Cross-Enterprise Security and Privacy Authorization (XSPA) Profile of XACML v2.0 for Healthcare Version 1.0

Committee Specification 01

24 June 2009

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Technical Committee:

OASIS eXtensible Access Control Markup Language (XACML) TC

Chair(s):

Hal Lockhart, Oracle Corporation

Bill Parducci, Individual

Editor(s):

Duane DeCouteau, Department of Veterans Affairs

Mike Davis, Department of Veterans Affairs

David Staggs, Department of Veterans Affairs

Related work:

This specification is related to:

·         eXtensible Access Control Markup Language(XACML) Version 2.0

Declared XML Namespace(s):

N/A

Abstract:

A profile of XACML used to support cross-enterprise security and privacy authorization.

Status:

This document was last revised or approved by the OASIS eXtensible Access Control Markup Language (XACML) TC on the above date. The level of approval is also listed above. Check the “Latest Version” or “Latest Approved Version” location noted above for possible later revisions of this document.

Technical Committee members should send comments on this specification to the Technical Committee’s email list. Others should send comments to the Technical Committee by using the “Send A Comment” button on the Technical Committee’s web page at http://www.oasis-open.org/committees/xacml/ .

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The non-normative errata page for this specification is located at http://www.oasis-open.org/committees/xacml/ .

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Table of Contents

1        Introduction. 5

1.1 Terminology. 5

1.2 Normative References. 6

1.3 Non-Normative References. 6

2        2 XSPA profile of XACML. 7

2.1 Interactions between Parties. 7

2.1.1 Service Interface. 7

2.1.2 Access Control Service (Service Consumer) 7

2.1.3 Attribute Service. 7

2.1.4 Policy Authority. 7

2.1.5 Access Control Service (Service Provider) 8

2.2 Transmission Integrity. 8

2.3 Transmission Confidentiality. 8

2.4 Error States. 8

2.5 Security Considerations. 8

2.6 Confirmation Identifiers. 8

2.7 Metadata Definitions. 8

2.8 Naming Syntax, Restrictions and Acceptable Values. 8

2.9 Namespace Requirements. 9

2.10 Attribute Rules of Equality. 9

2.11 Attribute Naming Syntax, Restrictions and Acceptable Values. 9

2.12 Standard Rules (Normative) 13

2.13 Standard Rules (Non-normative) 13

2.14 Obligations (Normative) 14

2.15 Obligations (Non-normative) 14

2.16 Examples of Use. 14

3        Conformance. 16

3.1 Introduction. 16

3.2 Conformance Tables. 16

3.2.1 Attributes. 16

A.      Acknowledgements. 19

B.      Revision History. 20

 

Table of Figures

Figure 1: Interaction between Parties. 7


1      Introduction

Enterprises, including the healthcare enterprise, need a mechanism to exchange security and privacy policies, evaluate consent directives and determine authorizations in an interoperable manner.  This document provides a cross-enterprise security and privacy profile that describes how to use eXtensible Access Control Markup Language (XACML) to provide these functions in an interoperable manner.

The Cross-Enterprise Security and Privacy Authorization (XSPA) profile of XACML describes several mechanisms to authenticate, administer, and enforce authorization policies controlling access to protected information residing within or across enterprise boundaries.  The policies being administered and enforced relate to security, privacy, and consent directives.  This profile MAY be used in coordination with additional standards including Web Services Trust Language (WS-Trust) and Security Assertion Markup Language (SAML).

This profile specifies the use of XACML 2.0 to promote interoperability within the healthcare community by providing common semantics and vocabularies for interoperable policy request/response, policy lifecycle, and policy enforcement.

1.1 Terminology

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

The following definitions establish additional terminology and usage in this profile:

Access Control Service (ACS) – The enterprise security service that supports and implements user-side and service-side access control capabilities.  The service would be utilized by the Service and/or Service User.

Entity – A principal and/or subject, which represents an application, a machine, or any other type of entity that may act as a requester in a transaction.

Object – An entity that contains or receives information.  Objects can represent information containers (e.g., files or directories in an operating system, and/or columns, rows, tables, and views within a database management system) or represent exhaustible system resources, such as printers, disk space, and central processing unit (CPU) cycles.

Operation - An executable image of a program, which upon invocation executes some function for the user.  Within a file system, operations might include read, write, and execute.  Within a database management system, operations might include insert, delete, append, and update.  An operation is also known as an action or privilege.

