Hierarchical resource profile of XACML v2.0

OASIS Standard, 1 February 2005

Document identifier:

access_control-xacml-2.0-hier-profile-spec-os

Location:

http://docs.oasis-open.org/xacml/2.0/access_control-xacml-2.0-hier-profile-spec-os.pdf

Editor:

Anne Anderson, Sun Microsystems (anne.anderson@sun.com)

Abstract:

This document provides a profile for the use XACML with resources that are structured as hierarchies. The profile addresses resources represented as nodes in XML documents or represented in some non-XML way. The profile covers identifying nodes in a hierarchy, requesting access to nodes in a hierarchy, and specifying policies that apply to nodes in a hierarchy.

Status:

This version of the specification is an approved OASIS Standard.

Access Control TC members should send comments on this specification to the xacml@lists.oasis-open.org list. Others should use the comment form at http://oasis-open.org/committees/comments/form.php?wg_abbrev=xacml.

For information on whether any patents have been disclosed that may be essential to implementing this specification, and any offers of patent licensing terms, please refer to the Intellectual Property Rights section of the Access Control TC web page (http://www.oasis-open.org/committees/xacml/ipr.php).

For any errata page for this specification, please refer to the Access Control TC web page (http://www.oasis-open.org/committees/xacml).

Copyright © OASIS Open 2004-2005 All Rights Reserved.

Table of Contents

1 Introduction 3

1.1 Terminology 4

1.2 Notation 5

2 Representing the identity of a node 6

2.1 Nodes in XML documents 6

2.2 Nodes in resources that are not XML documents 6

3 Requesting access to a node 8

3.1 Nodes in an XML document 8

3.2 Nodes in a resource that is not an XML document 9

4 Stating policies that apply to nodes 11

4.1 Policies applying to nodes in any hierarchical resource 11

4.2 Policies applying only to nodes in XML documents 11

4.3 Policies applying only to nodes in non-XML resources 11

5 New DataType 13

5.1 xpath-expression 13

6 New attribute identifiers 14

6.1 document-id 14

6.2 resource-parent 14

6.3 resource-ancestor 14

6.4 resource-ancestor-or-self 14

7 New profile identifiers 15

8 References 16

A. Acknowledgments 17

B. Notices 18



1 Introduction

It is often the case that a resource is organized as a hierarchy. Examples include file systems, XML documents, and organizations. This Profile specifies how XACML can provide access control for a resource that is organized as a hierarchy.

Why are resources organized as hierarchies special? First of all, policies over hierarchies frequently apply the same access controls to entire sub-trees of the hierarchy. Being able to express a single policy constraint that will apply to an entire sub-tree of nodes in the hierarchy, rather than having to specify a separate constraint for each node, increases both ease of use and the likelihood that the policy will correctly reflect the desired access controls. Another special characteristic of hierarchical resources is that access to one node may depend on the value of another node. For example, a medical patient might be granted access to the “diagnosis” node in a XML document medical record only if the patient's name matches the value in the “patient name” node. Where this is the case, the requested node can not be processed in isolation from the rest of the nodes in the hierarchy, and the PDP must have access to the values of other nodes. Finally, the identity of nodes in a hierarchy often depends on the position of the node in the hierarchy; there also may be multiple ways to describe the identity of a single node. In order for policies to apply to nodes as intended, attention must be paid to consistent representations for the identity of the nodes. Otherwise, a requester may bypass access controls by requesting a node using an identity that differs from the one used by the policy.

In this Profile, a resource organized as a hierarchy may be a “tree” (a hierarchy with a single root) or a “forest” (a hierarchy with multiple roots), but the hierarchy may not have cycles. Another term for these two types of hierarchy is “Directed Acyclic Graph” or “DAG”. All such resources are called hierarchical resources in this Profile. An XML document is always structured as a “tree”. Other types of hierarchical resources, such as files in a file system that supports links, may be structured as “forests”.

In this Profile, the nodes in a hierarchical resource are treated as individual resources. An authorization decision that permits access to an interior node does not imply that access to its descendant nodes is permitted. An authorization decision that denies access to an interior node does not imply that access to its descendant nodes is denied.

There are three types of facilities specified in this Profile for dealing with hierarchical resources:

Support for each of these facilities is optional.

