Xacml-3.0-Ec-Us-V1-Spec-Cd-02-En

2XACML v3.0 Export Compliance- US (EC- 3US) profile Version 1.0

4Committee draft 2

5September 2009

6Specification URIs: 7This Version: 8 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].html 9 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].doc 10 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].pdf 11Previous Version: 12 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].html 13 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].doc 14 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].pdf 15Latest Version: 16 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].html 17 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].doc 18 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].pdf 19Latest Approved Version: 20 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].html 21 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].doc 22 http://docs.oasis-open.org/[tc-short-name]/ [additional path/filename].pdf 23Technical Committee: 24 OASIS eXtensible Access Control Markup Language (XACML) TC 25Chair(s): 26 Bill Parducci, 27 Hal Lockhart, Oracle 28Editor(s): 29 John Tolbert, The Boeing Company 30Related work: 31 This specification is related to: 32  eXtensible Access Control Markup Language (XACML) 33Declared XML Namespace(s): 34 [list namespaces here] 35 [list namespaces here]

1[Document Identifier] 4 November 2007 2Copyright © OASIS® 2007. All Rights Reserved. Page 1 of 18 36Abstract: 37 This specification defines a profile for the use of XACML in expressing policies for complying with 38 USA government regulations for export compliance (EC). It defines standard attribute identifiers 39 useful in such policies, and recommends attribute value ranges for certain attributes. 40Status: 41 This document was last revised or approved by the eXtensible Access Control Markup Language 42 (XACML) TC on the above date. The level of approval is also listed above. Check the “Latest 43 Version” or “Latest Approved Version” location noted above for possible later revisions of this 44 document. 45 Technical Committee members should send comments on this specification to the Technical 46 Committee’s email list. Others should send comments to the Technical Committee by using the 47 “Send A Comment” button on the Technical Committee’s web page at http://www.oasis- 48 open.org/committees/xacml/. 49 For information on whether any patents have been disclosed that may be essential to 50 implementing this specification, and any offers of patent licensing terms, please refer to the 51 Intellectual Property Rights section of the Technical Committee web page (http://www.oasis- 52 open.org/committees/xacml/ipr.php. 53 The non-normative errata page for this specification is located at http://www.oasis- 54 open.org/committees/xacml/.

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1021 Introduction...... 5 103 1.1 Glossary...... 5 104 1.2 Terminology...... 6 105 1.3 Normative References...... 6 106 1.4 Non-Normative References...... 6 107 1.5 Scope...... 6 108 1.6 Disclaimer...... 6 1092 Profile...... 7 110 2.1 Resource Attributes...... 7 111 2.1.1 Classification...... 7 112 2.1.1 ECCN...... 7 113 2.1.2 USML...... 7 114 2.2 Subject Attributes...... 7 115 2.2.1 Nationality...... 7 116 2.2.2 Current nationality...... 8 117 2.2.3 Location...... 8 118 2.2.4 Organization...... 8 119 2.2.5 US Person...... 8 1203 Identifiers...... 9 121 3.1 Profile Identifier...... 9 1224 Examples (non-normative)...... 10 123 4.1 Commerce Control List rule...... 10 124 4.2 State Department agreement...... 11 1255 Conformance...... 14 126 5.1 Attribute Identifiers...... 14 127 5.2 Attribute Values...... 14 128A. Acknowledgements...... 15 129B. Non-Normative Text...... 16 130C. Revision History...... 17 131 132

