This appendix provides a reference to the Audit Message XML Schema and an example of an Audit Message.
D.1 Audit Message XML Schema Reference
<xs:schema xmlns:xs="http://www.w3.org/2001/XMLSchema"
elementFormDefault="qualified" attributeFormDefault="unqualified">
<xs:element name="AuditMessage">
<xs:complexType>
<xs:sequence>
<xs:element name="EventIdentification"
type="EventIdentificationType" />
<xs:element name="ActiveParticipant"
maxOccurs="unbounded">
<xs:complexType>
<xs:complexContent>
<xs:extension base="ActiveParticipantType" />
</xs:complexContent>
</xs:complexType>
</xs:element>
<xs:element name="AuditSourceIdentification"
type="AuditSourceIdentificationType" maxOccurs="unbounded" />
<xs:element name="ParticipantObjectIdentification"
type="ParticipantObjectIdentificationType" minOccurs="0"
maxOccurs="unbounded" />
</xs:sequence>
</xs:complexType>
</xs:element>
<xs:complexType name="EventIdentificationType">
<xs:sequence>
<xs:element name="EventID" type="CodedValueType" />
<xs:element name="EventTypeCode" type="CodedValueType"
minOccurs="0" maxOccurs="unbounded" />
</xs:sequence>
<xs:attribute name="EventActionCode" use="optional">
<xs:simpleType>
<xs:restriction base="xs:string">
<xs:enumeration value="C">
<xs:annotation>
<xs:appinfo>Create</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="R">
<xs:annotation>
<xs:appinfo>Read</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="U">
<xs:annotation>
<xs:appinfo>Update</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="D">
<xs:annotation>
<xs:appinfo>Delete</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="E">
<xs:annotation>
<xs:documentation>Execute</xs:documentation>
</xs:annotation>
</xs:enumeration>
</xs:restriction>
</xs:simpleType>
</xs:attribute>
<xs:attribute name="EventDateTime" type="xs:dateTime"
use="required" />
<xs:attribute name="EventOutcomeIndicator" use="required">
<xs:simpleType>
<xs:restriction base="xs:integer">
<xs:enumeration value="0">
<xs:annotation>
<xs:appinfo>Success</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="4">
<xs:annotation>
<xs:appinfo>Minor failure</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="8">
<xs:annotation>
<xs:appinfo>Serious failure</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="12">
<xs:annotation>
<xs:appinfo>
Major failure; action made unavailable
</xs:appinfo>
</xs:annotation>
</xs:enumeration>
</xs:restriction>
</xs:simpleType>
</xs:attribute>
</xs:complexType>
<xs:complexType name="AuditSourceIdentificationType">
<xs:sequence>
<xs:element name="AuditSourceTypeCode" type="CodedValueType"
minOccurs="0" maxOccurs="unbounded" />
</xs:sequence>
<xs:attribute name="AuditEnterpriseSiteID" type="xs:string"
use="optional" />
<xs:attribute name="AuditSourceID" type="xs:string"
use="required" />
</xs:complexType>
<xs:complexType name="ActiveParticipantType">
<xs:sequence minOccurs="0">
<xs:element name="RoleIDCode" type="CodedValueType"
minOccurs="0" maxOccurs="unbounded" />
</xs:sequence>
<xs:attribute name="UserID" type="xs:string" use="required" />
<xs:attribute name="AlternativeUserID" type="xs:string"
use="optional" />
<xs:attribute name="UserName" type="xs:string" use="optional" />
<xs:attribute name="UserIsRequestor" type="xs:boolean"
use="optional" default="true" />
<xs:attribute name="NetworkAccessPointID" type="xs:string"
use="optional" />
<xs:attribute name="NetworkAccessPointTypeCode"
use="optional">
<xs:simpleType>
<xs:restriction base="xs:unsignedByte">
<xs:enumeration value="1">
<xs:annotation>
<xs:appinfo>
Machine Name, including DNS name
</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="2">
<xs:annotation>
<xs:appinfo>IP Address</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="3">
<xs:annotation>
<xs:appinfo>Telephone Number</xs:appinfo>
</xs:annotation>
</xs:enumeration>
</xs:restriction>
</xs:simpleType>
