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6 <title> Organisation Assurance Policy </title>
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23 Name: OAP <a style="color: steelblue" href="//svn.cacert.org/CAcert/Policies/ControlledDocumentList.html">COD11</a><br />
25 Status: POLICY/DRAFT <a style="color: steelblue" href="//wiki.cacert.org/wiki/TopMinutes-20070917">m20070918.x </a><br />
27 <span class="draftadd">DRAFT p20080401.1 </span> <br />
28 Editor: Jens Paul <br />
29 Licence: <a style="color: steelblue" href="//wiki.cacert.org/Policy#Licence" title="this document is Copyright © CAcert Inc., licensed openly under CC-by-sa with all disputes resolved under DRP. More at wiki.cacert.org/Policy" > CC-by-sa+DRP </a><br /></td>
30 <td valign="top" align="right">
31 <a href="//www.cacert.org/policy/PolicyOnPolicy.html"><img src="/images/cacert-policy.png" alt="OAP Status - POLICY" height="31" width="88" style="border-style: none;" /></a><br />
32 <a href="//www.cacert.org/policy/PolicyOnPolicy.html"><img src="/images/cacert-draft.png" alt="OAP Status - DRAFT" height="31" width="88" style="border-style: none;" /></a>
40 <h1> Organisation Assurance Policy </h1>
42 <h2 id="s0">0. Preliminaries </h2>
45 This policy describes how Organisation Assurers ("OAs")
46 conduct Assurances on Organisations.
47 It fits within the overall web-of-trust
48 or Assurance process of CAcert.
52 This policy is not a Controlled document, for purposes of
53 Configuration Control Specification ("CCS").
56 <h2 id="s1"> 1. Purpose </h2>
59 Organisations with assured status can issue certificates
60 directly with their own domains within.
64 The purpose and statement of the certificate remains
65 the same as with ordinary users (natural persons)
66 and as described in the CPS.
70 The organisation named within is identified.
72 The organisation has been verified according
75 The organisation is within the jurisdiction
76 and can be taken to CAcert Arbitration.
80 <h2 id="s2"> 2. Roles and Structure </h2>
82 <h3 id="s2.1"> 2.1 Assurance Officer </h3>
85 The Assurance Officer ("AO")
86 manages this policy and reports to the CAcert Inc. Committee ("Board").
90 The AO manages all OAs and is responsible for process,
91 the CAcert Organisation Assurance Programme ("COAP") form,
92 OA training and testing, manuals, quality control.
93 In these responsibilities, other Officers will assist.
96 The OA is appointed by the Board.
97 Where the OA is failing the Board decides.
100 <h3 id="s2.2"> 2.2 Organisation Assurers </h3>
106 An OA must be an experienced Assurer
108 <li>Have 150 assurance points.</li>
109 <li>Be fully trained and tested on all general Assurance processes.</li>
113 Must be trained as Organisation Assurer.
115 <li> Global knowledge: This policy. </li>
116 <li> Global knowledge: A OA manual covers how to do the process.</li>
117 <li> Local knowledge: legal forms of organisations within jurisdiction.</li>
118 <li> Basic governance. </li>
119 <li> Training may be done a variety of ways,
120 such as on-the-job, etc. </li>
126 <li> Global test: Covers this policy and the process. </li>
127 <li> Local knowledge: Subsidiary Policy to specify.</li>
128 <li> Tests to be created, approved, run, verified
129 by CAcert only (not outsourced). </li>
130 <li> Tests are conducted manually, not online/automatic. </li>
131 <li> Documentation to be retained. </li>
132 <li> Tests may include on-the-job components. </li>
138 <li> Two supervising OAs must sign-off on new OA,
139 as trained, tested and passed.
141 <li> AO must sign-off on a new OA,
142 as supervised, trained and tested.
146 <li>The OA can decide when a CAcert
148 has done several OA Application Advises to appoint this
149 person to OA Assurer.
154 <h3 id="s2.3"> 2.3 Organisation Assurance Advisor ("OAA") </h3>
155 <p>In countries/states/provinces where no OA Assurers are
156 operating for an OA Application (COAP) the OA
157 can be advised by an experienced local CAcert
158 (individual) Assurer to take the decision
159 to accept the OA Application (COAP) of the organisation.
162 The local Assurer must have at least 150 Points,
163 should know the language, and know
164 the organisation trade office registry culture and quality.
168 <h3 id="s2.4"> 2.4 Organisation Administrator </h3>
171 The Administrator within each Organisation ("O-Admin")
172 is the one who handles the assurance requests
173 and the issuing of certificates.
177 O-Admin must be Assurer
179 <li>Have 100 assurance points.</li>
180 <li>Fully trained and tested as Assurer.</li>
184 Organisation is required to appoint O-Admin,
185 and appoint ones as required.