This Profile addresses two ways of representing a hierarchical resource. In the first way, the hierarchy of which the node is a part is represented as an XML document that is included in the the Request, and the requested resource is represented as a node in that document. In the second way, the requested resource is not represented as a node in an XML document, and there is no representation of the hierarchy of which it is a part included in the Request. Note that the actual target resource in the first case need not be part of an XML document - it is merely represented that way in the Request. Likewise, the target resource in the second case might actually be part of an XML document, but is being represented in some other way in the Request. Thus there is no assumed correlation between the structure of the resource as represented in the Request and the actual structure of the physical resource being accessed.

Facilities for dealing with resources represented as nodes in XML documents can make use of the fact that the XML document itself is included in the decision request. [XPath] expressions can be used to reference nodes in this document in a standard way, and can provide unique representations for a given node in the document. These facilities are not available for hierarchical resources that are not represented as XML documents. Other means must be provided in the case of such non-XML resources for determining the location of the requested node in the hierarchy. In some cases this can be done by including the node's position in the hierarchy as part of the node's identity. In other cases, a node may have more than one normative identity, such as when the pathname of a file in a file system can include hard links. In such cases, the XACML PDP's Context Handler may need to supply the identities of all the node's ancestors. For all these reasons, the facilities for dealing with nodes in XML documents differ from the facilities for dealing with nodes in other hierarchical resources.

In dealing with a hierarchical resource, it may be useful to request authorization decisions for multiple nodes in the resource in a single decision request. Ways to make such requests are specified in another Profile the Multiple resource profile of XACML v2.0 [MULTIPLE]. That Profile also provides a way to return a single authorization decision when access to multiple nodes in a hierarchy is requested. Readers of this Profile are encouraged to become familiar with the Multiple resource profile of XACML. This Profile may be considered to be layered on top of the multiple resource profile, which in turn is layered on top of the behavior specified in the core XACML specification [XACML]. The functionality in this Profile MAY, however, be layered directly on the functionality in the core XACML specification.

This Profile for hierarchical resources assumes that all requests for access to multiple nodes in a hierarchical resource [MULTIPLE] have been resolved to individual requests for access to a single node.

1.1 Terminology

Access - Performing an action.

Access control - Controlling access in accordance with a policy.

Action – An operation on a resource.

Applicable policy - The set of policies and policy sets that governs access for a specific decision request.

Attribute - Characteristic of a subject, resource, action or environment that may be referenced in a predicate or target (see also – named attribute) or provided in a context. May also refer to an XML syntactic attribute, in which case the term will be qualified as “XML attribute.”

Authorization decision - The result of evaluating applicable policy, returned by the PDP to the PEP. A function that evaluates to "Permit, “Deny”, “Indeterminate” or “NotApplicable", and (optionally) a set of obligations.

Bag – An unordered collection of values, in which there may be duplicate values.

Context - The canonical representation of a decision request and an authorization decision.

Decision – The result of evaluating a rule, policy or policy set.

Decision request - The request by a PEP to a PDP to render an authorization decision.

Hierarchical resource – A resource that is organized as a tree or forest (Directed Acyclic Graph) of individual resources called nodes.

Node – An individual resource that is part of a hierarchical resource.

Obligation - An operation specified in a policy or policy set that should be performed by the PEP in conjunction with the enforcement of an authorization decision.

Policy - A set of rules, an identifier for the rule-combining algorithm and (optionally) a set of obligations. May be a component of a policy set.

Policy administration point (PAP) - The system entity that creates a policy or policy set.

Policy decision point (PDP) - The system entity that evaluates applicable policy and renders an authorization decision. This term is defined in a joint effort by the IETF Policy Framework Working Group and the Distributed Management Task Force (DMTF)/Common Information Model (CIM) in [RFC3198]. This term corresponds to "Access Decision Function" (ADF) in [ISO10181-3].

Policy enforcement point (PEP) - The system entity that performs access control, by making decision requests and enforcing authorization decisions. This term is defined in a joint effort by the IETF Policy Framework Working Group and the Distributed Management Task Force (DMTF)/Common Information Model (CIM) in [RFC3198]. This term corresponds to "Access Enforcement Function" (AEF) in [ISO10181-3].

Policy set – A set of policies, other policy sets, a policy-combining algorithm and {optionally} a set of obligations. May be a component of another policy set.

Resource - Data, service or system component. The object for which access is requested in a decision request.

