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25 <h1>Assurance Policy for CAcert Community Members</h1>
26 <p><a href="PolicyOnPolicy.html"><img src="/images/cacert-policy.png" id="graphics1" alt="CAcert Policy Status == POLICY" align="bottom" border="0" height="33" width="90"></a>
28 Editor: Teus Hagen<br>
29 Creation date: 2008-05-30<br>
30 Last change by: Iang<br>
31 Last change date: 2009-01-08<br>
32 Status: POLICY p20090105.2
35 <h2><a name="0">0.</a> Preamble</h2>
36 <h3><a name="0.1">0.1.</a> Definition of Terms</h3>
38 <dt><i>Member</i> </dt>
39 <dd> A Member is an individual who has agreed to the CAcert
41 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.html" target="_blank">CCA</a>)
42 and has created successfully
43 a CAcert login account on the CAcert web site. </dd>
44 <dt> <i>Assurance</i> </dt>
45 <dd> Assurance is the process by which a Member of CAcert
46 Community (Assurer) identifies an individual (<span lang="en-US">Assuree</span>).
48 <dt> <i>Prospective Member</i> </dt>
49 <dd> An individual who participates in the process of Assurance,
50 but has not yet created a CAcert login account. </dd>
51 <dt> <i>Name</i> </dt>
52 <dd> A Name is the full name of an individual.
54 <dt> <i>Secondary Distinguishing Feature</i>
56 <dd> An additional personal data item of the Member
57 that assists discrimination from Members with similar full names.
58 (Currently this is the Date of Birth (DoB).)
62 <h3><a name="0.2">0.2.</a> The CAcert Web of Trust</h3>
64 In face-to-face meetings,
65 an Assurer allocates a number of Assurance Points
66 to the Member being Assured.
67 CAcert combines the Assurance Points
68 into a global <i>Web-of-Trust</i> (or "WoT").
71 CAcert explicitly chooses to meet its various goals by
72 construction of a Web-of-Trust of all Members.
75 <h3><a name="0.3">0.3.</a> Related Documentation</h3>
77 Documentation on Assurance is split between this
78 Assurance Policy (AP) and the
79 <a href="http://wiki.cacert.org/wiki/AssuranceHandbook2" target="_blank">Assurance
80 Handbook</a>. The policy is controlled by Configuration Control
82 (<a href="http://wiki.cacert.org/wiki/PolicyDrafts/ConfigurationControlSpecification" target="_blank">CCS</a>)
83 under Policy on Policy
84 (<a href="http://www.cacert.org/policy/PolicyOnPolicy.html" target="_blank">PoP</a>)
85 policy document regime. Because Assurance is an active area, much
86 of the practice is handed over to the Assurance Handbook, which is
87 not a controlled policy document, and can more easily respond to
88 experience and circumstances. It is also more readable.
91 See also Organisation Assurance Policy (<a href="http://www.cacert.org/policy/OrganisationAssurancePolicy.html" target="_blank">OAP</a>)
92 and CAcert Policy Statement (<a href="http://www.cacert.org/policy/CertificationPracticeStatement.html" target="_blank">CPS</a>).
95 <h2><a name="1">1.</a> Assurance Purpose</h2>
96 <p>The purpose of Assurance is to add confidence
97 in the Assurance Statement made by the CAcert Community of a Member. </p>
98 <p>With sufficient assurances, a Member may: (a) issue certificates
99 with their assured Name included, (b) participate in assuring others,
100 and (c) other related activities. The strength of these activities is
101 based on the strength of the assurance. </p>
103 <h3><a name="1.1">1.1.</a>The Assurance Statement</h3>
105 The Assurance Statement makes the following claims
110 <p>The person is a bona fide Member. In other words, the
111 person is a member of the CAcert Community as defined by the CAcert
112 Community Agreement (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.html" target="_blank">CCA</a>); </p>
115 <p>The Member has a (login) account with CAcert's on-line
116 registration and service system; </p>
119 <p>The Member can be determined from any CAcert certificate
120 issued by the Account; </p>
123 <p>The Member is bound into CAcert's Arbitration as defined
124 by the CAcert Community Agreement; </p>
127 <p>Some personal details of the Member are known to CAcert:
