++Editor: Teus Hagen
+Creation date: 2008-05-30
+Last change by: Iang
+Last change date: 2009-01-08
+Status: POLICY p20090105.2 +
+
+Editor: Teus Hagen
+Creation date: 2008-05-30
+Last change by: Iang
+Last change date: 2009-01-08
+Status: POLICY p20090105.2
+
+In face-to-face meetings, +an Assurer allocates a number of Assurance Points +to the Member being Assured. +CAcert combines the Assurance Points +into a global Web-of-Trust (or "WoT"). +
++CAcert explicitly chooses to meet its various goals by +construction of a Web-of-Trust of all Members. +
+ ++Documentation on Assurance is split between this +Assurance Policy (AP) and the +Assurance +Handbook. The policy is controlled by Configuration Control +Specification +(CCS) +under Policy on Policy +(PoP) +policy document regime. Because Assurance is an active area, much +of the practice is handed over to the Assurance Handbook, which is +not a controlled policy document, and can more easily respond to +experience and circumstances. It is also more readable. +
++See also Organisation Assurance Policy (OAP) +and CAcert Policy Statement (CPS). +
+ +The purpose of Assurance is to add confidence +in the Assurance Statement made by the CAcert Community of a Member.
+With sufficient assurances, a Member may: (a) issue certificates +with their assured Name included, (b) participate in assuring others, +and (c) other related activities. The strength of these activities is +based on the strength of the assurance.
+ ++The Assurance Statement makes the following claims +about a person: +
+The person is a bona fide Member. In other words, the +person is a member of the CAcert Community as defined by the CAcert +Community Agreement (CCA);
+The Member has a (login) account with CAcert's on-line +registration and service system;
+The Member can be determined from any CAcert certificate +issued by the Account;
+The Member is bound into CAcert's Arbitration as defined +by the CAcert Community Agreement;
+Some personal details of the Member are known to CAcert: +the individual Name(s), primary and other listed individual email +address(es), secondary distinguishing feature (e.g. DoB).
+The confidence level of the Assurance Statement is expressed by +the Assurance Points.
+The primary goal of the Assurance Statement is for the express +purpose of certificates to meet the needs of the Relying Party +Statement, which latter is found in the Certification Practice +Statement (CPS). +
+When a certificate is issued, some of the Assurance Statement may +be incorporated, e.g. Name. Other parts may be implied, e.g. +Membership, exact account and status. They all are part of the +Relying Party Statement. In short, this means that other +Members of the Community may rely on the information verified by +Assurance and found in the certificate.
+In particular, certificates are sometimes considered to provide +reliable indications of e.g. the Member's Name and email address. The +nature of Assurance, the number of Assurance Points, and other +policies and processes should be understood as limitations on any +reliance.
++At least one individual Name is recorded in the Member's +CAcert login account. The general standard of a Name is: +
++The Name should be recorded as written in a +government-issued photo identity document (ID). +
++The Name should be recorded as completely as possible. +That is, including all middle names, any titles and extensions, +without abbreviations, and without transliteration of characters. +
+The Name is recorded as a string of characters, +encoded in unicode +transformation format.
++In order to handle the contradictions in the above general standard, +a Member may record multiple Names or multiple variations of a Name +in her CAcert online Account. +Examples of variations include married names, +variations of initials of first or middle names, +abbreviations of a first name, +different language or country variations, +and transliterations of characters in a name. +
+ ++A Name which has reached +the level of 50 Assurance Points is defined as an Assured +Name. An Assured Name can be used in a certificate issued by CAcert. +A Member with at least one Assured Name has reached the Assured +Member status. +Additional capabilities are described in Table 1. +
+ +++ + +Table 1: +Assurance Capability
++ +
++ ++ +Minimum Assurance Points
++ +Capability
++ +Status
++ +Comment
++ ++ +0
++ +Request Assurance
++ +Prospective Member
++ +Individual taking part of an +Assurance, who does not have created a CAcert login account (yet). The +allocation of Assurance Points is awaiting login account creation.
++ ++ +0
++ +Request unnamed certificates
++ +Member
++ +Although the Member's details are +recorded in the account, they are not highly assured.
++ ++ +50
++ +Request named certificates
++ +Assured Member
++ +Statements of Assurance: the Name is +assured to 50 Assurance Points or more
++ + ++ +100
++ +Become an Assurer
++ +Prospective Assurer
++ +Assured to 100 Assurance Points (or +more) on at least one Name, and passing the Assurer Challenge.
