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2015 IEEE 17th International Conference on High Performance Computing and Communications (HPCC), 2015 IEEE 7th

International Symposium on Cyberspace Safety and Security (CSS), and 2015 IEEE 12th International Conf on Embedded Software
and Systems (ICESS)

Auditing and Revocation Enabled Role-Based Access Control over Outsourced


Private EHRs

Weiran Liu∗ , Xiao Liu∗ , Jianwei Liu∗ , Qianhong Wu∗ , Jun Zhang∗ , Yan Li†
∗ Schoolof Electronic and Information Engineering, Beihang University, Beijing, China
Email: liuweiran900217@gmail.com; liuxiaobh@gmail.com; liujianwei@buaa.edu.cn;
qianhong.wu@buaa.edu.cn; buaazhangjun@vip.sina.com
† Aerospace Hengxing Science and Technology co. LTD, Beijing, China
Email: liyanyq@163.com

Abstract—Electronic Health Record (EHR) systems have of cloud computing may relieve healthcare providers from
an abundance of convenience for telediagnosis, medical data this issue. Instead of establishing EHR servers locally, EHRs
sharing and management. The main obstacle for wide adoption can be outsourced to a cloud storage server. In this way, the
of EHR systems is due to the privacy concerns of patients.
In this work, we propose a role-based access control (RBAC) capital and operational expenditures can be tremendously
scheme for EHR systems to secure private EHRs. In our reduced for healthcare providers, simultaneously preserving
RBAC, there are two main types of roles, namely independent EHR data availability [2], [3].
patients and hierarchically organized medical staff. A patient is There are remaining obstacles for outsourcing EHRs.
identified by his/her identity, and a medical staff is recognized Among them, privacy and security risks on patients’ health
by his/her role in the medical institute. A user can comprehend
an EHR only if he/she satisfies the access policy associated with records are considered as the dominating barriers [4], [5].
this EHR, which implies a fine-grained access control. A public Patient’s EHRs are often the target of various malicious
auditor is employed to verify whether the EHR is correctly attacks, vulnerable to loss, leakage, or theft [6]. To ensure
encapsulated with the specified access policy, which provides data privacy of EHRs, a plausible way is to encapsulate
an a priori approach to find fraudulent EHRs and prevent patients’ EHRs by encrypting them prior to outsourcing
potential medical disputes. Moreover, our RBAC enforces a
forward revocation mechanism. A revoked user cannot access them to the storage server, e.g., by applying classical private
to the future EHRs even if his/her previous role satisfies the key or public key cryptosystems. However, the problem in
access policy. We analyse the security and efficiency of our outsourcing EHRs is that the EHR owners (i.e., patients)
RBAC, showing that it is an practical solution to secure EHRs. may not know who will be allowed to access the EHRs prior
to the next diagnosis. A possible remedy is to encrypt many
Keywords-electronic health record; data privacy; role-based copies with different keys and assign each key to the doctor
access control; public audit; forward revocation; who needs to access the EHRs. However, this implies either
overwhelming key management and computational overhead
I. I NTRODUCTION [7] or failure of flexible access control [8].
The development of Electronic Health Record (EHR) New access control approaches are required to secure out-
for enabling electronic health systems has drawn extensive sourced EHRs before they are widely adopted [9]. To address
attentions from both academia and industry. Compared to this problem, we consider a typical hospital organization as
traditional Paper-Based Health Records (PBHR), EHRs can depicted in Figure 1. In such a scenario, there are two main
be stored and shared in a more flexible way. Due to its digital types of users, i.e., patients and medical staff. The patients
format, various types of health data can be contained in one’s can be recognized by their national identity numbers, social
EHR account, including prescription files, medical images security numbers or names plus their telephone numbers.
such as X-ray, B-scan, audio clips and video files. The digital The medical staff in the hospital are usually grouped hi-
feature also allows EHRs to be accessed in a convenient erarchically into a relatively small number of roles. For
manner. To find one’s EHRs, the patient and his/her doctors example, the out-patient doctors and out-patient nurses are
just need to retrieve them from the storage server, instead grouped into the role “(out-patient)”. In the department of
of seeking carefully in a piled-up archive room. These medicine, the chief doctor is recognized by the role “(Dept.
attractive properties render EHRs as a promising alternative of Medicine, chief doctor)”. Its subordinates, including head
advantageous over PBHRs. nurses, nurses and associate doctors, are all labeled with
It is a daunting task for healthcare providers who may not their roles. One may observe that in the real world the users’
have professional capabilities required to manage a large- access privileges are usually determined by their roles in the
scale EHR database with universal access. This impedes the system. This observation indicates a conceivable role-based
practicability of EHR system [1]. The recent advancement access control over outsourced EHRs.

