1. Ire Ogunsina, Sarah N. Lim Choi Keung, Lei Zhao, Gavin Langford, Edward Tyler, Theodoros N. Arvanitis University of Birmingham & Birmingham and Black Country Comprehensive Local Research Network, United Kingdom {i.ogunsina, s.n.limchoikeung, l.zhao, e.tyler, t.arvanitis}@bham.ac.uk, Gavin.Langford@uhb.nhs.uk 22 nd November 2011 Presented by James Rossiter j.rossiter@bham.ac.uk University of Birmingham, UK

2.  Research systems in Secondary Health care  Part of a larger multi-specialty Electronic Healthcare Record (EHR) system  Use cases exclude emergency access to patient data  Access control not authentication James Rossiter | j.rossiter@bham.ac.uk

3.  Patient data is: ◦ critical for research purposes ◦ stored in various EHR systems  System must be Caldicott-compliant: ◦ all access should be on ‘need to know’ basis ◦ must adhere to ethical and legal standards  Researchers, our system users: ◦ belong to different specialties ◦ different health organizations ◦ have different research objectives  Interoperable, multi-specialty, Hospital Enterprise Information Management Systems are the key to better research James Rossiter | j.rossiter@bham.ac.uk

5.  Access on need to know basis  Enhancements to Role-Based Access Control (RBAC)  Legitimate Relationships (LR) ◦ user can only access data if involved in a patient’s care  Sealed Envelopes (SE) ◦ allow selected data to be accessible by outside specialists  Patient Consent (PC) ◦ indicates patient’s choice on participation in research activities James Rossiter | j.rossiter@bham.ac.uk

6.  Standard RBAC problems include ◦ separation of duty – multiple roles and permissions ◦ role precedence – inconsistency with multiple role users  Extend traditional RBAC systems ◦ create/define roles ◦ make roles hierarchical ◦ assign researchers to roles James Rossiter | j.rossiter@bham.ac.uk

7.  Licensed third party resources ◦ software licenses ◦ algorithms ◦ may have hospital or patient based terms and conditions  Protecting access to licensed resources ◦ use same approach as patient data James Rossiter | j.rossiter@bham.ac.uk

10.  Policy object can be of type: ◦ trust ◦ specialty ◦ patient ◦ researcher ◦ role ◦ action ◦ resource  XML based descriptions of: ◦ permissions ◦ dates ◦ others James Rossiter | j.rossiter@bham.ac.uk

11. Sealed envelope Patient consent Patient consents but wishes to hide HIV status: COPD researcher is member of UHB trust, which has license for HADS resource: Composite policy type

12. James Rossiter | j.rossiter@bham.ac.uk  Availability of data or resource determined by: ◦ policy aggregation model ◦ access decision framework

13. James Rossiter | j.rossiter@bham.ac.uk  EHR systems are critical to research quality  Strict adherence to ethical and legal guidelines is required  Traditional RBAC limited in complexity and scope  New systems must allow for multi-specialty collaboration  Our policy based approach allows for more complex patient and resource based access control

14. Dr James Rossiter School of Electronic, Electrical and Computer Engineering University of Birmingham UK j.rossiter@bham.ac.uk  Any questions?