+
+A Member may check the status of another Member, especially +for an assurance process. +Status may be implied from information in a certificate. +The number of Assurance Points for each Member is not published. +
+ ++The CAcert Policy Statement +(CPS) +and other policies may list other capabilities that rely on Assurance +Points. +
+ +An Assurer is a Member with the following:
+Is assured to a minimum of 100 Assurance Points;
+Has passed the CAcert Assurer Challenge.
+The Assurer Challenge is administered by the Education Team on +behalf of the Assurance Officer.
+The Assurer is obliged to:
+Follow this Assurance Policy;
+Follow any additional rules of detail laid out by the +CAcert Assurance Officer;
+Be guided by the CAcert Assurance Handbook in their +judgement;
+Make a good faith effort at identifying and verifying +Members;
+Maintain the documentation on each Assurance;
+Deliver documentation to Arbitration, or as otherwise +directed by the Arbitrator;
+Keep up-to-date with developments within the CAcert +Community.
+The Assurer conducts the process of Assurance with each +Member.
+The process consists of:
+Voluntary agreement by both Assurer and Member or +Prospective Member to conduct the Assurance;
+Personal meeting of Assurer and Member or Prospective +Member;
+Recording of essential details on CAcert Assurance +Programme form;
+Examination of Identity documents by Assurer and +verification of recorded details (the Name(s) and Secondary +Distinguishing Feature, e.g., DoB);
+Allocation of Assurance Points by Assurer;
+Optional: supervision of reciprocal Assurance made by +Assuree (Mutual Assurance);
+Safekeeping of the CAcert Assurance Programme (CAP) +forms by Assurer.
+Mutual Assurance follows the principle of reciprocity. This +means +that the Assurance may be two-way, and that each member participating +in the Assurance procedure should be able to show evidence of their +identity to the other.
+In the event that an Assurer is assured by a Member who is not +certified as an Assurer, the Assurer supervises the Assurance +procedure and process, and is responsible for the results.
+Reciprocity maintains a balance between the (new) member and +the +Assurer, and reduces any sense of power. It is also an important aid +to the assurance training for future Assurers.
+ +The Assurance applies Assurance Points to each Member which +measure the increase of confidence in the Statement (above). +Assurance Points should not be interpreted for any other purpose. +Note that, even though they are sometimes referred to as Web-of-Trust +(Assurance) Points, or Trust Points, the meaning +of the word +'Trust' is not well defined.
+Assurance Points Allocation
+An Assurer can allocate a
+number of Assurance Points to the Member according to the Assurer's
+experience (Experience Point system, see below). The allocation of
+the maximum means that the Assurer is 100% confident in the
+information presented:
Detail on form, system, documents, person in accordance;
+Sufficient quality identity documents have been checked;
+Assurer's familiarity with identity documents;
+The Assurance Statement is confirmed.
++Any lesser confidence should result in less Assurance Points for a +Name. If the Assurer has no confidence in the information presented, +then zero Assurance Points may be allocated by the Assurer. +For example, this may happen if the identity documents are totally +unfamiliar to the Assurer. The number of Assurance Points from zero +to maximum is guided by the Assurance Handbook +and the judgement of the Assurer. +If there is negative confidence the Assurer should consider +filing a dispute. +
+Multiple Names should be allocated Assurance Points +independently within a single Assurance.
++A Member who is not an Assurer may award an Assurer in a +reciprocal process a maximum of 2 Assurance Points, according to +her judgement. The Assurer should strive to have the Member allocate +according to the Member's judgement, and stay on the cautious side; +the Member new to the assurance process +should allocate zero Assurance Points +until she gains some confidence in what is happening. +
++In general, for a Member to reach 50 Assurance Points, the Member must +have participated in at least two assurances, and +at least one Name will have been assured to that level. +
++To reach 100 Assurance +Points, at least one Name of the Assured Member must have been +assured at least three times. +
++The maximum number of Assurance +Points which can be allocated for an Assurance under this policy +and under any act under any +Subsidiary Policy (below) is 50 Assurance Points. +
+ +The maximum number of Assurance Points that may be awarded by +an +Assurer is determined by the Experience Points of the Assurer.