978-1-4799-8937-9/15 $31.00 © 2015 IEEE 336


DOI 10.1109/HPCC-CSS-ICESS.2015.10
in our RBAC, including encapsulation and decapsulation,
are less than one second even when the access policies are
considerably complicated. All of these features commit the
proposed RBAC a practical solution to secure EHR systems.
II. R ELATED W ORK
It is essential to identify the potential security and privacy
threats of EHR systems in their deployment for seeking
design guidelines. Kwak [12] introduced relevant definitions
of EHR systems and summarized the available standards of
EHR systems presented by International Standards Develop-
ing Organizations (SDO). Ray and Wimalasiri [13] identified
privacy requirements for EHR systems in the context of
HealthLink in Australia and HIPAA in USA, which are
Figure 1: Typical Hospital Organization the two well-known eHealth frameworks around the world.
Recently, Li et al. [14] presented new threats against EHR
systems and indicated that EHRs are very vulnerable without
We propose a generic framework of role-based access effective privacy protection.
control (RBAC) over outsourced EHRs. We formalize the Efforts have been devoted to access control in EHR
system model and identify security and privacy requirements systems. Benaloh et al. [8] showed efficient EHR systems
in such a system. Following the generic framework, we that allow patients to both share access rights with others,
present an efficient and secure RBAC scheme for securing and to support searches over their EHRs. Löhr et al. [4]
EHRs stored in a storage server maintained by a third party presented a security architecture allowing legitimate sharing
who is not fully trusted. Specifically, our RBAC scheme is and ensuring privacy for EHR systems. Some proposals have
equipped with the following essential and attractive features. been implemented to handle access control with security
Versatile Access Control. Our RBAC offers a novel and privacy enabled approaches, including identity-based
and more efficient approach to support fine-grained access authentication [15], [16] and smartcard-based authentication
control without leveraging attribute-based encryption (ABE) [17]. Schemes exploiting multiple cryptographic primitives
[10], [11]. A user can encapsulate each EHR with an on- have been proposed to achieve additional functionalities,
demand access policy. Only the corresponding patient and e.g., cross-domain [18] and emergency [19] EHR sharing.
medical staff with roles that satisfy the access policies A plain implementation of aforementioned proposals do
can decapsulate. Scalable sharing of EHRs is supported by not achieve flexible access control. Attribute-based encryp-
allowing senior medical staff to delegate access credentials tion (ABE) [20], a new cryptographic primitive, is a novel
for their subordinates. method to obtain flexible access control in clouds [21], [22].
Provable Privacy. The security of RBAC is formally Applications have been also proposed to obtain access con-
defined. The security of our concrete construction is strict- trol [23], [5] and authentication [24] for outsourced EHRs.
ly proven under well-established assumptions. Specifically, Very recently, an access control framework of EHR systems
ones without matching roles can get no useful information was proposed [7] by combining identity-based encryption
about the EHR data, even if they collude and the storage and ABE, in which the former is employed to encapsulate
server is untrusted. EHR for patients while the latter is for medical staff.
Public Auditability. A public auditor is employed to III. S YSTEM M ODEL
verify whether the EHR is correctly encapsulated according
A. System Architecture
to the specified access policy. In this way, RBAC provides
an a priori approach to find fraudulent EHRs and prevent As illustrated in Figure 2, five entities are involved in our
potential medical disputes. RBAC: Trusted Keying Authority (TKA), Patient, Medical
Forward Revocation. An automatic revocation mechanis- Staff, Auditor and Storage Server. We assume that TKA
m is supported in RBAC scheme. The revoked user cannot is always trusted in our system. Patient, Medical Staff and
access to the future EHRs even if its previous role satisfies Auditor are untrusted but honest, i.e., they honestly execute
the access policy defined in the newly generated EHRs. the algorithms that they are responsible to execute. If they
Thorough theoretical and experimental analyses show are authorized by an access policy specified to an EHR,
the feasibility and efficiency of our RBAC in terms of they do not reveal any useful information of the EHR to
communication and computation. The encapsulation headers unauthorized entities. However, if they are not authorized
for EHRs with any access policies contain only two group by an access policy, they may be a potential adversary. We
elements. Time consumptions for all procedures involved focus on malicious attacks from unauthorized entities.