128 the individual Name(s), primary and other listed individual email
129 address(es), secondary distinguishing feature (e.g. DoB). </p>
132 <p>The confidence level of the Assurance Statement is expressed by
133 the Assurance Points. </p>
134 <h3><a name="1.2">1.2.</a>Relying Party Statement</h3>
135 <p>The primary goal of the Assurance Statement is for the express
136 purpose of certificates to meet the needs of the <i>Relying Party
137 Statement</i>, which latter is found in the Certification Practice
138 Statement (<a href="http://www.cacert.org/policy/CertificationPracticeStatement.html" target="_blank">CPS</a>).
140 <p>When a certificate is issued, some of the Assurance Statement may
141 be incorporated, e.g. Name. Other parts may be implied, e.g.
142 Membership, exact account and status. They all are part of the
143 <i>Relying Party Statement</i>. In short, this means that other
144 Members of the Community may rely on the information verified by
145 Assurance and found in the certificate.</p>
146 <p>In particular, certificates are sometimes considered to provide
147 reliable indications of e.g. the Member's Name and email address. The
148 nature of Assurance, the number of Assurance Points, and other
149 policies and processes should be understood as limitations on any
151 <h2><a name="2">2.</a> The Member</h2>
152 <h3><a name="2.1">2.1.</a> The Member's Name </h3>
154 At least one individual Name is recorded in the Member's
155 CAcert login account. The general standard of a Name is:
160 The Name should be recorded as written in a
161 government-issued photo identity document (ID).
166 The Name should be recorded as completely as possible.
167 That is, including all middle names, any titles and extensions,
168 without abbreviations, and without transliteration of characters.
172 <p>The Name is recorded as a string of characters,
173 encoded in <span lang="en-US">unicode</span>
174 transformation format.</p>
177 <h3><a name="2.2">2.2.</a> Multiple Names and variations</h3>
179 In order to handle the contradictions in the above general standard,
180 a Member may record multiple Names or multiple variations of a Name
181 in her CAcert online Account.
182 Examples of variations include married names,
183 variations of initials of first or middle names,
184 abbreviations of a first name,
185 different language or country variations,
186 and transliterations of characters in a name.
189 <h3><a name="2.3">2.3.</a> Status and Capabilities</h3>
191 A Name which has reached
192 the level of 50 Assurance Points is defined as an Assured
193 Name. An Assured Name can be used in a certificate issued by CAcert.
194 A Member with at least one Assured Name has reached the Assured
196 Additional capabilities are described in Table 1.
200 <p align="left"><font size="2"><i>Table 1:
201 Assurance Capability</i></font></p>
202 <table border="1" cellpadding="5" cellspacing="0">
206 <p align="left"><i>Minimum Assurance Points</i></p>
209 <p align="left"><i>Capability</i></p>
212 <p align="left"><i>Status</i></p>
215 <p align="left"><i>Comment</i></p>
220 <p align="center">0</p>
223 <p align="left">Request Assurance</p>
226 <p align="left">Prospective Member</p>
229 <p align="left">Individual taking part of an
230 Assurance, who does not have created a CAcert login account (yet). The
231 allocation of Assurance Points is awaiting login account creation.</p>
236 <p align="center">0</p>
239 <p align="left">Request unnamed certificates</p>
242 <p align="left">Member</p>
245 <p align="left">Although the Member's details are
246 recorded in the account, they are not highly assured.</p>
251 <p align="center">50</p>
254 <p align="left">Request named certificates</p>
257 <p align="left">Assured Member</p>
260 <p align="left">Statements of Assurance: the Name is
261 assured to 50 Assurance Points or more</p>
266 <p align="center">100</p>
269 <p align="left">Become an Assurer</p>
272 <p align="left">Prospective Assurer</p>
275 <p align="left">Assured to 100 Assurance Points (or
276 more) on at least one Name, and passing the Assurer Challenge.</p>
285 A Member may check the status of another Member, especially
286 for an assurance process.