1.2 Notation

The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this specification are to be interpreted as described in IETF RFC 2119 [RFC2119]:

"they MUST only be used where it is actually required for interoperation or to limit behavior which has potential for causing harm (e.g., limiting retransmissions)"

These keywords are thus capitalized when used to unambiguously specify requirements over protocol and application features and behavior that affect the interoperability and security of implementations. When these words are not capitalized, they are meant in their natural-language sense.

The phrase {Normative, but optional} means that the described functionality is optional for compliant XACML implementations, but, if the functionality is claimed as being supported according to this Profile, then it SHALL be supported in the way described.

Example code listings appear like this.

In descriptions of syntax, elements in angle brackets (“<”, “>”) are to be replaced by appropriate values, square brackets (“[“, “]”) enclose optional elements, elements in quotes are literal components, and “*” indicates that the preceding element may occur zero or more times.

2 Representing the identity of a node

{Normative}

In order for XACML policies to apply consistently to nodes in a hierarchical resource, it is necessary for the nodes in that resource to be represented in a consistent way. If a policy refers to a node using one representation, but a request refers to the node using a different representation, then the policy will not apply, and security may be compromised.

The following sections describe RECOMMENDED representations for nodes in hierarchical resources. Alternative representations of nodes in a given resource are permitted so long as all Policy Administration Points and all Policy Enforcement Points that deal with that resource have contracted to use the alternative representation.

2.1 Nodes in XML documents

{Normative, but optional}

The following URI SHALL be used as the identifier for the functionality specified in this Section of this Profile: urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-id.

The identity of a node in a resource that is represented as an XML document instance SHALL be an XPath expression that evaluates to exactly that one node in the copy of the resource that is contained in the <ResourceContent> element of the <Resource> element of the <Request>.

2.2 Nodes in resources that are not XML documents

{Normative, but optional}

The following URI SHALL be used as the identifier for the functionality specified in this Section of this Profile: urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-id.

The identity of a node in a hierarchical resource that is not represented as an XML document instance SHALL be represented as a URI that conforms to [RFC2396]. Such URIs are of the following form.

<scheme> “:” <authority> “/” <pathname>

File system resources SHALL use the “file:” scheme. If no standard <scheme> for the resource type is specified in [RFC2396] or in a related standard for a registered URI scheme, then the URI SHALL use the “file: scheme.

The <pathname> portion of the URI SHALL be of the form

<root name> [ “/” <node name> ]*

The sequence of <root name> and <node name> values SHALL correspond to the individual hierarchical component names of ancestors of the represented node along the path from a <root> node to the represented node.

The following canonicalization SHALL be used.

3 Requesting access to a node

{Normative}

In order for XACML policies to apply consistently to nodes in a hierarchical resource, it is necessary for each request context that represents a request for access to a node in that resource to use a consistent description of that node access. If a policy refers to certain expected attributes of a node, but the request context does not contain those attributes, or if the attributes are not expressed in the expected way, then the policy may not apply, and security may be compromised.

The following sections describe RECOMMENDED request context descriptions of access to nodes in hierarchical resources. Alternative representations of such requests are permitted so long as all Policy Administration Points and all Policy Enforcement Points that deal with that resource have contracted to use the alternative representation.

3.1 Nodes in an XML document

{Normative, but optional}

The following URI SHALL be used as the identifier for the functionality specified in this Section of this Profile: urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req. The attributes with AttributeIds of “urn:oasis::names:tc:xacml:2.0:resource:resource-parent”, “urn:oasis::names:tc:xacml:2.0:resource:resource-ancestor” and “urn:oasis::names:tc:xacml:2.0:resource:resource-ancestor-or-self” are optional to implement. If supported for use in resources represented as XML documents, the following URIs SHALL be used as identifiers for the functionality they represent: “urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req:resource-parent”, “urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req:resource-ancestor”, and “urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req:resource-ancestor-or-self”.

In order to request access to a resource represented as a node in an XML document, the request context <Resource> element SHALL contain the following elements and XML attributes.

Additional attributes MAY be included in the <Resource> element. In particular, the following attribute MAY be included.

3.2 Nodes in a resource that is not an XML document

{Normative, but optional}

The following URI SHALL be used as the identifier for the functionality specified in this Section of this Profile: urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req. The attributes with AttributeIds of “urn:oasis::names:tc:xacml:2.0:resource:resource-parent”, “urn:oasis::names:tc:xacml:2.0:resource:resource-ancestor”, and “urn:oasis::names:tc:xacml:2.0:resource:resource-ancestor-or-self” are optional to implement. If supported for use in resources that are not represented as XML documents, the following URIs SHALL be used as identifiers for the functionality they represent: “urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req:resource-parent”, “urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req:resource-ancestor”, and “urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req:resource-ancestor-or-self”.