Permission - An approval to perform an operation on one or more protected objects.

Policy Administration Point (PAP) – Manages and makes available policies that may be stored in and retrieved from the Policy Repository.

Policy Decision Point (PDP) – Accepts information from an Authorization Decision Request and returns an access control decision based on evaluation of XACML policy. PDPs MAY be hierarchical.

Policy Enforcement Point (PEP) – Performs access control by making decision requests and enforcing authorization decisions.  It facilitates passing XACML authorization request attributes and enforcing XACML response decisions and obligations.  This module MAY be used for obtaining attributes required for authorization from a Policy Information Point (PIP) by an application.  Typical attributes collected at this level include ANSI RBAC (American National Standards Institute Role Based Access Control) attributes, Health Level Seven (HL7) provider permissions, HL7 resource permission, and HL7 patient privacy constraints.

Policy Information Point (PIP) – Repository of attribute data that is made available to support authorization decisions.

Structural Role - A job function within the context of an organization whose permissions are defined by operations on workflow objects consistent with the definition of structural role found in  ASTM (American Society for Testing and Materials) [E2595-2007]

Service Provider (SP) - The service provider represents the system providing a protected resource and relies on the provided security service.

Service User – The service user represents any individual entity [such as on an Electronic Health Record (EHR)/personal health record (PHR) system] that needs to make a service request of a Service Provider.

1.2 Normative References

[RFC2119]               S. Bradner, Key words for use in RFCs to Indicate Requirement Levels, http://www.ietf.org/rfc/rfc2119.txt, IETF RFC 2119, March 1997.

[XACML CORE]      OASIS Standard, “XACML 2.0 Core: eXtensible Access Control Markup Language (XACML) Version 2.0”, March 2005
http://docs.oasis-open.org/xacml/2.0/access_control-xacml-2.0-core-spec-os.pdf           

[SAML-XACML20]   OASIS Working Draft, “SAML 2.0 profile of XACML 2.0 Errata”, November 2005,
http://www.oasis-open.org/committees/download.php/15447/xacml-2.0-saml-errata-wd.zip           

[SX20-ASSN-SCH]  OASIS Standard, schema (assertion), http://www.oasis-open.org/committees/download.php/11474/access_control-xacml-2.0-saml-assertion-schema-os.xsd           

[SX20-PROT-SCH]  OASIS Standard, schema (protocol), http://www.oasis-open.org/committees/download.php/11475/access_control-xacml-2.0-saml-protocol-schema-os.xsd           

[HL7-PERM]            HL7 Security Technical Committee, HL7 Version 3 Standard: Role-based Access Control Healthcare Permission Catalog, (Available through http://www.hl7.org/library/standards.cfm), Release 1, Designation: ANSI/HL7 V3 RBAC, R1-2008.       

[HL7-CONSENT]     HL7 Consent Related Vocabulary Confidentiality Codes Recommendation, http://lists.oasis-open.org/archives/xacml-demo-tech/200712/doc00003.doc, from project submission: http://lists.oasis-open.org/archives/xacml-demo-tech/200712/msg00015.html      

[ASTM E1986-98 (2005)]      Standard Guide for Information Access Privileges to Health Information.

[ASTM E2595 (2007)]           Standard Guide for Privilege Management Infrastructure 

1.3 Non-Normative References

[SAML-XACML20V2]           OASIS Working Draft, “SAML 2.0 profile of XACML Version 2”, July 2007 (current working draft covers all versions of XACML).
http://www.oasis-open.org/committees/download.php/24681/xacml-profile-saml2.0-v2-spec-wd-5-en.pdf

[XACML-RBAC]       OASIS Standard, “Core and hierarchical role based access control (RBAC) profile of XACML v2.0”, February 2005
http://docs.oasis-open.org/xacml/2.0/access_control-xacml-2.0-rbac-profile1-spec-os.pdf

[HITSP]                  Healthcare Information Technology Standards Panel (HITSP) at www.hitsp.org

[XSPA-XACML-EXAMPLES]           Cross-Enterprise Security and Privacy Authorization (XSPA) Profile of XACML v2.0 for Healthcare, Implementation Examples. http://www.oasis-open.org/committees/document.php?document_id=30430

 

2      2 XSPA profile of XACML

2.1 Interactions between Parties

Figure 1 displays an overview of interactions between parties in the exchange of healthcare information.  Elements described in the figure are explained in the subsections below.

