James Cabral, David Webber, Farrukh Najmi, July 2012.

POLICY CONTROL PROFILES WITH GRA

AND NIEMJames Cabral, David Webber, Farrukh Najmi,

July 2012

EXECUTIVE OVERVIEW

Managing information privacy and access policies has become a critical need and technical challenge. The desired solution should be ubiquitous, syntax neutral but a simple and lightweight approach that meets the legal policy requirements though the application of clear, consistent and obvious assertions.

Today we have low-level tools that developers know how to implement with, and we have legal documents created by lawyers, but then there is a chasm between these two worlds.

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LEGAL AND RULES TECHNOLOGIES

The RuleML community has long understood this and developed and is developing new and improved methods and solutions. The challenge is in taking these approaches and being able to apply these to NIEM XML based information sources in a high level conceptual way that is accessible to information analysts and general NIEM practitioners, rather than the provence of specialized XML-programmers only.

Then we also need these techniques to be broadly applicable, using existing open public software standards and tools so we can enable the widest possible adoption within the NIEM community.

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APPROACH

The solution we are introducing will: Provide a clear declarative assertions based

method, founded on policy approaches developed by the rules community,

Leveraging open software standards and tools and Enabling business information analysts to apply and

manage the policy profiles

Show illustrative design time and run time examples by:

Visually assigning exchange components and rule assertions

Show applying this to retrieval of documents stored with registry and repository services.

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APPLICATION SCENARIO OVERVIEW

Electronic Policy Statements 5

Policy Rules

Portal

User Dashboard

11

Apply Policy Rules to Requested Case Content

44Users see only

information

permitted by

their role and

policy profile

Request

Output Templates

Output TemplatesInformation

Requests

22

Case Management

Registry

Services

33

Output Templates

Output Templates

Case Documents

XML

Response

Output Templates

Output TemplatesRequested Information

55

User Profiles

PRESENTATION AGENDA

Part 1 Problem introduction and policy

methods overview Part 2

Design time technical walkthrough of rule assertions example

Part 3 Run time deployment with registry

services

PART 1 – PROBLEM INTRODUCTIONPolicy Methods Overview

USE CASE – SAR CASE MANAGEMENT

Three levels of information access Citizen level reporting - SAR statistics Local law enforcement officials - case

review State and Federal - case management

and coordination This means three profiles:

Profile 1 - Registry query - statistics results Profile 2 - Local staff Profile 3 - Regional staff

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SAR – Suspicious Activity Report

POLICY GRANULARITY

Electronic Policy Statements

Coarse-Grained

Role-based authorization of subjects.

Access granted to coarse-grained data objects.

E.g., “Permit law enforcement to access the NCIC Wanted Persons Database.”

Fine-Grained

Attribute-based authorization of subjects.

Access limited to specific data objects based on attributes.

E.g., “Permit law enforcement to access criminal history records if the records were

created by the requester’s agency.”

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Actions.

RULE AND CONTEXT METADATA


Properties of the access rules and environment.

• Conditions.– Subject.– Resource.– Policy.

• Obligations.

Express policies in a structured language (e.g., XML)

Identify requesters Compare data collection

and release purposes Enforce retention rules Notify data owners and

subscribers Verify compliance

PRIVACY AND SECURITY ARCHITECTURES

Privacy and Security Architectures 11

MAPPING TO DATA STANDARDS


User Metadata

• GFIPM

Content Metadata

• NIEM• GFIPM

Actions

• XACML

Electronic

Policy Statement

s

A mechanism to specify policy rules in unambiguous terms

XML Access Control Markup Language (XACML) Machine-

readable Supports

federated and dynamic policies

POLICY AUTHORING LANGUAGE


XACML ARCHITECTURE


Term

Description

PAP Policy Administration Point - Point which manages policies

PDP Policy Decision Point - Point which evaluates and issues authorization decisions

PEPPolicy Enforcement Point - Point which intercepts user's access request to a resource and enforces PDP's decision.

PIPPolicy Information Point - Point which can provide external information to a PDP, such as LDAP attribute information.

http://en.wikipedia.org/wiki/XACML

XACML STATEMENTS


PolicySets

Policies

Rules•Obligations•FunctionsTarget

s

Policy Matrix Rule XACML StatementParty Subject to Rule

Subject Condition(s) Conditions.Subject(s) Subject(s).Subject Information Context Subject(s) attributes.

Rule Action Action(s). Action(s) attributes.Data Resource Subject to Rule

Target Resource(s) Resource(s).Other Resource Context Resource(s) attributes.Other Resource Conditions Conditions.

Circumstances in Which the Rule Applies

General or Action Policy Conditions Purpose(s).

Obligations and Environments If [zero or more [Subject(s) Action(s) and/or Resource(s), and/or Environment(s) attributes) [Condition(s)] are met] with [zero or more Obligation(s) to be performed].

Rule Activity Deny/Permit by Statute/Policy Effect = PERMIT or DENY.