10[Document Identifier] 4 November 2007 11Copyright © OASIS® 2007. All Rights Reserved. Page 4 of 18 1331 Introduction 134{non-normative} 135This specification defines a profile for the use of the OASIS eXtensible Access Control Markup Language 136(XACML) [XACML] to write policies that reflect the intent of United States government, particularly the 137Department of Commerce export compliance (EC) laws and regulations. Use of this profile requires no 138changes or extensions to the [XACML] standard. 139This specification begins with a non-normative discussion of the topics of interest in this profile. The 140normative section of the specification describes the attributes defined by this profile and provides 141recommended usage patterns for attribute values. 142This specification assumes the reader is somewhat familiar with XACML. A brief overview sufficient to 143understand these examples is available in [XACMLIntro]. Information about USA government export laws 144and regulations can be found at [BIS] and [DDTC]. 145Any U.S. organization that ships goods, materials, software, and/or technical information may be subject 146to U.S. export control laws. Non-military products may be classified according to the U.S. Department of 147Commerce “Commerce Control List”. Military products are controlled according to the United States 148Munitions List. Destination countries are also classified by a variety of criteria. Even specific entities and 149individuals may have restrictions. The recipient’s U.S. person status, location, and organization must also 150be taken into account in these export control authorization decisions. 151This EC-US profile provides a standard framework for the subject and resource attributes that must be 152considered for U.S. export control decisions.

1531.1 Glossary 154CCL, Commerce Control List 155 Regulations that define the geopolitical restrictions on goods and services covered by EAR. 156Country 157 A national political administrative unit recognized, for diplomatic and trade purposes, by the US 158 government. 159Current nationality 160 For any person, the current nationality is the country that most recently granted citizenship to 161 that person. 162EAR 163 Export Administration Regulations, US laws and regulations administered by the Department of 164 Commerce. 165ECCN 166 Export Control Classification Number, a classification system for data and products covered by 167 EAR. 168ITAR 169 International Traffic in Arms Regulations; USA laws and regulations administered by the 170 Department of State. . 171Location 172 The country in which a person is currently located. 173Nationality 174 A country of which a person is a citizen.

13[Document Identifier] 4 November 2007 14Copyright © OASIS® 2007. All Rights Reserved. Page 5 of 18 175Organization 176 A company or other legal entity of which a person can be an employee or agent. 177USML 178 United States Munitions List, a classification system for data and products covered by ITAR. 179US Person 180A designation that a person meets the requirements to be considered exempt from most US government 181export regulations.

1821.2 Terminology 183The key words “MUST”, “MUST NOT”, “REQUIRED”, “SHALL”, “SHALL NOT”, “SHOULD”, “SHOULD 184NOT”, “RECOMMENDED”, “MAY”, and “OPTIONAL” in this document are to be interpreted as described 185in [RFC2119].

1861.3 Normative References 187 [RFC2119] S. Bradner, Key words for use in RFCs to Indicate Requirement Levels, 188 http://www.ietf.org/rfc/rfc2119.txt, IETF RFC 2119, March 1997. 189 [XACML] E. Rissanen, ed., eXtensible Access Control Markup Language (XACML) 190 Version 3.0, Working draft 7, 3 November 2008, http://www.oasis- 191 open.org/committees/tc_home.php?wg_abbrev=xacml

1921.4 Non-Normative References 193 [BIS] US Department of Commerce Bureau of Industry and Security, 194 http://www.bis.doc.gov/ 195 [DDTC] US Department of State Directorate of Defense Trade Controls, 196 http://www.pmddtc.state.gov/ 197 [ISO3166] ISO 3166 Maintenance agency (ISO 3166/MA), 198 http://www.iso.org/iso/country_codes.htm 199 [XACMLIntro] OASIS XACML TC, A Brief Introduction to XACML, 14 March 2003, 200 http://www.oasis- 201 open.org/committees/download.php/2713/Brief_Introduction_to_XACML.html

2021.5 Scope 203Many export compliance decisions can be made on the basis of the subject’s location, organization, and 204nationalities (including country of birth) or current nationality, and the resource’s ECCN or USML 205classification. This profile defines standard XACML attributes for these properties, and recommends the 206use of standardized attribute values. 207In practice, an organization’s export compliance policies will be a mixture of rules derived from US 208government laws and regulations, along with enterprise-specific rules derived from government-approved 209bilateral or multilateral agreements with foreign organizations.

2101.6 Disclaimer 211NOTHING IN THIS PROFILE IS INTENDED TO BE A LEGALLY CORRECT INTERPRETATION OR 212APPLICATION OF US GOVERNMENT EXPORT LAWS OR REGULATIONS. USE OF THIS PROFILE IN 213AN ACCESS CONTROL SYSTEM DOES NOT CONSTITUTE COMPLIANCE WITH US EXPORT 214RESTRICTIONS. THIS PROFILE HAS NOT BEEN REVIEWED OR ENDORSED BY THE US 215GOVERNMENT AGENCIES RESPONSIBLE FOR ENFORCING USA EXPORT LAWS, NOR BY ANY 216LEGAL EXPERT IN THIS FIELD.