187 <li> On COAP Request Form.</li>
191 O-Admin must work with an assigned OA.
193 <li> Have contact details.</li>
199 <h2 id="s3"> 3. Policies </h2>
201 <h3 id="s3.1"> 3.1 Policy </h3>
204 There is one policy being this present document,
205 and several subsidiary policies.
209 <li> This policy authorises the creation of subsidiary policies. </li>
210 <li> This policy is international. </li>
211 <li> Subsidiary policies are implementations of the policy. </li>
212 <li> Organisations are assured under an appropriate subsidiary policy. </li>
215 <h3 id="s3.2"> 3.2 Subsidiary Policies </h3>
218 The nature of the Subsidiary Policies ("SubPols"):
222 SubPols are purposed to check the organisation
223 under the rules of the jurisdiction that creates the
224 organisation. This does not evidence an intention
226 enter into the local jurisdiction, nor an intention
227 to impose the rules of that jurisdiction over any other
229 CAcert assurances are conducted under the jurisdiction
233 SubPol specifies the <i>tests of local knowledge</i>
234 including the local organisation assurance COAP forms.
237 SubPol specifies the <i>local documentation forms</i>
238 which are acceptable under this SubPol to meet the
241 SubPols are subjected to the normal
242 policy approval process.
245 <h3 id="s3.3"> 3.3 Freedom to Assemble </h3>
248 Subsidiary Policies are open, accessible and free to enter.
252 SubPols compete but are compatible.
254 No SubPol is a franchise.
256 Many will be on State or National lines,
258 tradition of organisations created
259 ("incorporated") by states.
261 However, there is no need for strict national lines;
262 it is possible to have 2 SubPols in one country, or one
263 covering several countries with the same language
264 (e.g., Austria with Germany, England with Wales but not Scotland).
266 There could also be SubPols for special
267 organisations, one person organisations,
268 UN agencies, churches, etc.
270 Where it is appropriate to use the SubPol
271 in another situation (another country?), it
273 (e.g., Austrian SubPol might be approved for Germany.)
274 The SubPol must record this approval.
278 <h2 id="s4"> 4. Process </h2>
280 <h3 id="s4.1"> 4.1 Standard of Organisation Assurance </h3>
282 The essential standard of Organisation Assurance is:
286 the organisation exists
288 the organisation name is correct and consistent:
290 <li>in official documents specified in SubPol.</li>
291 <li>on COAP form.</li>
292 <li>in CAcert database.</li>
293 <li>form or type of legal entity is consistent</li>
297 requestor can sign on behalf of the organisation.
299 the organisation has agreed to the terms of the
300 CAcert Community Agreement
301 and is therefore subject to Arbitration.
305 Acceptable documents to meet above standard
306 are stated in the SubPol.
309 <h3 id="s4.2"> 4.2 COAP </h3>
311 The COAP form documents the checks and the resultant
312 assurance results to meet the standard.
313 Additional information to be provided on form:
317 CAcert account of O-Admin (email address?)
321 <li>country (MUST).</li>
322 <li>city (MUST).</li>
323 <li>additional contact information (as required by SubPol).</li>
326 administrator account name(s) (1 or more)
331 CAcert Community Agreement.
332 Statement and initials box for organisation
335 Date of completion of Assurance.
336 Records should be maintained for 7 years from
341 The COAP should be in English. Where translations
342 are provided, they should be matched to the English,
343 and indication provided that the English is the
344 ruling language (due to Arbitration requirements).
347 <h3 id="s4.3"> 4.3 Jurisdiction </h3>
350 Organisation Assurances are carried out by
351 CAcert Inc. under its Arbitration jurisdiction.
352 Actions carried out by OAs are under this regime.
356 The organisation has agreed to the terms of the
357 CAcert Community Agreement.
359 The organisation, the Organisation Assurers, CAcert and
360 other related parties are bound into CAcert's jurisdiction
361 and dispute resolution.
363 The OA is responsible for ensuring that the
364 organisation reads, understands, intends and
366 CAcert Community Agreement.
367 This OA responsibility should be recorded on COAP
368 (statement and initials box).
371 <h2 id="s5"> 5. Exceptions </h2>
375 <b> Conflicts of Interest.</b>
376 An OA must not assure an organisation in which
377 there is a close or direct relationship by, e.g.,
378 employment, family, financial interests.
379 Other conflicts of interest must be disclosed.
381 <b> Trusted Third Parties.</b>
382 TTPs are not generally approved to be part of
383 organisation assurance,
384 but may be approved by subsidiary policies according
387 <b>Exceptional Organisations.</b>
388 (e.g., Vatican, International Space Station, United Nations)
389 can be dealt with as a single-organisation
391 The OA creates the checks, documents them,
392 and subjects them to to normal policy approval.
395 Alternative names for organisations
396 (DBA, "doing business as")
397 can be added as long as they are proven independently.
398 E.g., registration as DBA or holding of registered trade mark.
399 This means that the anglo law tradition of unregistered DBAs
400 is not accepted without further proof.