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B. Adversary Model and Security Requirements
Since inside attackers can gain more information to attack
the system than outsiders, the system will be secure against
outside attackers if it is secure against insider attacks.
Hence, we will focus on inside attackers. In practice, all
entities except TKA are likely to attack the system. A
dishonest party may try to get useful information from the
encapsulated EHRs that it is not authorized to access, or
divert from the system instructions for benefits (e.g., with
false EHRs in medical disputes). Multiple dishonest parties
Figure 2: System Model may collude to achieve this goal. In the context of such
attacks, an RBAC system is expected to meet the following
security requirements.
Data Privacy. The privacy of outsourced EHR must be
For ease of description, we assume that the owner of EHR protected for authorized access. The users (patients and
is the patient. In some specific situations, patients might not medical staff) whose roles satisfy the access policy specified
have access to their own EHRs. For example, according to in the encapsulated EHRs can have access, while any other
HIPAA, patients might not be allowed to access to their own unauthorized entities cannot get any useful information from
psychotherapy notes without proper authorization for the the encapsulated EHR data, even if they collude.
medical staff. We can follow the regulations (i.e., HIPAA) to
set parametric roles in such scenarios to meet more accurate Public Auditability. A public procedure can be employed
access control requirements. to verify whether the EHR is correctly encapsulated with
the specified access policy, which provides an a priori
All patients need to be identified individually in our R-
approach to find fraudulent EHRs and prevent potential
BAC. Their roles are labeled by their identities. Medical staff
medical disputes.
in a hospital that provides healthcare services for patients are
hierarchically organized. Each medical staff is defined by a Forward Revocation. Forward revocation mechanism
role consisting of ordered atom roles. A medical staff whose should be designed to disallow revoked users to access the
role is at higher level of the medical institute is responsible future EHRs, even if their previous roles satisfy the access
for managing other medical staff with roles at lower level, policy defined in the newly generated EHRs.
which implies a tree-like organization. For instance, as
shown in Figure 2, a medical staff in the department of IV. A C ONCRETE RBAC S CHEME
surgery with lower-level role (dept. surgery, chief doctor, A. Notations
associate doctor, doctor) consisting of different atom roles We introduce several notations to simplify the description
“dept. surgery”, “chief doctor”, “associate doctor”, “doctor”, of our RBAC. We use [a, b] to denote an integer set {a, a +
is administrated by the associate doctor in the same de- 1, · · · , b}. The role of a medical staff is denoted by a vector
partment with higher-level role (dept. surgery, chief doctor, R = (R1 , · · · , Rd ) consisting of distinct atom roles Ri .
associate doctor). The associate doctor is then managed by We define R as the number of atom roles in R and SR
the chief doctor with role (dept. surgery, chief doctor). as the atom role set associating with R. An access policy P
TKA is responsible for setting up the system and au- is defined by a role set consisting of distinct roles. Similarly,
thenticating users (patients and medical staff) to determine the number of atom roles in P and the atom role set of P
their eligibilities for accessing EHRs. All patients and can be defined accordingly. We slightly abuse the term prefix
medical staff is eventually managed by TKA. Patients and and define the prefix of a role R = (R1 , · · · , Rd ) as a role
medical staff can generate and encapsulate different kinds set denoted by P ref (R) = {(R1 , · · · , Rd ) : d ≤ d}.
of EHRs (X-ray, B-scan, etc.) associated with on-demand Similarly, wedefine the prefix of an access policy P as
access policies, and then store them in the storage server P ref (P) = R∈P P ref (R).
for sharing with the designating patient and the entitled B. Bilinear Groups
medical staff. The storage server only needs to guarantee
basic storage functionalities, such as storage management Bilinear groups have been shown useful in constructing
and integrity examination, which have been widely studied advanced access control schemes to secure EHRs [24], [19]
and implemented by existing researches [25], [26]. Before and remote storage systems [21], [22]. They are defined
storing EHRs, an auditor is employed to verify whether the by using a group generator G, an algorithm which takes
EHR is associated with the specified access policy. Only a security parameter λ as input and outputs a description
valid EHRs will be stored in the storage server. of a bilinear group, (p, G, GT , e) ← G(1λ ), where p is a