16[Document Identifier] 4 November 2007 17Copyright © OASIS® 2007. All Rights Reserved. Page 6 of 18 217Organizations that use this profile should ensure their export compliance by consulting the resources at 218[BIS] and [DDTC], and by engaging qualified professional legal services.

2202.1 Resource Attributes

2212.1.1 Classification 222To identify whether a resource is controlled under [ITAR] or [EAR], the following attribute identifier shall 223be used: 224 urn:oasis:names:tc:xacml:3.0:ec-us:resource:classification 225The DataType of this attribute is http://www.w3.org/2001/XMLSchema#string. The value of the 226attribute SHALL be “ITAR” or “EAR”.

2272.1.1 ECCN 228ECCN classification values shall be designated with the following attribute identifier: 229 urn:oasis:names:tc:xacml:3.0:ec-us:resource:eccn 230The attribute value (or pattern) used in equality or matching comparisons (in policies), and the attribute 231values used in the decision context SHALL conform to the following requirements: 232 The base ECCN classification shall be 5 characters with upper-case letters. 233 9A120 234 Subclassification levels may be used, corresponding to the subparagraph labels in the CCL. The 235 subclassification designators shall be delimited with dots (“.”). 236 3A001.b.1.a.4.c 237 All comparisons shall be case-sensitive.

2382.1.2 USML 239USML classification values shall be designated with the following attribute identifier: 240 urn:oasis:names:tc:xacml:3.0:ec-us:resource:usml 241The attribute value (or pattern) used in equality or matching comparisons (in policies), and the attribute 242values used in the decision context SHALL conform to the following requirements: 243 The minimal value (or pattern) shall consist of an upper-case roman numeral (in the range specified 244 by the USML), followed by a balanced set of parentheses containing a single lower-case letter. 245 VIII(i) 246 Additional balanced parentheses may be appended to the minimal value (or pattern), corresponding 247 to subparagraph designations in the USML. 248 V(b)(7)(c)(2) 249 All comparisons shall be case-sensitive.

2502.2 Subject Attributes

2512.2.1 Nationality 252Nationality values applicable to a subject SHALL be designated with the following attribute identifier: 253 urn:oasis:names:tc:xacml:3.0:ec-us:subject:nationality

22[Document Identifier] 4 November 2007 23Copyright © OASIS® 2007. All Rights Reserved. Page 8 of 18 254The DataType of this attribute is http://www.w3.org/2001/XMLSchema#string. The value of this 255attribute MUST be in the range of 2-letter country codes defined by [ISO3166]. 256A request context may have several instances of this attribute to reflect multiple citizenships held by a 257subject. Nationality must include country of birth if different from other nationalities held by the subject.

2582.2.2 Current nationality 259The most recent nationality value applicable to a subject SHALL be designated with the following attribute 260identifier: 261 urn:oasis:names:tc:xacml:3.0:ec-us:subject:current-nationality 262The DataType of this attribute is http://www.w3.org/2001/XMLSchema#string. The value of this 263attribute MUST be in the range of 2-letter country codes defined by [ISO3166].

2642.2.3 Location 265The current geographical location of a subject SHALL be designated with the following attribute identifier: 266 urn:oasis:names:tc:xacml:3.0:ec-us:subject:location 267The DataType of this attribute is http://www.w3.org/2001/XMLSchema#string. The value of this 268attribute MUST be in the range of 2-letter country codes defined by [ISO3166].

2692.2.4 Organization 270The organization of which the subject is an employee or agent SHALL be designated with the following 271attribute identifier: 272 urn:oasis:names:tc:xacml:3.0:ec-us:subject:organization 273Organization shall denote the organization to which the subject in the request belongs. A common 274scheme such as DUNS SHOULD be used to promote interoperability.