 

Figure 1: Interaction between Parties

2.1.1 Service Interface

XACML functions of the Policy Enforcement Point (PEP) are carried out by the Service Interface.

The PEP interacts with the Policy Information Point (PIP) of the Attribute Service and the Policy Decision Point (PDP) functionality of the Access Control Service (ACS), in enforcing authorization decisions.

2.1.2 Access Control Service (Service Consumer)

The XSPA profile of XACML supports sending all Service User requests through an ACS.  XACML functions of the PDP are carried out by the ACS. The Service Consumer ACS MAY serve as an enterprise gateway.

Attributes necessary to make a local access control decision are determined and HL7 Permission [HL7-PERM] are granted to the Service User based on their role, purpose of use (POU), the service endpoint of the external resource, and any site specific operational attributes.

2.1.3 Attribute Service

XACML functions of the Policy Information Point (PIP) are carried out by the Attribute Service.

The Attribute Service has access to attribute information (e.g., location, purpose of use), object preferences, consent directives and other privacy conditions (object masking, object filtering, user, role, purpose, etc.) that constrain enforcement.

2.1.4 Policy Authority

XACML functions of the Policy Administration Point (PAP) are carried out by the Policy Authority.

The Policy Authority has access to security policies that include rules regarding authorizations required to access a protected resource and additional security conditions (location, time of day, cardinality, separation of duty purpose, etc.) that constrain enforcement.

2.1.5 Access Control Service (Service Provider)

The Service ACS is responsible for the parsing of assertions, evaluating the assertions against the security and privacy policy, and making and enforcing a decision on behalf of the Service Provider. The Service ACS MAY serve as an enterprise gateway.

2.2 Transmission Integrity

The XSPA profile of XACML recommends the use of reliable transmission protocols.  Where transmission integrity is required, this profile makes no specific recommendations regarding mechanism or assurance level.

2.3 Transmission Confidentiality

The XSPA profile of XACML recommends the use of secure transmission protocols.  Where transmission confidentiality is required, this profile makes no specific recommendations regarding mechanisms.

2.4 Error States

This profile adheres to error states described in [XACML-CORE].

2.5 Security Considerations

The following security considerations are established for the XSPA profile of XACML:

·         Entities MUST be members of defined information domains under the authorization control of a defined set of policies,

·         Entities MUST have been identified and provisioned (credentials issued, privileges granted, etc.) in accordance with policy,

·         Privacy policies MUST have been identified and provisioned (consents, user preferences, etc.) in accordance with policy,

·         Pre-existing security and privacy policies MUST have been provisioned to Access Control Services,

·         The capabilities and location of requested information/document repository services MUST be known,

·         Secure channels MUST be established as required by policy,

·         Audit services MUST be operational and initialized, and

·         Entities MUST have pre-asserted membership in an information domain by successful and unique authentication.

2.6 Confirmation Identifiers

The manner used by the relying party to confirm that the requester message came from a system entity that is associated with the subject of the assertion will depend upon the context and sensitivity of the data.  For confirmations requiring a specific level of assurance, this profile specifies the use of National Institute of Standards and Technology (NIST) Special Publication 800-63 Electronic Authentication Guideline.  In addition, this profile specifies the Liberty Identity Access Framework (LIAF) criteria for evaluating and approving credential service providers.

2.7 Metadata Definitions

A XACML extension is used to enable the SAML protocol layer.  This is described in the [SAML-XACML-20] specification and in the [SX20-PROT-SCH] schema.

2.8 Naming Syntax, Restrictions and Acceptable Values

This profile will support the namespace requirements described in [XACML-CORE].

2.9 Namespace Requirements

This profile will support the namespace requirements described in [XACML-CORE].

2.10 Attribute Rules of Equality

This profile will support the attribute evaluation requirements described in [XACML-CORE].

