Kenya eClaims Implementation Guide - Local Development build (v0.1.0) built by the FHIR (HL7® FHIR® Standard) Build Tools. See the Directory of published versions

Security & Privacy

Security & Privacy

1. Transport Security

All FHIR API endpoints exchanging data under this IG SHALL enforce the following transport-layer controls:

2. Authentication

All actors transmitting or receiving FHIR resources under this IG SHALL authenticate using one of the following mechanisms:

2.1 OAuth 2.0 / SMART on FHIR

The preferred authentication framework for EMR-to-HIE and HIE-to-SHA interactions. Implementations SHALL support:

• Client Credentials Flow (system-to-system, no user interaction) — for automated EMR batch submissions
• Authorization Code Flow (user-authorized access) — for provider portal interactions
• Token Format: JSON Web Token (JWT) signed with RS256
• Token Lifetime: Access tokens SHALL NOT exceed 1 hour; refresh tokens SHALL NOT exceed 24 hours for clinical sessions
• Scopes: Minimum required scopes are system/Claim.write, system/ClaimResponse.read, system/Coverage.read

2.2 Mutual TLS (mTLS)

For system-to-system integrations between the HIE and SHA where OAuth infrastructure is not feasible, mutual TLS client certificate authentication MAY be used as an alternative. Client certificates must be issued by DHA's certificate authority.

2.3 API Keys

API keys SHALL NOT be used as the sole authentication mechanism for any endpoint transmitting PHI. They MAY be used as a secondary factor alongside OAuth tokens for rate-limiting purposes.

3. Authorization

3.1 Role-Based Access Control (RBAC)

Implementations SHALL enforce role-based access controls that restrict which actors can perform which FHIR operations:

3.2 Resource-Level Authorization

• Providers SHALL only access claims and coverage records for patients registered under their facility.
• SHA SHALL only expose ClaimResponse resources to the provider that submitted the corresponding Claim.
• Cross-provider claim data access requires explicit patient consent or a regulatory override documented in an AuditEvent.

4. Data Privacy

4.1 Personal Health Information (PHI)

All FHIR resources defined in this IG contain PHI as defined by the Kenya Data Protection Act 2019 (personal identifiers, health conditions, financial data). The following obligations apply:

• Purpose Limitation: PHI collected for claims adjudication SHALL NOT be used for commercial purposes without explicit patient consent.
• Data Minimization: FHIR Bundles SHALL include only the data elements required for the specific transaction. Implementers MUST NOT include free-text narrative fields containing sensitive information beyond what is specified in profile constraints.
• Retention: Claim data SHALL be retained for the minimum period required by the Kenya Medical Records Act and SHALL be securely disposed of thereafter.
• Patient Rights: Patients have the right to access and correct their claims data. Systems SHALL provide a mechanism to respond to Data Subject Access Requests (DSARs) as required by the Data Protection Act.

4.2 Pseudonymization and De-identification

• For analytics and research use cases, all PHI SHALL be de-identified or pseudonymized before processing.
• The national MPI assigns a pseudonymous SHA Number that MAY be used in place of the National ID for patient identity in non-clinical contexts.

5. Audit Logging

All FHIR operations performed under this IG SHALL generate audit log entries conforming to the IHE ATNA (Audit Trail and Node Authentication) profile. At minimum, each audit record SHALL capture:

Audit logs SHALL be:

• Immutable and tamper-evident (append-only storage or blockchain-backed)
• Retained for a minimum of 7 years
• Accessible only to authorized audit personnel and regulatory bodies
• Transmitted to the HIE's central audit log repository via the ATR (Audit Record Repository) endpoint

6. Data Integrity

• All FHIR Bundles SHALL include a Bundle.meta.lastUpdated timestamp.
• Digital signatures on Bundles are RECOMMENDED for preauthorization requests using the FHIR Signature datatype with a provider's registered digital certificate.
• Claim identifiers (Claim.identifier) SHALL be globally unique within the submitting system's namespace (system + value pair).
• Duplicate submission detection: SHA SHALL reject any Claim with an identifier that matches a previously accepted claim within the same fiscal year from the same provider.

7. Incident Response

In the event of a suspected data breach involving PHI transmitted under this IG:

1. The affected system SHALL notify the DHA Security Operations Centre within 24 hours of detection.
2. DHA SHALL notify the Office of the Data Protection Commissioner (ODPC) within 72 hours as required by the Data Protection Act 2019.
3. Affected patients SHALL be notified if the breach poses a high risk to their rights and freedoms.
4. A post-incident report SHALL be filed with ODPC within 30 days, documenting root cause, impact scope, and remediation actions.

Contact: security@dha.go.ke

8. Conformance to Security Standards

Implementations claiming conformance to this IG are expected to comply with:

• FHIR Security — HL7 base security guidance
• IHE ATNA — Audit Trail and Node Authentication
• IHE IUA — Internet User Authorization (OAuth 2.0 for FHIR)
• SMART App Launch — SMART on FHIR authorization framework
• Kenya Data Protection Act 2019 — National data protection law
• Kenya Digital Health Act 2023 — Digital health governance framework