2752.2.5 US Person 276The following attribute identifier SHALL be used to designate a subject’s status as a US person: 277 urn:oasis:names:tc:xacml:3.0:ec-us:subject:us-person 278The DataType of this attribute is http://www.w3.org/2001/XMLSchema#boolean.

2813.1 Profile Identifier 282The following identifier SHALL be used as the identifier for this profile when an identifier in the form of a 283URI is required. 284 urn:oasis:names:tc:xacml:3.0:profiles:ec-us 285

28[Document Identifier] 4 November 2007 29Copyright © OASIS® 2007. All Rights Reserved. Page 10 of 18 2864 Examples (non-normative) 287This section contains two examples illustrating the use of the attribute IDs defined by this profile. 288The following entity definitions are used in these examples 289 290 291 292 294 296 297 298Some required attributes, not essential for understanding, are omitted from the examples.

2994.1 Commerce Control List rule 300This illustrates one way to implement a rule for an ECCN as defined in the CCL. In English 301Deny access to persons and locations in the anti-terrorism (AT1) and non-proliferation (NP1) country lists 302if the resource has ECCN starting with “3A980”. 303[a1] 304[a2] 310[a7] 311[a8] Simple rule for one ECCN. 312[a9] 313[a10] 314[a11] 315[a12] 316[a13] 317[a14] 318[a15] 319[a16] 322[a19] 325[a22] 326[a23] 327[a24] SD 328[a25] SY 329[a26] 330[a27] 331[a28] 332[a29] 333[a30] 334[a31] 335[a32] 336[a33] 337[a34] Voice print identification and analysis equipment and parts… 338[a35] 339[a36] 31[Document Identifier] 4 November 2007 32Copyright © OASIS® 2007. All Rights Reserved. Page 11 of 18 340[a37] 341[a38] 342[a39] 343[a40] ^3A980.* 345[a42] 347[a44] 348[a45] 349[a46] 350[a47] 351[a48] 352[a49] 353[a50] 354[a51] 355[a52] 356[a53] 357[a54] 358[a55] 359[a11-a28] Define a variable that returns true if the subject’s current-nationality or location is 360“SD” or “SY”. These are the countries listed under the anti-terrorism reason for control in the CCL. 361[a29-a31] Define another variable to check if current-nationality or location is in the group of 362countries controlled for nuclear non-proliferation. 363 NOTE: In a real policy, it would be convenient to define variables corresponding to each 364 “reason for control” in the CCL. This example only refers to 2 such variables. 365[a32] Define a rule that applies to resources with an ECCN classification (eccn) of “3A980”. 366[a48-a53] Test if subject has a current-nationality or location that is controlled for this 367classification. 368 NOTE: A real policy could have rules for every ECCN classification used in the enterprise 369 (or defined by [BIS]).

3704.2 State Department agreement 371This illustrates one way to write a XACML policy to implement an export authorization. In English: 372Employees of BrazilEnterprise and employees of CanadianEnterprise who have no other nationality 373attributes than “CA” or BR” are permitted to view resources identified with an “EXP” suffix that are 374classified as “ITAR” and have USML code “VIII(h)”. 375The (fictional) authorizing document is a Technical Assistance Agreement (TAA) identified as “TA-XYZ- 37600”. 377[b1] 378[b2] Permit exports to Canadian and Brazilian partners. 379[b3] 380[b4] 381[b5] 382[b6] 383[b7] 384[b8] EXP$ 385[b9] 387[b11] 388[b12] 389[b13] ITAR 390[b14] 392[b16] 393[b17]

34[Document Identifier] 4 November 2007 35Copyright © OASIS® 2007. All Rights Reserved. Page 12 of 18 394[b18] 395[b19] 396[b20] <-- Subject must work for a partner organization --> 397[b21] 398[b22] 399[b23] 400[b24] BrazilEnterprise 401[b25] 402[b26] 404[b28] 405[b29] 406[b30] 407[b31] 408[b32] 409[b33] CanadianEnterprise 410[b34] 411[b35] 413[b37] 414[b38] 415[b39] 416[b40] 417[b41] 418[b42] 420[b44] 421[b45] Load more