2.11 Attribute Naming Syntax, Restrictions and Acceptable Values

Table 1: Standard Attributes (Normative)

Attribute ID*

Identifier

Type

Valid Values

subject:subject-id

urn:oasis:names:tc:xacml:2.0:subject:subject-id

String

Unique identifier of subject, if in the US domain, a National Provider Identifier issued by HHS/CMS and mandated by HIPAA. 

subject:locality

urn:oasis:names:tc:xacml:2.0:subject:locality

String

Unique identifier of the consuming organization and/or facility.

subject:hl7:permission

urn:oasis:names:tc:xspa:1.0:subject:hl7:permission

String

Refer to [HL7-PERM] and its OID representation.

subject:role

urn:oasis:names:tc:xacml:2.0:subject:role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation.

subject:purposeofuse

urn:oasis:names:tc:xspa:1,0:subject:purposeofuse

String

Healthcare Treatment, Emergency Treatment, System Administration, Operations, Payment, Research, Marketing, Public Health

resource:resource-id

urn:oasis:names:tc:xacml:2.0:resource:resource-id

String

Unique identifier of the resource defined by and controlled by the servicing organization. In healthcare this is the patient unique identifier.

resource:hl7:type

urn:oasis:names:tc:xspa:1.0:resource:hl7:type

String

For minimum interoperability set of objects and supporting actions refer to [HL7-PERM] and their OID representations.

resource:org:permission

urn:oasis:names:tc:xspa:1.0:resource:org:hl7:permissions

String

Refer to [HL7-PERM] and its OID representation. This attribute holds permissions required by the servicing organization to grant access to a specific resource.

resource:org:role

urn:oasis:names:tc:xspa:1.0:resource:org:role

String

S tructural Role refer to [ASTM E1986-98 (2005)] and its OID representation. This attribute holds roles required by the servicing organization to grant access to a specific resource.

resource:patient:confidentiality-code

urn:oasis:names:tc:xspa:1.0:resource:patient:hl7:confidentiality-code

String

Refer to [HL7-CONSENT] The default value for this attribute is N (normal operations.)

resource:hl7:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:dissenting-subject-id

String

US domain specific is National Provider issued by HHS/CMS and mandated by HIPAA.

resource:hl7:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation.

environment:locality

urn:oasis:names:tc:xspa:1.0:environment:locality

String

Unique identifier of the servicing organization.

*Note: Attribute-ID is provided for mapping to pseudo-code in the [XSPA-XACML-EXAMPLES] document.

The confidentiality-code may be used to identify sensitive information, such as records relating to drug abuse, alcoholism, or alcohol abuse, infection with the human immunodeficiency virus (HIV) or sickle cell anemia.

The mechanism used to identify the patent in a standardized way, e.g. resource:resource-id, is outside the scope of the profile.

The dissenting-subject-id identifies those denied access to a protected resource based on a patient’s consent directive.  The format of dissenting-subject-id MUST be consistent with the format of the subject-id.

HL7 RBAC Permission Catalog [HL7-PERM] represents a conformant minimum interoperability set for object/action pairings.

Table 2: Standard Attributes (Non-Normative)

Attribute ID*

Identifier

Type

Valid Values

subject:npi

urn:oasis:names:tc:xspa:1.0:subject:npi

String

National Provider ID provided by U.S. Government for all active providers.

subject:functional-role

urn:oasis:names:tc:xspa:1.0:subject:functional-role

String

Functional roles provide a placeholder  to group permissions required for fine grain access control.  There MUST be mutual agreement of there use and definition between participating organizations.

resource:org:allowed-organizations

urn:oasis:names:tc:xspa:1.0:resource:org:allowed-organizations

String

Holds identification of allowed trading partners.

resource:org:hoursofoperations:start

urn:oasis:names:tc:xspa:1.0:resource:org:hoursofoperation:start

Time

Time plus locale

resource:org:hoursofoperation:end

urn:oasis:names:tc:xspa:1.0:resource:org:hoursofoperation:end

Time

Time plus locale

resource:patient:opt-in

urn:gov:hhs:fha:nhinc:patient-opt-in

String

Yes or No.  US realm specific and required for v2.1 of NHIN connect.

resource:patient:allowed-organizations

urn:oasis:names:tc:xspa:1.0:resource:patient:allowed-organizations

String

Holds identification of organizations allowed to access patients medical record as defined by patient's consent directive.

obligation:patient:mask:advancedirectives:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:advancedirectives:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:alerts:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:alerts:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:encounters:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:encounters:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:familyhistory:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:familyhistory:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:functionalstatus:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:functionalstatus:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:immunizations:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:immunizations:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:medicalequipment:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medicalequipment:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:medications:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medications:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:payers:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:payers:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:planofcare:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:planofcare:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:problems:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:problems:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:procedures:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:procedures:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and its OID representation. 

obligation:patient:mask:purpose:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:purpose:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and it's OID representation. 