</xs:attribute>
</xs:complexType>
<xs:complexType name="ParticipantObjectIdentificationType">
<xs:sequence>
<xs:element name="ParticipantObjectIDTypeCode"
type="CodedValueType" />
<xs:choice minOccurs="0">
<xs:element name="ParticipantObjectName"
type="xs:string" minOccurs="0" />
<xs:element name="ParticipantObjectQuery"
type="xs:base64Binary" minOccurs="0" />
</xs:choice>
<xs:element name="ParticipantObjectDetail"
type="TypeValuePairType" minOccurs="0" maxOccurs="unbounded" />
</xs:sequence>
<xs:attribute name="ParticipantObjectID" type="xs:string"
use="required" />
<xs:attribute name="ParticipantObjectTypeCode" use="optional">
<xs:simpleType>
<xs:restriction base="xs:unsignedByte">
<xs:enumeration value="1">
<xs:annotation>
<xs:appinfo>Person</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="2">
<xs:annotation>
<xs:appinfo>System object</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="3">
<xs:annotation>
<xs:appinfo>Organization</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="4">
<xs:annotation>
<xs:appinfo>Other</xs:appinfo>
</xs:annotation>
</xs:enumeration>
</xs:restriction>
</xs:simpleType>
</xs:attribute>
<xs:attribute name="ParticipantObjectTypeCodeRole"
use="optional">
<xs:simpleType>
<xs:restriction base="xs:unsignedByte">
<xs:enumeration value="1">
<xs:annotation>
<xs:appinfo>Patient</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="2">
<xs:annotation>
<xs:appinfo>Location</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="3">
<xs:annotation>
<xs:appinfo>Report</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="4">
<xs:annotation>
<xs:appinfo>Resource</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="5">
<xs:annotation>
<xs:appinfo>Master file</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="6">
<xs:annotation>
<xs:appinfo>User</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="7">
<xs:annotation>
<xs:appinfo>List</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="8">
<xs:annotation>
<xs:appinfo>Doctor</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="9">
<xs:annotation>
<xs:appinfo>Subscriber</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="10">
<xs:annotation>
<xs:appinfo>Guarantor</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="11">
<xs:annotation>
<xs:appinfo>
Security User Entity
</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="12">
<xs:annotation>
<xs:appinfo>Security User Group</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="13">
<xs:annotation>
<xs:appinfo>Security Resource</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="14">
<xs:annotation>
<xs:appinfo>
Security Granualarity Definition
</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="15">
<xs:annotation>
<xs:appinfo>Provider</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="16">
<xs:annotation>
<xs:appinfo>Report Destination</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<xs:enumeration value="17">
<xs:annotation>
<xs:appinfo>Report Library</xs:appinfo>
</xs:annotation>
</xs:enumeration>
<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>
Example of Audit Message
<AuditMessage>
<EventIdentification EventActionCode="E" EventDateTime="2012-08-16T05:30:00.450-07:00" EventOutcomeIndicator="0">
<EventID code="110100" codeSystemName="DCM" displayName="Application Activity"></EventID>
<EventTypeCode code="110120" codeSystemName="DCM" displayName="Application Start"></EventTypeCode>
</EventIdentification>
<ActiveParticipant AlternativeUserID="19041@hiadev001" NetworkAccessPointID="10.145.240.60" NetworkAccessPointTypeCode="2" UserID="root" UserIsRequestor="false">
<RoleIDCode code="110150" codeSystemName="DCM" displayName="Application"></RoleIDCode>
</ActiveParticipant>
<AuditSourceIdentification AuditSourceID="10.145.240.60@REGISTRY_ORACLE_HIM"></AuditSourceIdentification>
</AuditMessage>