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large prime, G and GT are cyclic groups of order p, and and outputs
an efficient bilinear map e : G × G → GT satisfying: (1)   r 
 
Bilinearity: ∀g, h ∈ G, ∀a, b ∈ Zp , e(g a , hb ) = e(g, h)ab ; ACR = g2α g3 · ut0 uR
i
i
,g r
, ghr , urj j∈[1,n+1]\I .
(2) Non-degeneracy: There exists at least an element g ∈ G i∈I
such that e(g, g) has order p in GT . Note that TKA can generate access credentials for any
medical staff with authorized roles by running ACGenM
C. The Proposal
algorithm.
We are now ready to describe our scheme. Technically, our
ACDeleM(P K, ACR , R). When a junior medical staff
construction contributes in three aspects. First, we extend a
associated with role R = (R , R) is authenticated by a
recent hierarchical identity-based encryption (HIBE) scheme
supervisor associated with role R , the supervisor delegates
[27] to efficiently encrypt to multiple receiver paths. In
the access credential for the junior one by using
HIBE [27], an encryptor can only encrypt to a single
⎛  r  ⎞
path, which implies either constrained access policy or    
repetitive encryption to multiple receiver paths. Our RBAC ACR = ⎝g2α g3 · ut0 R
ui i , g r , ghr , urj ⎠
j∈[1,n+1]\I
construction supports fine-grained access control by encap- i∈I
 
sulating EHRs to any subset of hierarchically organized = a0 , a1 , a2 , {bj }j∈[1,n+1]\I
users with a short header file. Note that our RBAC offers
a novel and more efficient approach to support fine-grained where I = {i : Ri ∈ SR }, r is the random exponent used
access control without ABE systems [10], [11]. Second, we in ACR . The senior medical staff picks a random exponent
propose a new direct chosen-ciphertext secure construction R
s ← Zp and outputs the access credential
from chosen-plaintext secure encryption. Compared with ⎛  s ⎞
  