In order to request access to a node in a hierarchical resource that is not represented as an XML document, the request context <Resource> element SHALL NOT contain a <ResourceContent> element. The request context <Resource> element SHALL contain the following elements and XML attributes. Note that a node in a hierarchical resource that is not represented as an XML document MAY have multiple parents. For example, in a file system that supports hard links, there may be multiple normative paths to a single file. Each such path MAY contain different sets of parents and ancestors.

Additional attributes MAY be included in the <Resource> element.

4 Stating policies that apply to nodes

{Non-normative}

This Section describes various ways to specify a policy predicate that can apply to multiple nodes in a hierarchical resource. This is not intended to be an exhaustive list.

4.1 Policies applying to nodes in any hierarchical resource

{Non-normative}

Resource attributes with the following AttributeId values, described in Section 6: New attribute identifiers for hierarchical resources of this Profile, MAY be used to state policies that apply to one or more nodes in any hierarchical resource.

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

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

urn:oasis:names:tc:xacml:2.0:resource:resource-ancestor-or-self

Note that a <ResourceAttributeDesignator> that refers to the “resource-parent”, “resource-ancestor”, or “resource-ancestor-or-selfattribute will return a bag of values representing all normative identities of all parents, ancestors, or ancestors plus the resource itself, respectively, of the resource to which access is being requested. The representations of the identities of these parents, ancestors, or self will not necessarily indicate the path from the root of the hierarchy to the respective parent, ancestor, or self unless the representation recommended in Section 3.2: Nodes in a resource that is not an XML document is used.

The standard XACML [XACML] bag and higher-order bag functions MAY be used to state policies that apply to one or more nodes in any hierarchical resource. The nodes used as arguments to these functions MAY be specified using a <ResourceAttributeDesignator> with the “resource-parent”, “resource-ancestor”, or “resource-ancestor-or-selfAttributeId value.

4.2 Policies applying only to nodes in XML documents

{Non-normative}

For hierarchical resources that are represented as XML document instances, the following function, described in the XACML 2.0 Specification [XACML] MAY be used to state policy predicates that apply to one or more nodes in that resource.

urn:oasis:names:tc:xacml:2.0:function:xpath-node-match

The standard XACML <AttributeSelector> element MAY be used in policies to refer to all or portions of a resource represented as an XML document and contained in the <ResourceContent> element of a request context.

The standard XACML [XACML] bag and higher-order bag functions MAY be used to state policies that apply to one or more nodes in a resource represented as an XML document. The nodes used as arguments to these functions MAY be specified using an <AttributeSelector> that selects a portion of the <ResourceContent> element of the <Resource> element.

4.3 Policies applying only to nodes in non-XML resources

{Non-normative}

For hierarchical resources that are not represented as XML document instances, and where the URI representation of nodes specified in Section 2 of this Profile is used, the following functions described in the XACML 2.0 Specification [XACML] MAY be used to state policies that apply to one or more nodes in that resource.

urn:oasis:names:tc:xacml:1.0:function:anyURI-equal

urn:oasis:names:tc:xacml:1.0:function:regexp-uri-match

5 New DataType

{Normative, but optional}

The following value for the XML DataType attribute value MAY be supported for use with hierarchical resources represented as XML documents. Support for this DataType is required in order to support Section 3.1 in this Profile.

5.1 xpath-expression

The DataType represented by the following URI represents an XPath expression. Attribute values having this DataType SHALL be strings that are to be interpreted as XPath expressions. The result of evaluating such an attribute SHALL be the nodeset that results from evaluating the XPath expression. If the string is not a valid XPath expression, the result of evaluating the attribute SHALL be Indeterminate.

Urn:oasis:names:tc:xacml:2.0:data-type:xpath-expression.

6 New attribute identifiers

{Normative, but optional}

6.1 document-id

The following identifier indicates the identity of the XML document that represents the hierarchy of which the requested resource is a part, and of which a copy is present in the <ResourceContent> element. Whenever access to a node in a resource represented as an XML document is requested, one or more instances of an attribute with this AttributeId MAY be provided in the <Resource> element of the request context. The DataType of these attributes SHALL be “urn:oasis:names:tc:xacml:1.0:data-type:anyURI”.