obligation:patient:mask:results:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:results:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and it's OID representation. 

obligation:patient:mask:socialhistory:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:socialhistory:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and it's OID representation. 

obligation:patient:mask:vitals:dissenting-role

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:vitals:dissenting-role

String

Structural Role refer to [ASTM E1986-98 (2005)] and it's OID representation. 

obligation:patient:mask:advancedirectives:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:advancedirectives:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:alerts:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:alerts:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:encounters:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:encounters:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:familyhistory:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:familyhistory:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:functionalstatus:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:functionalstatus:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:immunizations:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:immunizations:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:medicalequipment:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medicalequipment:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:medications:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medications:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:payers:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:payers:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:planofcare:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:planofcare:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:problems:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:problems:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:procedures:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:procedures:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:purpose:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:purpose:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:results:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:results:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:socialhistory:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:socialhistory:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

obligation:patient:mask:vitals:dissenting-subject-id

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:vitals:dissenting-subject-id

String

Provider unique identifier.  US Domain this is National Provider Indentifier NPI. 

resource:snomedct:type

urn:oasis:names:tc:xspa:2.0:resource:snomedct:type

String

For full implementation information on healthcare objects refer to [SNOMED CT].

*Note: Attribute-ID is provided for mapping to pseudo-code in the [XSPA-XACML Example] document.

2.12 Standard Rules (Normative)

At this time no Standard Rule requirements have been defined for this profile.

2.13 Standard Rules (Non-normative)

At this time no optional Rules have been defined for this profile.

2.14 Obligations (Normative)

This profile describes the use of <Obligation> element as optional.

2.15 Obligations (Non-normative)

The <Obligation> element will be used in the XACML response to notify requestor that additional processing requirements are needed.  This profile focuses on the use of obligations to enforce patient privacy election.  The XACML response may contains one or more obligations.  Processing of an obligation is application specific.  An <Obligation> may contain the object(resource) action pairing information.  If multiple vocabularies are used for resource definitions the origin of the vocabulary MUST be identified.

The obligation should conform to following structure:

urn:oasis:names:tc:xspa:1.0:patient:<action>:<healthcareobject>:<constraint-identifier>

The following is an example response obligation segment.

<xacml:Obligations 

xmlns:xacml="urn:oasis:names:tc:xacml:2.0:policy:schema:os" >

   <xacml:Obligation

 ObligationId="urn:oasis:names:tc:xspa:1.0:patient:masked:vitals:dissenting-subject-id" FulfillOn="Permit">

   </xacml:Obligation>

</xacml:Obligations>

2.16 Examples of Use

The following section of this profile provides examples of XACML request and response messages.  The examples are intended to provide additional guidance to implementers of this profile.

All XACML request and response attributes are identified by a Uniform Resource Name (URN) from the vocabulary.  This enables seamless mapping of data values between the client interface and policy services.

It is recommended that the SAML 2.0 profile of XACML v2.0 [SAML-XACML20] be used for PEP-PDP communications. (Note: use [SX20-ASSN-SCH] and [SX20-PROT-SCH] schema files and specification in 17-Nov-05 Errata version.)

Following are the expected SOAP-wrapped request and response messages. Note that request MUST have a unique ID which is used to map to a unique response as specified in [XACML-CORE]. The request MAY be returned with the response.

Sample SOAP SAML XACML Request wrapper:

<?xml version="1.0" encoding="UTF-8"?>

<soapenv:Envelope

    xmlns:soapenv ="http://schemas.xmlsoap.org/soap/envelope/"

    xmlns:xsd="http://www.w3.org/2001/XMLSchema"

    xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance">

  <soapenv:Body>

    <xacml-samlp:XACMLAuthzDecisionQuery

        xmlns:xacml-samlp="urn:oasis:xacml:2.0:saml:protocol:schema:os"

        ID="_e064bd912f83c1544fea110307000acf"

        IssueInstant="2007-05-21T22:00:36Z"

        Version="2.0">

      <xacml-context:Request

          xmlns:xacml-context="urn:oasis:names:tc:xacml:2.0:context:schema:os">

        <!-- See [XACML-Request-01] for sample content of this element -->

      </xacml-context:Request>

    </xacml-samlp:XACMLAuthzDecisionQuery>

  </soapenv:Body>

</soapenv:Envelope>

The request message above contains three protocol layers:

·         soapenv: is the SOAP layer.  A SOAP Envelope contains a SOAP Body.

