SML 2 — Legal and Jurisdictional Sovereignty
Legal and Jurisdictional sovereignty evaluates the legal frameworks, geographic processing boundaries, and regulatory environments governing the services.
Approved Jurisdictions List (AJL)
Please find an example for an Approved Jurisdictions List (AJL) here
SML 2.CO 1 Jurisdictional Alignment of Governance and Control
Objective: To ensure that entities exercising governance, control, and decision-making authority over the service are subject to jurisdictions listed in the Approved Jurisdictions List (AJL).
Sovereignty Contribution: Establishes legal sovereignty by ensuring that decisive governance and control over the service are exercised within trusted jurisdictions, enabling enforceability and reducing exposure to conflicting legal frameworks.
SML 2.CO 1.C 1 (Governance and Operations)
- Scope: Service Provider
- Service Type: All
- The legal entity exercising decisive governance, control or decision-making authority over the service is incorporated in a jurisdiction listed in the AJL.
- SML 2.CO 1.C 1.Q 1: Is the legal entity exercising decisive governance, control or decision-making authority over the service incorporated in a jurisdiction listed in the AJL?
SML 2.CO 1.C 2 (Governance and Operations)
- Scope: Service Provider
- Service Type: All
- All relevant entities that exercise governance, control or decision-making authority over the service are clearly defined and incorporated in a jurisdiction listed in the AJL.
- SML 2.CO 1.C 2.Q 1: Are all relevant entities that exercise governance, control, or decision-making authority over the service clearly defined and incorporated in a jurisdiction listed in the AJL?
SML 2.CO 1.C 3 (Governance and Operations)
- Scope: Service Provider
- Service Type: All
- Jurisdictional alignment of governance and control entities is regularly reviewed and documented.
- SML 2.CO 1.C 3.Q 1: Is the jurisdictional alignment of governance and control entities regularly reviewed and documented?
SML 2.CO 2 Jurisdiction of Service Delivery and Data Processing
Objective: To ensure that service delivery, data processing, and operational execution occur within jurisdictions listed in the Approved Jurisdictions List (AJL).
Sovereignty Contribution: Strengthens legal sovereignty by ensuring that service delivery and data processing are performed within trusted jurisdictions, reducing exposure to conflicting legal frameworks.
SML 2.CO 2.C 1 (Contractual)
- Scope: Service Provider
- Service Type: All
- Contractual agreements ensure that data processing by the service provider is restricted to jurisdictions listed in the AJL.
- SML 2.CO 2.C 1.Q 1: Do contractual agreements ensure that data processing by the service provider is restricted to jurisdictions listed in the AJL?
SML 2.CO 2.C 2 (Contractual)
- Scope: Underlying Service
- Service Type: All
- Contractual agreements ensure that data processing by underlying service providers is restricted to jurisdictions listed in the AJL.
- SML 2.CO 2.C 2.Q 1: Do contractual agreements ensure that data processing by underlying service providers is restricted to jurisdictions listed in the AJL?
SML 2.CO 2.C 3 (Governance and Operations)
- Scope: Service Provider
- Service Type: All
- Service delivery and operational execution by the service provider are performed within jurisdictions listed in the AJL.
- SML 2.CO 2.C 3.Q 1: Are service delivery and operational execution by the service provider performed within jurisdictions listed in the AJL?
SML 2.CO 2.C 4 (Governance and Operations)
- Scope: Underlying Service
- Service Type: All
- Service delivery and operational execution by underlying service providers are performed within jurisdictions listed in the AJL.
- SML 2.CO 2.C 4.Q 1: Are service delivery and operational execution by underlying service providers performed within jurisdictions listed in the AJL?
SML 2.CO 2.C 5 (Governance and Operations)
- Scope: Service Provider
- Service Type: All
- Any service delivery or data processing outside jurisdictions listed in the AJL is identified, assessed, and formally approved.
- SML 2.CO 2.C 5.Q 1: Is any service delivery or data processing outside jurisdictions listed in the AJL identified, assessed, and formally approved?
SML 2.CO 3 Contractual Transparency and Legal Framework
Objective: To ensure that contractual agreements clearly define applicable law, jurisdiction, and key rights and obligations related to the service.
Sovereignty Contribution: Strengthens legal sovereignty by ensuring that contractual frameworks are transparent, enforceable, and aligned with trusted jurisdictions.
SML 2.CO 3.C 1 (Contractual)
- Scope: Client-Facing Service
- Service Type: All
- Contracts clearly define the applicable law governing the service.
- SML 2.CO 3.C 1.Q 1: Do contracts clearly define the applicable law governing the service?
SML 2.CO 3.C 2 (Contractual)
- Scope: Client-Facing Service
- Service Type: All
- Contracts clearly define the jurisdiction and competent courts for dispute resolution.
