Ongoing draft available at 

Preliminary version (2018-07-31, as a pdf) of the AARC Policy Development Kit.


Provide new or evolving Research Communities  and Infrastructures with the guidance they need to develop a complete policy suite supporting Federated Identity Management. This should be done with input from the wider community, through FIM4R, WISE and relevant bodies. For this work in AARC, the policy kit should be tightly scoped to the blueprint architecture but there is an expectation that the work be extended to be relevant for infrastructures in general. 


Operational Management of Research Communities and their respective infrastructures


  1. Identify key actors in Blueprint Architecture (Membership Manager, Proxy Operator, etc) 
  2. Identify Policies Required for Compliance with Snctfi
  3. Identify Example Policies from other infrastructures to serve as inspiration
  4. Produce a training module to enable Research Communities to have a basic starter pack for policies
    1. Introduce the concept of frameworks and policies, why are they important 
    2. Introduce Snctfi
    3. Encourage RC actors to make policy decisions (e.g. log retention, minimum assurance etc)
    4. Translate those decisions into policy templates
    5. Q & A
  5. Place templates on the AARC Website and produce an AARC Guideline document that links to each piece


  • RCs/Infrastructures may not have a security focussed person, could just be a PI. Definitely can't assume CSIRT body 
  • Those using this policy pack are following the AARC blueprint


  1. Stable DP CoCo Version
  2. Aligned AUP AARC Deliverable

Use Cases

  • EPOS
  • Life Sciences
  • HelmHoltz Data Federation


  • PI/Membership Manager (including Security Contact) 
  • Proxy Operator
  • Users
  • Service Management (including Security Contact)
  • Infrastructure Management (including Security Contact)

Next Steps

  1. Excel of Training Course 
  2. Document of content 
  3. Slides pending

Which policies do we need?

Policy NeedSourceTemplate BasisAudienceCommentNameWhat should we produce?Actions
Incident Response ProcedureSirtfiEGI Incident Response, should link to Sirtfi, AARC workProxy, Services
  • What about policies?
  • Incident Response Procedure from AARC
Incident Response ProcedureTemplateH to add template based on AARC and EGI

Policy on

  • authentication, 
  • authorisation, 
  • access control, 
  • physical and network security, 
  • security vulnerability handling and 
  • security incident handling → IR procedure

for all Constituents

SnctfiEGI Operational Security PolicyProxy, Services

Top level policy that covers physical and network security, vulnerability handling and refers to additional policies on Acceptable Assurance, Incident Response Procedure, Membership management

We either make very modular or try to make this quite long

Top Level PolicyTemplate
AUP for end usersSnctfiWISE Baseline AUPUsers
  • EGI seems to have 2 AUPS, Infrastructure and User Community
  • Wait for Ian's WISE Baseline AUP
Infrastructure AUPTemplateWait for Ian, check with him
Collections of users' aims and purposesSnctfi

This is the User Community AUP. There is an example somewhere. Would be better if these could be combined.

Policies and procedures regulating the behaviour of the management of the Collection of users 

SnctfiEGI Membership Management
In XSEDE it's much more simpleMembership ManagementTemplateU to add template based on

Data Protection Policy, e.g. DP CoCov2

Could be included in top levelData Protection Code of ConductFramework descriptionU to go through CoCov2 and check whether this is prescriptive enough

Privacy Policy 

CoCoCoCo Template

Privacy PolicyTemplateH to add the Privacy Policy template from CoCov2
Policy on eligibility to join the infrastructure (i.e. services)Elixir

NOT Similar to EGI Service Operations, there is some overlap with the Top Level Policy.

Try and include in overall policy

Service EligibilityTemplate
Data Protection Impact Assessment (DPIA)Data Privacy Statement

NOT A POLICY but could inform policy decisions. Could be one of the steps to think about before the policy.

Acceptable Authentication Assurance

We should make people think about this, but RAF not quite ready.
TemplateVery basic template included

Example Policy Sets

Differences with EGI Policies?

  • Cannot assume a CSIRT for each Infrastructure
  • Assume there is one AUP
  • Resource Centres are not relevant
  • There are not necessarily multiple User Communities

Reword "Research Community" to Infrastructure
IR Procedure Template, cross check with CTSC & EGI, add internal part
AUP Template, should be a reasonable version
Membership Management Template
CoCov2 Privacy Policy Template
Check whether CoCov2 can be our "policy"
Send an update to Irina
Consider DPIA
Put on AARC Website/Moodle in a modular format
Irina & Consultant
Ask David about RAF and Assurance Profiles


Move frameworks before policies
Top Level Policy, check whether it really covers things
Add "Other things you may want to think about"
Add diagram
Send invitation
Disseminate invitation
Acceptable Authentication Assurance improve
Put on slides and give to Irina
Insert "top" Data Protection Policy (for Infra), in comparison per Service
Update AUP to reflect recent changes (2018-07-31)

Notes & Thoughts 

Objective: Provide new or evolving Research Communities  and Infrastructures with the guidance they need to develop a complete policy suite supporting Federated Identity Management

Audience: Operational Management of Research Communities and their respective infrastructures 

Relevant questions:

  • We’re worried that we will have legal issues receiving federated identities, which policies do we need?

  • What is a reasonable expectation of assurance of incoming identities? 

  • How can I ensure that all my users are covered by an incident response capability?

  • What checks and measures should I put in place when managing the users of my community services, or members of virtual organisations? 

Introductory Content:

  • Make clear why these policies should be adopted, where they have come from and examples of how they help

Policy Areas:

(Would be good to have actionable points as well as dry document examples)

(Can we encourage people to be in the right mindset to make their own decisions about timelines for policy decisions etc)

Snctfi (top level)  -- for scalable, bounded communities

Data Protection & Privacy

Membership management & AUP

  • Can cover Users, Communities and contributing services

  • Attribute request/release

  • AUP - Acceptable Use Policy 

  • Accounting, logging, monitoring policies

  • LoA (What is the acceptable level? Is step up required?)

Security Incident Response 

  • Sirtfi (Able to assert for RC? Require it for incoming federated users? Is step up required?)

  • AARC deliverable template

  • Security policies e.g. EGI

Sources of input:

  • EGI security and community policies

  • AARC templates

  • CoCo work

  • WLCG policies

  • ELIXIR AAI strategy Appendix A: Acceptable Usage Policy, Appendix B: Policy for Relying Parties, Appendix C: Requirements for ELIXIR AAI operators

Also, maybe we can re-use the EGI work (Security and Community policies)

Crazy ideas for how this could work...

  • Moodle course walking people through decisions for each policy aspect

  • Website static pages (bit dull) 

  • Recorded video snippets for each aspect (Uros and Hannah can do a double act of questions and answers!)

  • “Click in” style website 

  • Road show

  • Face-to-face session where we split the room into sections and ask for questions on specific policies 

  • Recorded interviews with experts on specific topics, e.g. GDPR, Security Incident Response

Key Ideas for each topic:

  • What is this policy for?

  • Sub policies

  • Does my RC/Infrastructure need it? 

  • What do I need to do? 

  • Who needs to agree to the policy and where should it live?

  • Template

Could group as:

  • General Policies

  • Audience Specific 

See e.g.!master/navigator/project?P:1412060393:1412060393:subDocs


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