·         xacml-samlp: is the SAML protocol layer, which is enabled by the XACML extension to the SAML protocol, which is described in [SAML-XACML-20] specification and in the [SX20-PROT-SCH] schema.  Note that the usual samlp: is not declared here because xacml-samlp: extends samlp: and will transparently include the samlp: base declarations.

·         xacml-context: is the XACML request/response layer which is described in [XACML-CORE].

Sample SOAP SAML XACML response wrapper:

<soapenv:Envelope

    xmlns:soapenv="http://schemas.xmlsoap.org/soap/envelope/"

    xmlns:xsd="http://www.w3.org/2001/XMLSchema"

    xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance">

  <soapenv:Body>

    <samlp:Response

      xmlns:samlp="urn:oasis:names:tc:SAML:2.0:protocol"

      ID="A12345602"

      Version="2.0"

      IssueInstant="2007-05-09T00:00:01Z">

      <samlp:Status>

        <samlp:StatusCode

          Value="urn:oasis:names:tc:SAML:2.0:status:Success"/>

      </samlp:Status>

      <saml:Assertion

          xmlns:saml="urn:oasis:names:tc:SAML:2.0:assertion"

          Version="2.0"

          ID="A12345603"

          IssueInstant="2007-05-09T00:00:01Z">

        <saml:Issuer>xacml.interop.com</saml:Issuer>

        <saml:Statement

            xmlns:xacml-saml="urn:oasis:xacml:2.0:saml:assertion:schema:os"

            xsi:type="xacml-saml:XACMLAuthzDecisionStatementType">

          <xacml-context:Response

              xmlns:xacml-context="urn:oasis:names:tc:xacml:2.0:context:schema:os">

            <!-- See [XACML-Response-01] for sample content of this element -->

          </xacml-context:Response>

        </saml:Statement>

      </saml:Assertion>

    </samlp:Response>

  </soapenv:Body>

</soapenv:Envelope>

The response message above contains three protocol layers:

·         soapenv: is the SOAP layer.  A SOAP Envelope contains a SOAP Body.

·         samlp: is the SAML Protocol layer, which is explicitly declared this time because in the response case the xacml extension is lower in the samlp: protocol.  In particular, samlp: requires a saml:Assertion, which in turn includes a saml:Statement.  It is within the saml:Statement that the xacml extension occurs and is referred to as xacml-saml: because it extends the saml:Assertion/saml:Statement with the XACMLAuthzDecisionStatementType.  The details are described in the [SAML-XACML-20] specification and the [SX20-ASSN-SCH] schema.

·         xacml-context: is the XACML request/response layer which is described in [XACML-CORE]

3      Conformance

3.1 Introduction

The XSPA profile of XACML addresses the following aspects of conformance:

This profile describes a minimum vocabulary that must be supported in order to claim conformance.

An Implementation of a PDP MUST conform to XACML v2.0 specification.

3.2 Conformance Tables

The following section identifies portions of the profile that MUST be adhered to in order to claim conformance.

Note: “M” is mandatory “O” is optional.

3.2.1 Attributes

The implementation MUST use the attributes associated with the following identifiers in the way this profile has defined.

Table 3: Conformance Attributes

Identifiers

 

urn:oasis:names:tc:xacml:2.0:subject:subject-id

M

 

urn:oasis:names:tc:xacml:2.0:subject:locality

M

 

urn:oasis:names:tc:xspa:1.0:subject:hl7:permission

M

 

urn:oasis:names:tc:xacml:2.0:subject:role

M

 

urn:oasis:names:tc:xspa:1.0:subject:purposeofuse

M

 

urn:oasis:names:tc:xacml:2.0:resource:resource-id

M

 

urn:oasis:names:tc:xspa:1.0:resource:hl7:type

M

 

urn:oasis:names:tc:xspa:1.0:resource:org:hl7:permissions

M

 

urn:oasis:names:tc:xspa:1.0:resource:org:role

M

 

urn:oasis:names:tc:xspa:1.0:resource:patient:hl7:confidentiality-code

M

 

urn:oasis:names:tc:xspa:1.0:resource:patient:dissenting-subject-id

M

 

urn:oasis:names:tc:xspa:1.0:resource:patient:dissenting-role

M

 

urn:oasis:names:tc:xspa:1.0:environment:locality

M

 