287 Status may be implied from information in a certificate.
288 The number of Assurance Points for each Member is not published.
292 The CAcert Policy Statement
293 (<a href="http://www.cacert.org/policy/CertificationPracticeStatement.html" target="_blank">CPS</a>)
294 and other policies may list other capabilities that rely on Assurance
298 <h2><a name="3">3.</a> The Assurer</h2>
299 <p>An Assurer is a Member with the following: </p>
302 <p>Is assured to a minimum of 100 Assurance Points; </p>
305 <p>Has passed the CAcert Assurer Challenge. </p>
308 <p>The Assurer Challenge is administered by the Education Team on
309 behalf of the Assurance Officer. </p>
310 <h3><a name="3.1">3.1.</a> The Obligations of the Assurer</h3>
311 <p>The Assurer is obliged to: </p>
314 <p>Follow this Assurance Policy; </p>
317 <p>Follow any additional rules of detail laid out by the
318 CAcert Assurance Officer; </p>
321 <p>Be guided by the CAcert <a href="http://wiki.cacert.org/wiki/AssuranceHandbook2" target="_blank">Assurance Handbook</a> in their
325 <p>Make a good faith effort at identifying and verifying
329 <p>Maintain the documentation on each Assurance; </p>
332 <p>Deliver documentation to Arbitration, or as otherwise
333 directed by the Arbitrator; </p>
336 <p>Keep up-to-date with developments within the CAcert
340 <h2><a name="4">4.</a> The Assurance</h2>
341 <h3><a name="4.1">4.1.</a> The Assurance Process</h3>
342 <p>The Assurer conducts the process of Assurance with each
344 <p>The process consists of: </p>
347 <p>Voluntary agreement by both Assurer and Member or
348 Prospective Member to conduct the Assurance; </p>
351 <p>Personal meeting of Assurer and Member or Prospective
355 <p>Recording of essential details on CAcert Assurance
359 <p>Examination of Identity documents by Assurer and
360 verification of recorded details (the Name(s) and Secondary
361 Distinguishing Feature, e.g., DoB); </p>
364 <p>Allocation of Assurance Points by Assurer; </p>
367 <p>Optional: supervision of reciprocal Assurance made by
368 Assuree (Mutual Assurance); </p>
371 <p>Safekeeping of the CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
372 forms by Assurer. </p>
375 <h3><a name="4.2">4.2.</a> Mutual Assurance</h3>
376 <p>Mutual Assurance follows the principle of reciprocity. This
378 that the Assurance may be two-way, and that each member participating
379 in the Assurance procedure should be able to show evidence of their
380 identity to the other. </p>
381 <p>In the event that an Assurer is assured by a Member who is not
382 certified as an Assurer, the Assurer supervises the Assurance
383 procedure and process, and is responsible for the results. </p>
384 <p>Reciprocity maintains a balance between the (new) member and
386 Assurer, and reduces any sense of power. It is also an important aid
387 to the assurance training for future Assurers. </p>
389 <h3><a name="4.3">4.3.</a> Assurance Points</h3>
390 <p>The Assurance applies Assurance Points to each Member which
391 measure the increase of confidence in the Statement (above).
392 Assurance Points should not be interpreted for any other purpose.
393 Note that, even though they are sometimes referred to as <i>Web-of-Trust</i>
394 (Assurance) Points, or <i>Trust</i> Points, the meaning
396 'Trust' is not well defined. </p>
397 <p><i>Assurance Points Allocation</i><br>
398 An Assurer can allocate a
399 number of Assurance Points to the Member according to the Assurer's
400 experience (Experience Point system, see below). The allocation of
401 the maximum means that the Assurer is 100% confident in the
402 information presented: </p>
405 <p>Detail on form, system, documents, person in accordance; </p>
408 <p>Sufficient quality identity documents have been checked; </p>
411 <p>Assurer's familiarity with identity documents; </p>
414 <p>The Assurance Statement is confirmed. </p>
418 Any lesser confidence should result in less Assurance Points for a
419 Name. If the Assurer has no confidence in the information presented,
420 then <i>zero</i> Assurance Points may be allocated by the Assurer.
