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esMD Author of Record L1 Use Case Meeting

esMD Author of Record L1 Use Case Meeting. Friday, August 3, 2012. Meeting Etiquette. From S&I Framework to Participants: Hi everyone: remember to keep your phone on mute . NOTE: This meeting is being recorded and will be posted on the esMD Wiki page after the meeting.

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esMD Author of Record L1 Use Case Meeting

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  1. esMD Author of Record L1Use Case Meeting Friday, August 3, 2012

  2. Meeting Etiquette From S&I Framework to Participants: Hi everyone: remember to keep your phone on mute  NOTE: This meeting is being recorded and will be posted on the esMD Wiki page after the meeting • Please announce your name each time prior to making comments or suggestions during the call • Remember: If you are not speaking keep your phone on mute • Do not put your phone on hold – if you need to take a call, hang up and dial in again when finished with your other call • Hold = Elevator Music = very frustrated speakers and participants • This meeting, like all of our meetings, is being recorded • Another reason to keep your phone on mute when not speaking! • Feel free to use the “Chat” or “Q&A” feature for questions or comments

  3. Use Case Overview Agenda

  4. Recap of the Last Meeting • Reviewed initial of the Scenario and the User Story sections • Provided overview of the new Wiki navigation bar and where to find information for weekly meeting agendas, previous esMD use cases, meeting materials etc. • Began discussion of the Charge and Scope of work for Identity Proofing and Digital Credentials.  • If you would like to sign up to participate in one or more SWGs, please visit the following page: http://wiki.siframework.org/AoR+L1+Use+Case+-+Subworkgroups+Home+Page

  5. Today’s Objectives • Review any community feedback for items discussed during the last meeting • Scenario • User Story • Review updates made to Scope, Post Conditions and Context Diagram based on 8/1 discussion about Acknowledgement sent to Provider Entity from Payer Entity • Continue discussions for the charge and deliverables for each of the Sub-workgroups introduced during the last call • Digital Signatures • Delegation and Proxy

  6. Use Case Outline – Where are we?Note- This is tailored for each Initiative • 10.0 Scenario 1, 2, x… • 10.1 User Story 1, 2, x, … • 10.2 Activity Diagram • 10.2.1 Base Flow • 10.2.2 Alternate Flow • 10.3 Functional Requirements • 10.3.1 Information Interchange Requirements • 10.3.2 System Requirements • 10.4 Sequence Diagram • 11.0 Dataset Requirements • 12.0 Risks, Issues and Obstacles • Appendices • Related Use Cases • Previous Work Efforts • References • 1.0 Preface and Introduction • 2.0 Initiative Overview • 2.1 Initiative Challenge Statement • 3.0 Use Case Scope • 3.1 Background • 3.2 In Scope • 3.2 Out of Scope • 3.3 Communities of Interest • 4.0 Value Statement • 5.0 Use Case Assumptions • 6.0 Pre-Conditions • 7.0 Post Conditions • 8.0 Actors and Roles • 9.0 Use Case Diagram

  7. Scenario and User Story Review (Separate Word Document)

  8. Updates to previously reviewed Use Case Sections

  9. Scope AoR (L1)Updates in Red Out of Scope Interactions between: • Payer and its Payer Contractors • Provider and its Agent • Payer or Payer Contractor and its Gateway Transaction level encryption Document level signatures and individual contribution signatures (AoR Levels 2,3) Defining delegation of rights within and between Providers and other authors (AoR Levels 2,3) • In Scope • Identity Proofing as part of Non-Repudiation of Actor Identity • Digital Credential Management required for Non-Repudiation Actions (Signingand Delegation), Data Integrity and Encryption • Digital Signatures and Signature Artifacts for Identity and Non-Repudiation • Digital Credentials and Artifacts for Non-Repudiation of Delegation as required by UC1 and AoR L1 • Data Integrity requirement actions and artifacts • Encryption of PHI requirements • Payer Entity validates submission signature and encryption artifacts • Payer Entity acknowledges validity* of submission to Provider Entity • Interactions between Provider Entity or Payer Entity and: • Certificate Authority • Registration Authority • External Provider Directory • And each other • *Define Validity of submission -

  10. AoR L1 – Updated Context DiagramDigital Identities and Bundle Level SignaturesNew step in Red Registration Authority Certificate Authority External Provider Directory Provider Entity Payer Entity esMD UC 1: Provider Registration Contractors / Intermediaries Agent esMD UC 2: Secure eMDR Transmission Gateway Provider (Individual or Organization) esMD AoR Level 1 Digital Signature on Aggregated Document Bundle Payer Payer Internal System • Acknowledge validity of signature and encryption artifacts 10

  11. Post ConditionsUpdates in Red Incorporated #1 below into the User Story and Scope of AoR L1 work • Post submission credential and signature artifact processing required by the transmission standard • Payer Entity information system process the Document Bundle