- SML 2.CO 3.C 2.Q 1: Do contracts clearly define the jurisdiction and competent courts for dispute resolution?
SML 2.CO 3.C 3 (Contractual)
- Scope: Client-Facing Service
- Service Type: All
- Contracts clearly define key rights and obligations related to the service, including responsibilities of all involved parties.
- SML 2.CO 3.C 3.Q 1: Do contracts clearly define key rights and obligations related to the service?
SML 2.CO 4 Legal Enforceability and Protection of Rights
Objective: To ensure that rights and obligations related to the service are enforceable and protected within jurisdictions listed in the AJL, including protection against conflicting or extraterritorial legal access.
Sovereignty Contribution: Strengthens legal sovereignty by ensuring that contractual rights can be effectively enforced and that exposure to conflicting legal regimes is minimized.
SML 2.CO 4.C 1 (Contractual)
- Scope: Underlying Service
- Service Type: All
- Contracts ensure that rights and obligations related to the service are enforceable within jurisdictions listed in the AJL.
- SML 2.CO 4.C 1.Q 1: Do contracts ensure that rights and obligations related to the service are legally enforceable within jurisdictions listed in the AJL?
SML 2.CO 4.C 2 (Contractual)
- Scope: Underlying Service
- Service Type: All
- Contracts address and restrict exposure to extraterritorial legal access or conflicting legal obligations.
- SML 2.CO 4.C 2.Q 1: Do contracts address and restrict exposure to extraterritorial legal access or conflicting legal obligations?
SML 2.CO 4.C 3 (Governance and Operations)
- Scope: Service Provider
- Service Type: All
- Legal risks related to enforceability and conflicting jurisdictions are identified, assessed, and managed.
- SML 2.CO 4.C 3.Q 1: Are legal risks related to enforceability and conflicting jurisdictions identified, assessed, and managed?
SML 2.CO 4.C 4 (Governance and Operations)
- Scope: Service Provider
- Service Type: All
- Mechanisms and processes are in place to handle legal requests or claims from non-AJL jurisdictions.
- SML 2.CO 4.C 4.Q 1: Are mechanisms and processes in place to handle legal requests or claims from non-AJL jurisdictions?
SML 2.CO 4.C 5 (Technical)
- Scope: Service Provider
- Service Type: All
- Technical measures are implemented to support protection against unauthorized or extraterritorial access to the service.
- SML 2.CO 4.C 5.Q 1: Are technical measures implemented to support protection against unauthorized or extraterritorial access to the service?
SML 2.CO 5 Exposure to Non-AJL Jurisdictions
Objective: To ensure that exposure to jurisdictions not listed in the AJL is identified, assessed, and appropriately managed.
Sovereignty Contribution: Strengthens legal sovereignty by providing transparency regarding third-country exposure and ensuring that associated risks are actively managed and mitigated.
SML 2.CO 5.C 1 (Contractual)
- Scope: Client-Facing Service
- Service Type: All
- Contracts transparently disclose any involvement in the provision of the service by jurisdictions not listed in the AJL.
- SML 2.CO 5.C 1.Q 1: Do contracts transparently disclose any involvement in the provision of the service by jurisdictions not listed in the AJL?
SML 2.CO 5.C 2 (Contractual)
- Scope: Client-Facing Service
- Service Type: All
- Contracts define safeguards and conditions for the involvement of jurisdictions not listed in the AJL.
- SML 2.CO 5.C 2.Q 1: Do contracts define safeguards and conditions for the involvement of jurisdictions not listed in the AJL?
Mapping of the Objectives to the corresponding Sovereignty Maturity Level
| ID | Initial | Managed | Advanced | Future-Proof |
|---|---|---|---|---|
| SML 2.CO 1.C 1 | x | x | x | x |
| SML 2.CO 1.C 2 | x | x | x | |
| SML 2.CO 1.C 3 | x | x | ||
| SML 2.CO 2.C 1 | x | x | x | x |
| SML 2.CO 2.C 2 | x | x | x | |
| SML 2.CO 2.C 3 | x | x | ||
| SML 2.CO 2.C 4 | x | x | ||
| SML 2.CO 2.C 5 | x | |||
| SML 2.CO 3.C 1 | x | x | x | x |
| SML 2.CO 3.C 2 | x | x | x | |
| SML 2.CO 3.C 3 | x | x | ||
| SML 2.CO 4.C 1 | x | x | x | x |
| SML 2.CO 4.C 2 | x | x | x | |
| SML 2.CO 4.C 3 | x | x | ||
| SML 2.CO 4.C 4 | x | x | ||
| SML 2.CO 4.C 5 | x | |||
| SML 2.CO 5.C 1 | x | x | x | |
| SML 2.CO 5.C 2 | x | x |