421 For example, this may happen if the identity documents are totally
422 unfamiliar to the Assurer. The number of Assurance Points from <i>zero</i>
423 to <i>maximum</i> is guided by the Assurance Handbook
424 and the judgement of the Assurer.
425 If there is negative confidence the Assurer should consider
428 <p>Multiple Names should be allocated Assurance Points
429 independently within a single Assurance. </p>
431 A Member who is not an Assurer may award an Assurer in a
432 reciprocal process a maximum of 2 Assurance Points, according to
433 her judgement. The Assurer should strive to have the Member allocate
434 according to the Member's judgement, and stay on the cautious side;
435 the Member new to the assurance process
436 should allocate <i>zero</i> Assurance Points
437 until she gains some confidence in what is happening.
440 In general, for a Member to reach 50 Assurance Points, the Member must
441 have participated in at least two assurances, and
442 at least one Name will have been assured to that level.
445 To reach 100 Assurance
446 Points, at least one Name of the Assured Member must have been
447 assured at least three times.
450 The maximum number of Assurance
451 Points which can be allocated for an Assurance under this policy
452 and under any act under any
453 Subsidiary Policy (below) is 50 Assurance Points.
456 <h3><a name="4.4">4.4.</a> Experience Points</h3>
457 <p>The maximum number of Assurance Points that may be awarded by
459 Assurer is determined by the Experience Points of the Assurer. </p>
461 <p align="left"><font size="2"><i>Table 2:
462 Maximum of Assurance Points </i></font>
464 <table border="1" cellpadding="2" cellspacing="0" width="15%">
468 <p><i>Assurer's Experience Points</i></p>
471 <p><i>Allocatable Assurance Points</i></p>
476 <p align="center">0</p>
479 <p align="center">10</p>
484 <p align="center">10</p>
487 <p align="center">15</p>
492 <p align="center">20</p>
495 <p align="center">20</p>
500 <p align="center">30</p>
503 <p align="center">25</p>
508 <p align="center">40</p>
511 <p align="center">30</p>
516 <p align="center">>=50</p>
519 <p align="center">35</p>
525 <p>An Assurer is given a maximum of 2 Experience Points for every
526 completed Assurance. On reaching Assurer status, the Experience
527 Points start at 0 (zero). </p>
528 <p>Less Experience Points (1) may be given for mass Assurance
530 where each Assurance is quicker. </p>
531 <p>Additional Experience Points may be granted temporarily or
532 permanently to an Assurer by CAcert Inc.'s Committee (board), on
533 recommendation from the Assurance Officer. </p>
534 <p>Experience Points are not to be confused with Assurance
536 <h3><a name="4.5">4.5.</a> CAcert Assurance Programme (CAP) form</h3>
537 <p>The CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
538 form requests the following details of each Member or Prospective
542 <p>Name(s), as recorded in the on-line account; </p>
545 <p>Primary email address, as recorded in the on-line account;
549 <p>Secondary Distinguishing Feature, as recorded in the
550 on-line account (normally, date of birth); </p>
553 <p>Statement of agreement with the CAcert Community
557 <p>Permission to the Assurer to conduct the Assurance
558 (required for privacy reasons); </p>
561 <p>Date and signature of the Assuree. </p>
564 <p>The CAP form requests the following details of the Assurer: </p>
567 <p>At least one Name as recorded in the on-line account of
571 <p>Assurance Points for each Name in the identity
575 <p>Statement of Assurance; </p>
578 <p>Optional: If the Assurance is reciprocal, then the
579 Assurer's email address and Secondary Distinguishing Feature are
580 required as well; </p>
583 <p>Date, location of Assurance and signature of Assurer. </p>
586 <p>The CAP forms are to be kept at least for 7 years by the
588 <h2><a name="5">5.</a> The Assurance Officer</h2>
589 <p>The Committee (board) of CAcert Inc. appoints an Assurance
591 with the following responsibilities: </p>
594 <p>Reporting to the Committee and advising on all matters to
595 do with Assurance; </p>
598 <p>Training and testing of Assurers, in association with the
602 <p>Updating this Assurance Policy, under the process
603 established by Policy on Policy (<a href="https://www.cacert.org/policy/PolicyOnPolicy.html" target="_blank">PoP</a>); </p>
606 <p>Management of all Subsidiary Policies (see below) for
607 Assurances, under Policy on Policy; </p>
610 <p>Managing and creating rules of detail or procedure where
611 inappropriate for policies; </p>
614 <p>Incorporating rulings from Arbitration into policies,
615 procedures or guidelines; </p>
618 <p>Assisting the Arbitrator in any requests; </p>
621 <p>Managing the Assurer Handbook; </p>
624 <p>Maintaining a sufficient strength in the Assurance process
625 (web-of-trust) to meet the agreed needs of the Community. </p>
628 <h2><a name="6">6.</a> Subsidiary Policies</h2>
629 <p>The Assurance Officer manages various exceptions and additional
630 processes. Each must be covered by an approved Subsidiary Policy
631 (refer to Policy on Policy => CAcert Official Document COD1).