+++Table 2: +Maximum of Assurance Points +
++ +
++ ++ +Assurer's Experience Points
++ +Allocatable Assurance Points
++ ++ +0
++ +10
++ ++ +10
++ +15
++ ++ +20
++ +20
++ ++ +30
++ +25
++ ++ +40
++ +30
++ + ++ +>=50
++ +35
+
An Assurer is given a maximum of 2 Experience Points for every +completed Assurance. On reaching Assurer status, the Experience +Points start at 0 (zero).
+Less Experience Points (1) may be given for mass Assurance +events, +where each Assurance is quicker.
+Additional Experience Points may be granted temporarily or +permanently to an Assurer by CAcert Inc.'s Committee (board), on +recommendation from the Assurance Officer.
+Experience Points are not to be confused with Assurance +Points.
+The CAcert Assurance Programme (CAP) +form requests the following details of each Member or Prospective +Member:
+Name(s), as recorded in the on-line account;
+Primary email address, as recorded in the on-line account; +
+Secondary Distinguishing Feature, as recorded in the +on-line account (normally, date of birth);
+Statement of agreement with the CAcert Community +Agreement;
+Permission to the Assurer to conduct the Assurance +(required for privacy reasons);
+Date and signature of the Assuree.
+The CAP form requests the following details of the Assurer:
+At least one Name as recorded in the on-line account of +the Assurer;
+Assurance Points for each Name in the identity +document(s);
+Statement of Assurance;
+Optional: If the Assurance is reciprocal, then the +Assurer's email address and Secondary Distinguishing Feature are +required as well;
+Date, location of Assurance and signature of Assurer.
+The CAP forms are to be kept at least for 7 years by the +Assurer.
+The Committee (board) of CAcert Inc. appoints an Assurance +Officer +with the following responsibilities:
+Reporting to the Committee and advising on all matters to +do with Assurance;
+Training and testing of Assurers, in association with the +Education Team;
+Updating this Assurance Policy, under the process +established by Policy on Policy (PoP);
+Management of all Subsidiary Policies (see below) for +Assurances, under Policy on Policy;
+Managing and creating rules of detail or procedure where +inappropriate for policies;
+Incorporating rulings from Arbitration into policies, +procedures or guidelines;
+Assisting the Arbitrator in any requests;
+Managing the Assurer Handbook;
+Maintaining a sufficient strength in the Assurance process +(web-of-trust) to meet the agreed needs of the Community.
+The Assurance Officer manages various exceptions and additional +processes. Each must be covered by an approved Subsidiary Policy +(refer to Policy on Policy => CAcert Official Document COD1). +Subsidiary Policies specify any additional tests of knowledge +required and variations to process and documentation, within the +general standard stated here.
+Each Subsidiary Policy must augment and improve the general +standards in this Assurance Policy. It is the responsibility of each +Subsidiary Policy to describe how it maintains and improves the +specific and overall goals. It must describe exceptions and potential +areas of risk.
+ +In addition to the Assurance or Experience Points ratings set +here and in other subsidiary policies, the Assurance Officer or policies can +designate certain applications as high risk. If so, additional +measures may be added to the Assurance process that specifically +address the risks.
+Additional measures may include: +
+Additional information can be required in process of assurance:
+Additional Information is to be kept by Assurer, attached to +CAcert Assurance Programme (CAP) +form. Assurance Points allocation by this assurance is unchanged. +User's CAcert login account should be annotated to record type of +additional information;
+Arbitration:
+Additional training;
+Member to be Assurer (at least 100 Assurance Points and +passed Assurer Challenge);
+Member agrees to additional specific agreement(s);
+Additional checking/auditing of systems data by CAcert +support administrators.
+Applications that might attract additional measures include +code-signing certificates and administration roles.
+CAcert is a "privacy" organisation, and takes the +privacy of its Members seriously. The process maintains the security +and privacy of both parties.
+Information is collected primarily to make claims within the +certificates requested by users and to contact the Members. It is +used secondarily for training, testing, administration and other +internal purposes.
+The Member's information can be accessed under these +circumstances:
+Under Arbitrator ruling, in a duly filed dispute (Dispute Resolution Policy +=> COD7);
+An Assurer in the process of an Assurance, as permitted on +the CAcert Assurance Programme (CAP) +form;
+CAcert support administration and CAcert systems +administration when operating under the authority of Arbitrator or +under CAcert policy.
+