  12. AoR Subworkgroup Discussion Dan Kalwa & Bob Dieterle

  13. Sub WorkGroup: Identity Proofing Deliverable: “Summary White Paper” • Assumptions • Statement of Problem • Recommended Solution(s) • Review of Standards (e.g. NIST, FICAM) • Certification requirements for RAs • Proof of identity requirements for • Entities • Individuals • Allowed proofing processes (e.g. as part of credentialing?) • Frequency of Identity review • Appeals process for denial • Variation based on specific credentials/use? • Revocation (triggers and process) • Identify gaps in current policy impacting Identity Proofing • References • Type: Sub workgroup • Makeup • Leadership: • SMEs: • Community: • Goal • Define required process for identity proofing of healthcare individuals and organizations for esMD • Requirements • NIST SP 800-63 Level 3 authentication (V 1.0.2) 2006 • In-Scope • RA qualifications and certification • Combining RA process with other healthcare identity proofing (e.g. credentialing) • Policy issues regarding identity proofing • Out-of-Scope • Digital Credential Management • Digital Signatures • Proxy or Delegation

  14. Sub WorkGroup: Digital Credentials Out-of-Scope • Identity Proofing • Digital Signatures Deliverable: “Summary White Paper” • Assumptions • Statement of Problem • Recommended Solution(s) • Review of standards (e.g. NIST, FBCA, FICAM) • CA qualifications and list • Issuance process • Credential types and forms • Credential uses (Identity, Signing, Proxy, Encryption, Data Integrity) • Specific use credentials (e.g. Direct, DEA) • Maintenance requirements • Revocation process • Trust anchor validation • Non-repudiation assurance • Identify gaps in current policy impacting Digital Credentials • References • Type: Sub workgroup • Makeup • Leadership: • SMEs: • Community: • Goal • Define required process for issuing and managing digital credentials for esMD • Requirements • NIST SP 800-63 Level 3 authentication (V 1.0.2) 2006 • Federal Bridge Certification Authority (FBCA) certified Medium Level • Digital Certificates must be X.509 V3 based • Must be from CA cross-certified with FB • Must provide for non-repudiation as part of the credentials and artifacts • In-Scope • Digital credential life cycle • Relevant standards • Policy issues regarding Digital Credentials

  15. Sub WorkGroup: Digital Signatures Out-of-Scope • AoR L2 • AoR L3 Deliverable: “Summary White Paper” • Assumptions • Statement of Problem • Recommended Solution(s) • Review of Standards (e.g. OASIS, IHE, HL7, …) • Transaction signature process • Transaction artifacts to meet Use Case 1 and 2 requirements • Document Bundle signature process • Artifacts to meet AoR L1 requirements • Data Integrity requirements • Non-repudiation assurance • Identify gaps in current policy impacting Digital Signatures • References • Type: Sub workgroup • Makeup • Leadership: • SMEs: • Community: • Goal • Define process, artifacts and standards for transaction and document bundle digital signatures for esMD • Requirements • Must provide for non-repudiation as part of the credentials and artifacts • Must ensure data integrity • In-Scope • Use Case 1 and 2 transactions • AoR L1 (Signature binding to aggregated document bundle) • Signature workflow • Signature artifacts • Identification of relevant standards

  16. Sub WorkGroup: Delegation and Proxy Deliverable: “Summary White Paper” • Assumptions • Statement of Problem • Recommended Solution(s) • Review of Standards (e.g. OASIS, IHE, HL7, …) • Proxy/Delegation Credential/Artifact(s) • Operational consideration for Proxy/Delegation Creation • Scope/Content of Proxy/Delegation • Revocation of Proxy • Credential Transaction proxy requirements • Transaction artifacts to meet Use Case 1 requirements • Document Bundle proxy signature process • Artifacts to meet AoR L1 signature proxy requirements • Data Integrity requirements • Non-repudiation assurance • Identify gaps in current policy impacting Delegation & Proxy • References • Type: Sub workgroup • Makeup • Leadership: • SMEs: • Community: • Goal • Define credentials, artifacts and process for Delegation of Rights for esMD • Requirements • Must provide for non-repudiation (NIST definition) as part of the credentials and artifacts • Revocable • In-Scope • Use Case 1 and AoR L1 Delegation of Rights requirements • Delegation/Proxy workflow • Delegation/Proxy artifacts • Identification of relevant standards • Out-of-Scope • AoR L2 • AoR L3

  17. Areas to Address *Non-repudiation (NIST) - Non-repudiation is a service that is used to provide assurance of the integrity and origin of data in such a way that the integrity and origin can be verified by a third party. This service prevents an entity from successfully denying involvement in a previous action. **Data Integrity (NIST) - Data integrity is a property whereby data has not been altered in an unauthorized manner since it was created, transmitted or stored. Alteration includes the insertion, deletion and substitution of data.

  18. User Story Components / Workflow / Sub-workgroups (4) Note - Sub-workgroup leaders & meeting schedule is TBD at this time

  19. User Story -- Additional Components / Workflow

  20. Content available on Wiki from previous meetings • Assumptions, Pre and Post Conditions -http://wiki.siframework.org/AoR+UC+L1+-+Assumptions%2C+Pre+and+Post+Conditions • Actors and Roles - http://wiki.siframework.org/AoR+L1+-+Actors+and+Roles • Communities of interest table - http://wiki.siframework.org/AoR+L1+-+Communities+of+Interest • User Story - http://wiki.siframework.org/AoR+UC+L1+-+User+Story • Glossary - http://wiki.siframework.org/AoR+L1+Use+Case+-+Glossary+of+Terms • In Scope and Out of Scope Items - http://wiki.siframework.org/AoR+Use+Case+L1+-+In-Scope+and+Out+of+Scope • Use Case Context Diagram - http://wiki.siframework.org/AoR+Use+Case+Context+Diagram

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