632 Subsidiary Policies specify any additional tests of knowledge
633 required and variations to process and documentation, within the
634 general standard stated here. </p>
635 <h3><a name="6.1">6.1.</a> Standard</h3>
636 <p>Each Subsidiary Policy must augment and improve the general
637 standards in this Assurance Policy. It is the responsibility of each
638 Subsidiary Policy to describe how it maintains and improves the
639 specific and overall goals. It must describe exceptions and potential
642 <h3><a name="6.2">6.2.</a> High Risk Applications</h3>
643 <p>In addition to the Assurance or Experience Points ratings set
644 here and in other subsidiary policies, the Assurance Officer or policies can
645 designate certain applications as high risk. If so, additional
646 measures may be added to the Assurance process that specifically
647 address the risks.</p>
648 <p>Additional measures may include:
652 <p>Additional information can be required in process of assurance: </p>
654 <li>unique numbers of identity documents,</li>
655 <li>photocopy of identity documents,</li>
656 <li>photo of User,</li>
657 <li>address of User.</li>
659 <p>Additional Information is to be kept by Assurer, attached to
660 CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
661 form. Assurance Points allocation by this assurance is unchanged.
662 User's CAcert login account should be annotated to record type of
663 additional information;</p>
668 <li> Member to participate in Arbitration. This confirms
669 their acceptance of the forum as well as trains in the process and
672 <li> Member to file Arbitration to present case. This
673 allows Arbitrator as final authority;
678 <p>Additional training; </p>
681 <p>Member to be Assurer (at least 100 Assurance Points and
682 passed Assurer Challenge); </p>
685 <p>Member agrees to additional specific agreement(s); </p>
688 <p>Additional checking/auditing of systems data by CAcert
689 support administrators. </p>
692 <p>Applications that might attract additional measures include
693 code-signing certificates and administration roles. </p>
694 <h2><a name="7">7.</a> Privacy</h2>
695 <p>CAcert is a "privacy" organisation, and takes the
696 privacy of its Members seriously. The process maintains the security
697 and privacy of both parties. </p>
698 <p>Information is collected primarily to make claims within the
699 certificates requested by users and to contact the Members. It is
700 used secondarily for training, testing, administration and other
701 internal purposes. </p>
702 <p>The Member's information can be accessed under these
706 <p>Under Arbitrator ruling, in a duly filed dispute (<a href="http://www.cacert.org/policy/DisputeResolutionPolicy.html" target="_blank">Dispute Resolution Policy</a>
710 <p>An Assurer in the process of an Assurance, as permitted on
711 the CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
715 <p>CAcert support administration and CAcert systems
716 administration when operating under the authority of Arbitrator or
717 under CAcert policy. </p>
720 <p><a href="http://validator.w3.org/check?uri=referer"><img src="/images/valid-xhtml11-blue" id="graphics2" alt="Valid XHTML 1.1" align="bottom" border="0" height="33" width="90"></a>
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