urn:oasis:names:tc:xacml:2.0:policy:schema:os access_control-xacml-2.0-policy-schema-os.xsd"
  PolicySetId="2B789DEE-9CB6-11E4-97F9-246A95DB5880"
  PolicyCombiningAlgId="urn:oasis:names:tc:xacml:1.0:policy-combining-algorithm:deny-overrides">
  <Target>
    <Resources>
      <Resource>
        <!-- ECR Folder Code -->
        <ResourceMatch MatchId="urn:hl7-org:v3:function:CV-equal">
          <AttributeValue DataType="urn:hl7-org:v3#CV">
            <hl7:CodedValue code="ECR"
              codeSystem="IHE-D-Cookbook-FolderClassCode" />
          </AttributeValue>
          <ResourceAttributeDesignator
            AttributeId="urn:ihe:iti:xds-b:2007:folder:code"
            DataType="urn:hl7-org:v3#CV" />
        </ResourceMatch>
        <!-- Purpose Folder Code -->
        <ResourceMatch MatchId="urn:hl7-org:v3:function:CV-equal">
          <AttributeValue DataType="urn:hl7-org:v3#CV">
            <hl7:CodedValue code="K70.0" codeSystem="1.2.276.0.76.5.311" />
          </AttributeValue>
          <ResourceAttributeDesignator
            AttributeId="urn:ihe:iti:xds-b:2007:folder:code"
            DataType="urn:hl7-org:v3#CV" />
        </ResourceMatch>
        <!-- Patient -->
        <ResourceMatch MatchId="urn:hl7-org:v3:function:II-equal">
          <AttributeValue DataType="urn:hl7-org:v3#II">
            <hl7:InstanceIdentifier extension="6578946"
              root="1.3.6.1.4.1.21367.2005.3.7" />
          </AttributeValue>
          <ResourceAttributeDesignator
            AttributeId="urn:ihe:iti:xds-b:2007:patient-id"
            DataType="urn:hl7-org:v3#II" />
        </ResourceMatch>
      </Resource>
    </Resources>
  </Target>

  <Policy PolicyId="urn:ecr:2.0:xacml:policyid:1"
    RuleCombiningAlgId="urn:oasis:names:tc:xacml:1.0:rule-combining-algorithm:deny-overrides">
    <Target>
      <Subjects>
        <!-- An HC professional and its role -->
        <Subject>
          <SubjectMatch MatchId="urn:oasis:names:tc:xacml:1.0:function:anyURI-equal">
            <AttributeValue DataType="http://www.w3.org/2001/XMLSchema#anyURI"
              >urn:oid:1.2.276.0.76.3.1.81.1.76.4</AttributeValue>
            <SubjectAttributeDesignator
              AttributeId="urn:oasis:names:tc:xspa:1.0:subject:organization-id"
              DataType="http://www.w3.org/2001/XMLSchema#anyURI" />
          </SubjectMatch>
          <SubjectMatch
            MatchId="urn:oasis:names:tc:xacml:1.0:function:string-equal">
            <AttributeValue DataType="http://www.w3.org/2001/XMLSchema#string"
              >physician</AttributeValue>
            <SubjectAttributeDesignator
              AttributeId="urn:oasis:names:tc:xacml:2.0:subject:role"
              DataType="http://www.w3.org/2001/XMLSchema#string" />
          </SubjectMatch>
        </Subject>
      </Subjects>
      <Resources>
        <!-- Document.availabilityStatus -->
        <Resource>
          <ResourceMatch
            MatchId="urn:oasis:names:tc:xacml:1.0:function:anyURI-equal">
            <AttributeValue DataType="http://www.w3.org/2001/XMLSchema#anyURI"
              >urn:oasis:names:tc:ebxml-regrep:StatusType:Approved</AttributeValue>
            <ResourceAttributeDesignator
              AttributeId="urn:ihe:iti:xds-b:2007:availability-status"
              DataType="http://www.w3.org/2001/XMLSchema#anyURI" />
          </ResourceMatch>
        </Resource>
      </Resources>
      <Environments>
        <Environment>
          <!-- Begin of grace period -->
          <EnvironmentMatch
            MatchId="urn:oasis:names:tc:xacml:1.0:function:dateTime-greater-than-or-equal">
            <AttributeValue DataType="http://www.w3.org/2001/XMLSchema#dateTime"
              >2014-12-24T22:00:00Z</AttributeValue>
            <EnvironmentAttributeDesignator
              AttributeId="urn:oasis:names:tc:xacml:1.0:environment:current-dateTime"
              DataType="http://www.w3.org/2001/XMLSchema#dateTime" />
          </EnvironmentMatch>
        </Environment>
      </Environments>
    </Target>
  </Policy>
</PolicySet>
      </xacml-saml:XACMLPolicyStatement>
 </saml:Assertion>
</wsse:Security>
</soap12:Header>
<soap12:Body/>
</soap12:Envelope>