urn:oasis:names:tc:xspa:1.0:subject:npi

O

 

urn:oasis:names:tc:xspa:1.0:subject:functional-role

O

urn:oasis:names:tc:xspa:1.0:resource:org:allowed-organizations

O

urn:oasis:names:tc:xspa:1.0:resource:org:hoursofoperation:start

O

urn:oasis:names:tc:xspa:1.0:resource:org:hoursofoperation:end

O

urn:gov:hhs:fha:nhinc:patient-opt-in

O

urn:oasis:names:tc:xspa:1.0:resource:patient:allowed-organizations

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:advancedirectives:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:alerts:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:encounters:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:familyhistory:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:functionalstatus:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:immunizations:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medicalequipment:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medications:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:payers:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:planofcare:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:problems:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:procedures:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:purpose:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:results:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:socialhistory:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:vitals:dissenting-role

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:advancedirectives:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:alerts:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:encounters:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:familyhistory:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:functionalstatus:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:immunizations:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medicalequipment:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:medications:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:payers:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:planofcare:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:problems:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:procedures:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:purpose:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:results:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:socialhistory:dissenting-subject-id

O

urn:oasis:names:tc:xspa:1.0:resource:patient:masked:vitals:dissenting-subject-id

O

 

 

A.  Acknowledgements

The following individuals have participated in the creation of this specification and are gratefully acknowledged:

Participants in the 2009 HIMSS Interoperability Demonstration of the XSPA profile:

Steve Steffensen, Department of Defense

Daniel Dority, Jericho Systems Corporation

Brian McClung, Jericho Systems Corporation

Brendon Unland, Jericho Systems Corporation

Emory Fry, Naval Health Research Center

Anil Saldhana, Red Hat

Dilli Doral, Sun Microsystems

Steven Jarosz, Sun Microsystems

Mike Davis, Veterans Health Administration

Duane DeCouteau, Veterans Health Administration

David Staggs, Veterans Health Administration

 XACML TC Members during the development of this specification:

Erik Rissanen, Axiomatics AB

Steve Anderson, BMC Software

Ronald Jacobson, CA

Masum Hasan, Cisco Systems, Inc.

Anil Tappetla, Cisco Systems, Inc.

Tim Moses, Entrust

Michiharu Kudo, IBM

Michael McIntosh, IBM

Ron Williams, IBM

Guy Denton, IBM

Craig Forster, IBM

Vernon Murdoch, IBM

Anthony Nadalin, IBM

Bill Parducci, Individual

David Chadwick, Individual

Abbie Barbir, Nortel

Harry Haury, NuParadigm Government Systems, Inc.

Hal Lockhart, Oracle Corporation

Willem de Pater, Oracle Corporation

Prateek Mishra, Oracle Corporation

Kamalendu Biswas, Oracle Corporation

Rich Levinson, Oracle Corporation

Anil Saldhana, Red Hat

Darran Rolls, SailPoint Technologies

Daniel Engovatov, Stream Dynamics, Inc.

Aravindan Ranganathan, Sun Microsystems

Dilli Arumugam, Sun Microsystems

Seth Proctor, Sun Microsystems

John Tolbert, The Boeing Company

Martin Smith, US Department of Homeland Security

Duane DeCouteau, Veterans Health Administration

David Staggs, Veterans Health Administration

B.  Revision History

 

Document ID

Date

Committer

Comment

xspa-xacml-profile-01

09/29/2008

Brett Burley

Initial draft v1.0

xspa-xacml-profile-01

09/29/2008

Craig Winter

QA review / revision v1.1

xspa-xacml-profile-01

10/03/2008

Duane DeCouteau

Obligation, rules, and Snomed CT. v,1,2

xspa-xacml-profile-cd01

10/10/2008

Brett Burley

Formatting as Committee Draft

xspa-xacml-profile-cd-02

10/23/2008

Duane DeCouteau

Action Items, structural roles, HL7 OID, conformance section

xspa-xacml-profile-cd-02

11/05/2008

Craig Winter

QA review / revision v1.3

xspa-xacml-profile-pr-01

11/05/2008

David Staggs

Approved Public Review Draft v1.0

xspa-xacml-profile-pr-02

4/20/2008

David Staggs

Post-Public Review Draft

xspa-xacml-profile-cd-02

6/7/2009

David Staggs

CD prior to Public Review Draft v2.0