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

6.2 resource-parent

The following identifier indicates one normative identity of one parent node in the tree or forest of which the requested node is a part. Whenever access to a node in a hierarchical resource is requested, one instance of an attribute with this AttributeId SHALL be provided in the <Resource> element of the request context for each normative representation of each node that is a parent of the requested node.

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

6.3 resource-ancestor

The following identifier indicates one normative identity of one ancestor node in the tree or forest of which the requested node is a part. Whenever access to a node in a hierarchical resource is requested, one instance of an attribute with this AttributeId SHALL be provided in the <Resource> element of the request context for each normative representation of each node that is an ancestor of the requested node.

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

6.4 resource-ancestor-or-self

The following identifier indicates one normative identity of one ancestor node in the tree or forest of which the requested node is a part, or one normative identity of the requested node itself. Whenever access to a node in a hierarchical resource is requested, one instance of an attribute with this AttributeId SHALL be provided in the <Resource> element of the request context for each normative representation of each node that is an ancestor of the requested node, and for each normative representation of the requested node itself.

urn:oasis:names:tc:xacml:2.0:resource:resource-ancestor-or-self

7 New profile identifiers

{normative}

The following URI values SHALL be used as identifiers for the functionality specified in various Sections of this Profile:

Section 2.1: Nodes in XML documents

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-id

Section 2.2: Nodes in resources that are not XML documents

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-id

Section 3.1: Nodes in an XML document

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req

Support for the “resource-parent”, “resource-ancestor”, and “resource-ancestor-or-selfattributes is optional within this Section, so these have separate identifiers:

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req:resource-parent

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req:resource-ancestor

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:xml-node-req:resource-ancestor-or-self

Section 3.2: Nodes in a resource that is not an XML document

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req

Support for the “resource-parent”, “resource-ancestor”, and “resource-ancestor-or-selfattributes is optional within this Section, so these have separate identifiers:

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req:resource-parent

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req:resource-ancestor

urn:oasis:names:tc:xacml:2.0:profile:hierarchical:non-xml-node-req:resource-ancestor-or-self

8 References

[ISO10181-3] ISO/IEC JTC 1, Information technology -- Open Systems Interconnection -- Security frameworks for open systems: Access control framework, ISO/IEC 10181-3:1996, 1996.

[RFC1034] P. Mockapetris, DOMAIN NAMES – CONCEPTS AND FACILITIES, IETF RFC 1034, November 1987, ftp://ftp.isi.edu/in-notes/rfc1034.txt

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

[RFC2396] T. Berners-Lee, et al., Uniform Resource Identifiers (URI): Generic Syntax, http://www.ietf.org/rfc/rfc2396.txt, IETF RFC 2396, August 1998.

[RFC3198] A. Westerinen, et al., Terminology for Policy-Based Management, http://www.ietf.org/rfc/rfc3198.txt, IETF RFC 3198, November 2001.

[MULTIPLE] A. Anderson, ed., Multiple resource profile of XACML v2.0, OASIS Standard, 1 February 2005, http://docs.oasis-open.org/xacml/2.0/access_control-xacml-2.0-mult-profile-spec-os.pdf

[XACML] T. Moses, ed., OASIS eXtensible Access Control Markup Language (XACML) Version 2.0, OASIS Standard, 1 February 2005, http://docs.oasis-open.org/xacml/2.0/access_control-xacml-2.0-core-spec-os.pdf.

[XPath] XML Path Language (XPath), Version 1.0, W3C Recommendation 16, November 1999. Available at http://www.w3.org/TR/xpath

  1. Acknowledgments

The following individuals contributed to the development of the specification:

Anne Anderson

Anthony Nadalin

Bill Parducci

Daniel Engovatov

Don Flinn

Ed Coyne

Ernesto Damiani

Frank Siebenlist

Gerald Brose

Hal Lockhart

Haruyuki Kawabe

James MacLean

John Merrells

Ken Yagen

Konstantin Beznosov

Michiharu Kudo

Michael McIntosh

Pierangela Samarati

Pirasenna Velandai Thiyagarajan

Polar Humenn

Rebekah Metz

Ron Jacobson

Satoshi Hada

Sekhar Vajjhala

Seth Proctor

Simon Godik

Steve Anderson

Steve Crocker

Suresh Damodaran

Tim Moses

Von Welch


  1. Notices

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