the shrink construction approach [28] which builds chosen-
⎜ a0 bR i
g3 · ut0 uR i
,⎟
ACR = ⎜ ⎟
ciphertext secure l-hierarchy HIBE from chosen-plaintext i i
i∈I\I
⎝  i∈I ⎠
secure (l + 1)-hierarchy HIBE, our approach only adds
a1 g s , a2 ghs , bj usj j∈[1,n+1]\I
one on-the-fly dummy verification role in the first hierar-
chy, instead of a hierarchy of dummy identities. Also, our where I = {i : Ri ∈ SR }.
construction allows public verification of the encapsulation By implicitly setting r = r + s, this delegated access
consistency, which implies that a single public auditor can credential can be written in the form
be employed to validate all EHRs to be outsourced. Third,   r 
  r
Ri
our RBAC facilitates forward revocation. This is realized by ACR = g2 g3 · u0
α t
ui r r
, g , gh , uj j∈[1,n+1]\I
introducing a lifetime t to each access credential and each i∈I
EHR header, where t is decided by the expired time of EHRs which is well-formed as if it were generated directly by
and published by TKA. Our scheme works as follows: TKA with the ACGenM algorithm. Hence it is a properly
Setup(λ, n). It is run by TKA to establish our RBAC. Given distributed access credential for the medical staff associated
the security parameter λ ∈ Z∗ , TKA runs (p, G, GT , e) ← with role R = (R , R).
G(1λ ) to generate a prime p, two groups G, GT or order ACGenP(P K, M SK, ID). It is run by TKA when a
p, and a bilinear map e : G × G → GT . A secure symmet- patient with identity ID requests an access credential in
ric encryption scheme εsym with algorithms SymEnc(K, order to access its own EHRs. To do so, TKA pick-
M ) and SymDec(K, M ), and a collision resistant hash R
s a random exponent r ← Zp and outputs ACID =
function H : G → Zp are also employed in the scheme.   r 
R g2α g3 · ghID , g r , urj j∈[0,n+1] .
Then, TKA selects a random generator g ← G, a random
R
exponent α ← Zp , and sets g1 ← g α . Next, it picks EHREnc(P K, ID, P, EHR). For an access policy P,
R R denote I = {i : Ri ∈ SP }. When EHR needs to be
random elements g2 , g3 , gh ← G and ui ← G for all
encapsulated under the patient’s identity ID and the access
i ∈ [0, n + 1]. The system parameter P K is published as
policy P, the user (a patient or a medical staff) first picks
P K = g, g1 , g2 , g3 , gh , {ui }i∈[0,n+1] . The master secret R
key M SK = g2α is kept by TKA. a random exponent β ← Zp and computes the first element
of the header C0 = g β . Next, the user generates the
ACGenM(P K, M SK, R). It is run when a medical staff encapsulation key K as the group element K = e(g1 , g2 )β
is authenticated by TKA. For a medical staff associated with and computes EF = SymEnc(K, EHR). Finally, the user
role R = (R1 , · · · , Rd ), denote I = {i : Ri ∈ SR }. computes w = H(C0 ) and the second element of the header
Recall that the lifetime t is published by TKA. To generate  β

an access credential for that medical staff using the master C1 = u0 · gh · un+1 · g3 ·
t ID w Ri
ui .
R
secret key M SK, TKA picks a random exponent r ← Zp i∈I

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The encapsulated EHR data is formed as (Hdr, EF ) = Theorem 1. If an EHR is correctly encapsulated with the
(C0 , C1 , EF ). specified access policy, then equation (1) holds and the
auditing can be approved.
EHRAudit(P K, ID, P, (Hdr, EF )). Before an encapsulated
EHR (Hdr, EF ) = (C0 , C1 , EF ) is outsourced to the Theorem 2. The medical staff whose role satisfies the access
storage server, the auditor verifies whether the EHR has been policy that is designated to the encapsulated EHR data can
correctly encapsulated under the specified access policy by correctly decapsulate it. The corresponding patient can also
testing the following equality correctly decapsulate his/her own EHRs.
  