Administrative Information Precedence PolicyCombiningAlgorithm(s), RuleCombiningAlgorithm(s).

References PolicyID, RuleID.Linkages PolicyID, RuleID.Policy Matrix Editors Does not translate to XACML.

ENCODING RULES INTO XACML


PART 2 – DESIGN TIME WALKTHROUGH

Design Time Rule Assertions Concepts

USING POLICY TEMPLATES

Traditional NIEM approach focuses on the information exchange data handling

Uses XSD schema to define content structure and metadata

Need is for a bridge between the NIEM schema, the XML information instances and the XACML rule assertion language

Approach is based on visual content structure templates with declarative rule assertions

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D E P L O Y E D

APPROACH IN A NUTSHELL

XACML

Engine

Rule Assertions

P O L I C I E S

Output Templates

Output TemplatesExchange Structures

Policy Assertion Template

Policy Assertion Template

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S C H E M A

NIEM

IEPD

11

XACML Generation

Tool

XACML Generation

Tool

33XACML

XML Script

44

Rules Asserted to

Nodes in the Exchange

Structure via simple

XPath associations

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SAR VISUAL TEMPLATE + RULE ASSERTIONS

Rules Assertions

associate and control

access privacy to

specific content areas

in the SAR details

structure

Visual metaphor

allows policy

analysts to verify

directly

20

Rule Assertions

NIEM data flows

NIEM / GRA OPERATIONAL SCENARIO

XACML

Engine

Information Exchange

55

INTERFACES

P O L I C I E S

CAM Editor Visual Designer

CAM Editor Visual Designer

Output Templates

Output TemplatesExchange Templates

11

Information Exchange

33

INTERFACES

44

S C H E M A

NIEM

IEPD

NIEM

XML

NIEM

XML

Generated XACML Rules

22

21

CAM TOOLKIT + CAMV ENGINE Open source solutions – designed

to support XML and industry vocabularies and components for information exchanges

Implementing the OASIS Content Assembly Mechanism (CAM) public standard

CAMV validation framework and test suite tools

Development sponsored by Oracle

CAM Editor resources site:

http://www.cameditor.org

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http://www.cameditor.org/

NEXT STEPS Enhance CAM Editor UI to provide

wizards for policy rule assertion entry

Provide XSLT to generate XACML from CAM template

Enhance reporting tools to show policy details in plain English details

Test with sample JPS NIEM exchange schema

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PART 3 – DEPLOYMENT WITH REGISTRY

Illustrative deployment with XACML services and application

APPLICATION SCENARIO DETAILS


Policy Rules

Portal

User Dashboard

11

Apply Policy Rules to

Requested Case Content

(PDP Engine)

44Users see only information permitted by their role and policy profile

Request

Output Templates

Output TemplatesInformation

Requests

22

Case Management + PAP

Registry

Services

33

Output Templates

Output Templates

Case Documents

XML

Response (PEP)

Output Templates

Output TemplatesRequested Information

55

User Profiles

XACML

XMLXMLXML XACML

REGISTRY POLICY ENFORCEMENT


PAP

•Defines policies.

•Monitors compliance.

PDP

•Receives requests from the PEP.

•Identifies policies that match each request.

•Evaluates request and environment attributes.

•Directs the PEP.

PEP

•Discloses or redacts the information or denies the request.

•Logs the request and action.

•Notifies of the request and action.

PRIVACY POLICY TECHNICAL FRAMEWORK


PUBLISHING CONTENT (BULK IMPORT TOOL)

Bulk loader will trawl server and folder location for content – e.g. original SAR XML documents

Bulk Publish of SAR documents

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SAR DISCOVERY AND RETRIEVAL

SAR Discovery Query (easily extended / tailored without code changes)

allows rapid prototyping and verification of content and operations

Results returned digest and content retrieval options

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SUMMARYReview

KEY MESSAGES

Dramatically simpler policies

adoption

Can be rapidly developed with

existing tools

Can be visually inspected and

verified by policy analysts

Enables use of dynamic contextual

policies

Supports international standards

work

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CONTRIBUTORS

James E. Cabral Jr. – IJIS/OASIS and MTGM LLC David Webber – Oracle Public Sector NIEM

team Farrukh Najmi – OASIS ebXML RegRep,

SunXACML project and Wellfleet Software

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RESOURCES

OASIS CAM and tools project sitehttps://www.oasis-open.org/committees/cam http://cameditor.org (sourceforge.net)

OASIS XACML and tools project sitehttps://www.oasis-open.org/committees/xacml

http://sunxacml.sourceforge.net/

OASIS ebXML RegRep and Implementing Registryhttps://wiki.oasis-open.org/regrep/http://goo.gl/cEpnC

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https://www.oasis-open.org/committees/cam

http://cameditor.org/

https://www.oasis-open.org/committees/xacml

https://www.oasis-open.org/committees/xacml

http://sunxacml.sourceforge.net/

https://wiki.oasis-open.org/regrep/

http://goo.gl/cEpnC