?
 D. Security Results
e(g, C1 ) = e C0 , ut0 · ghID · uwn+1 · g3 · uiRi (1)
i∈I
The following states that the proposed RBAC scheme
achieve the security requirements described in Sec. III-B.
where I = {i : Ri ∈ SP }, w = H(C0 ). If the equality holds, Formal security analysis is given in the full version.
the auditor outputs V alid to indicate the EHR encapsulation
is valid. Otherwise, it outputs Invalid to alarm related Data Privacy. The privacy of EHRs is protected by applying
parties. Note that the inputs of algorithm EHRAudit are a secure symmetric encryption scheme εsym such as AES
all publicly known; so the auditing can be verified publicly. [29]. The message encapsulation key K can only be obtained
by the corresponding patient and the medical staff with
EHRDecM(P K, ID, P, (Hdr, EF ), ACR ). Given the matching roles. The ones whose roles do not satisfy the
encapsulated data (Hdr, EF ) = (C0 , C1 , EF ) stored in the access policy cannot extract K, and hence cannot obtain
EHR storage server, a medical staff whose role R satisfies useful information from the encapsulated EHRs.
the access policy P, that is, R ∈ P ref (P), can use
its access credential to decapsulate the EHR. Suppose the Public Auditability. The public auditing procedure ensures
access credential for the medical staff with role R is the legitimacy of the encapsulated EHR. The inequality
  of the auditing equation (1) shows that the EHR is not
ACR = a0 , a1 , a2 , {bj }j∈[1,n+1]\I encapsulated with the specified access policy.
where I = {i : Ri ∈ SR }. Denote I = {i : Ri ∈ SP }. The Forward Revocation. The lifetime t has embedded in the
medical staff computes access credentials of medical staff. Hence, they can only
⎛ ⎞ decapsulate EHR data during the given lifetime. Newly
 uploaded EHR data under lifetime t = t cannot be decap-
K = e ⎝a0 · aID
2 · bn+1 ·
w
bi i , C0 ⎠/e(C1 , a1 )
R
sulated by expired access credentials of medical staff. The
i∈I\I
patients, on the other hand, can still correctly decapsulate his
where w = H(C0 ). It finally runs EHR = own EHRs since the lifetime is not embedded in their access
SymDec(K, EF ) to get EHR. credentials. However, due to the fact that the identity has
been embedded in the his/her access credential, the patient
EHRDecP(P K, ID, P, (Hdr, EF ), ACID ). The patient with can only access EHRs that are encapsulated with his/her
identity ID can decapsulate his/her own EHRs using his/her identity.
access credential. Suppose the access credential ACID for
the patient associated with identity ID is V. P ERFORMANCE A NALYSES
  r   In our RBAC, the encapsulation procedure (EHREnc)
ACID = g2α · g3 ghID , g r , urj j∈[0,n+1]
  requires one pairing operation (which can be pre-computed).

= a0 , a1 , bj j∈[0,n+1] . The public audit procedure (EHRAudit), the decapsulation
procedures (EHRDecM and EHRDecP) require two pairing
Denote I = {i : Ri ∈ SP }. The patient computes the operations. The scheme is efficient in computation. For any
message encapsulation key subset of receivers (patients or medical staff), the header
  of the encapsulated EHR data always contains two group
 Ri
 t w
K = e a0 · b 0 · b n+1 · b i , C0 /e(C1 , a1 )
 elements in G. The system parameter, the master secret key
i∈I
and the access credentials (of patients or medical staff) are
linear with the maximal atom role number. The detailed
where w = H(C0 ), and also runs EHR = efficiency analyses is presented in the full version.
SymDec(K, EF ) to decapsulate its own EHRs.
ACKNOWLEDGMENT
Correctness. The correctness of our RBAC is guaranteed
by Theorem 1 and Theorem 2. The proofs are shown in the This paper is partially supported by the National Key
full version of the paper. Basic Research Program (973 program) through project
2012CB315905, by the Natural Science Foundation through

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projects 61272501, 61173154, 61370190 and 61003214, by [15] C. C. Tan, H. Wang, S. Zhong, and Q. Li, “Body sensor
the Fundamental Research Funds for the Central Universities network security: An identity-based cryptography approach,”
through project No.YWF-15-GJSYS-059, by the Innovation in WiSec ’08. ACM, 2008, pp. 148–153.
Fund of China Aerospace Science and Technology Corpora- [16] ——, “Ibe-lite: A lightweight identity-based cryptography for
tion Satellite Application Research Institute through project body sensor networks,” IEEE Transactions on Information
2014-CXJJ-TX-10, and by the Beijing Natural Science Technology in Biomedicine, vol. 13, no. 6, pp. 926–932, 2009.
Foundation through project 4132056.
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