From 633983da0576ded23d6a453f7b1765319992de6d Mon Sep 17 00:00:00 2001 From: Teus Hagen Date: Mon, 7 Jul 2008 13:32:49 +0000 Subject: [PATCH] Suggested changes incorp[orated. Main one is added 50 assurancde points max and deleted sentence about minimal twice and 100 assurance points. Still those are strike through, to be deleted fully on vote Aye. git-svn-id: http://svn.cacert.org/CAcert/Policies@876 14b1bab8-4ef6-0310-b690-991c95c89dfd --- AssurancePolicy.html | 406 ++++++++++++++++++++----------------------- 1 file changed, 190 insertions(+), 216 deletions(-) diff --git a/AssurancePolicy.html b/AssurancePolicy.html index 2610f3f..14c7e7c 100644 --- a/AssurancePolicy.html +++ b/AssurancePolicy.html @@ -2,13 +2,13 @@ Assurance Policy - + + - +

Assurance Policy for CAcert Community Members

CAcert Policy Status @@ -29,37 +30,36 @@ TH P { color: #000000 } Author: Ian Grigg
Creation date: 2008-05-30
Last change by: Teus Hagen
-Last change date: 2008-07-03 21:12 MET
-Status: WIP -2008-05-30
+Last change date: 2008-07-07 15:03 MET
+Status: WIP 2008-05-30
Next status: DRAFT June 2008

-

0. Preamble

+

0. Preamble

Definitions of terms:

Member
A Member is an individual who has agreed to the CAcert Community Agreement (CCA) and has created successfully -a CAcert login -account on the CAcert web site.
+a CAcert login account on the CAcert web site.
Assurance
Assurance is the process by which a Member of CAcert -Community (Assurer) identifies an individual (Assuree).
-
Prospective Member
-
An individual who has been assured in an Assurance process, -but has not yet created successfully a CAcert login account.
+Community (Assurer) identifies an individual (Assuree). + +
Prospective Member
+
An individual who has been assured in an Assurance +process, but has not yet created successfully a CAcert login account.
Name
-
A Name is the full name of an individual: first name(s), -family name(s), name extensions, abbreviation of name(s), etc.
-The Name -is technically spoken a string exactly taken e.g. from a governmental -issued -photo ID.
+
A Name is the full name of an individual, with all +components of that name.
+
(Title(s), first name(s), family name(s), name extensions, +abbreviation of name(s), etc.
+The Name is technically spoken a string exactly taken e.g. from a +governmental issued photo ID.)
Secondary Distinguishing Feature (DoB)
-
A Name for an -individual is discriminated from similar full names by a secondary -distinguished feature, as recorded on the on-line CAcert (web) account. -
Currently this is the date of birth (DoB) of the individual.
+
A Name for an individual is discriminated from similar +full names by a secondary distinguished feature, as recorded on the +on-line CAcert (web) account.
+(Currently this is the date of birth (DoB) of the individual. )

The CAcert Web of Trust

@@ -89,41 +89,38 @@ experience and circumstances. It is also more readable.

and CAcert Policy Statement (CPS).

1. Assurance Purpose

-

The purpose of Assurance is to add confidence -in the -Assurance Statement made by the CAcert Community of a Member.

+

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.

+and (c) other related activities. The strength of these activities is +based on the strength of the assurance.

The Assurance Statement

The following claims can be made about a person who is assured:

  1. -

    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 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);

  2. -

    The Member has a -(login) account with CAcert's on-line registration and service system;

    +

    The Member has a (login) account with CAcert's on-line +registration and service system;

  3. -

    The Member can be -determined from any CAcert certificate issued by the Account;

    +

    The Member can be determined from any CAcert certificate +issued by the Account;

  4. -

    The Member is bound -into CAcert's Arbitration as defined by the CCA agreement;

    +

    The Member is bound into CAcert's Arbitration as defined +by the Community Agreement;

  5. Some personal details of the Member are known to CAcert: -the personal Name(s), primary and other listed email address(es), -secondary -distinguished feature (e.g. DoB).

    +the individual Name(s), primary and other listed individual email +address(es), secondary distinguished feature (e.g. DoB).

The confidence level of the Assurance Statement is expressed @@ -131,20 +128,20 @@ by the Assurance Points.

Relying Party Statement

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). +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.

+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 @@ -153,31 +150,31 @@ policies and processes should be understood as limitations on any reliance.

2. The Member

The Name in the CAcert login account

-

At least one Name is recorded in the -CAcert login -account. The Name is recorded as a string of (encoded) characters.

+

At least one individual Name is recorded +in the +CAcert login account. The Name is recorded as a string of characters, +encoded in unicode +transformation format.

A Name should be as fully written in a -government-issued identity document (ID). A Name should be as complete -as possible, e.g. not abbreviated, no transliteration of characters in -the Name.

+government-issued identity document (ID). A Name should be as +complete as possible, that is not abbreviated, no transliteration of +characters in the Name.

A Name in the CAcert login account, which -has reached the applicable level of 50 Assurance Point 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 +has reached +the applicable level of 50 Assurance Point 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.

Multiple Names and variations

A Member may have multiple Names or multiple variations of a Name. For example, married name, variations of initials of first or middle names, abbreviation of a first name, different language or country -variations and transliterations of characters in a name. 

-

The login -account may record multiple Names. Each of the Assured Names -can be selected to be used in a -certificate issued by CAcert.

-

FOLLOWING GOES TO -ASSURER -HANDBOOK

+variations and transliterations of characters in a name.

+

The login account may record multiple Names. Each of the +Assured +Names can be selected to be used in a certificate issued by CAcert.

+

FOLLOWING GOES TO ASSURER HANDBOOK

Comparison of names

Transliteration of characters as defined in the transliteration character table (UTF @@ -185,7 +182,7 @@ Transtab) for names is permitted, but the result must be 7-bit ASCII for the full name. Transliteration is one way and is towards 7-bit ASCII. Transliteration is a way to compare two names. However -transliteration of a Name makes the Name less discriminative. 

+transliteration of a Name makes the Name less discriminative.

In general names are handled case insensitively.

Abbreviation of second given name(s), middle name(s), @@ -195,24 +192,22 @@ the first given name in the ID document is abbreviated, the first given name in the web account Name may be abbreviated. Abbreviation of a name makes the name less discriminative.

A Name on an ID which has initials -(abbreviations) for titles, -name extensions and given names, and/or transliterations as defined in -the transliteration table can be taken into account for assurance for a -Name in the account which is not abbreviated or transliterated.

+(abbreviations) for +titles, name extensions and given names, and/or transliterations as +defined in the transliteration table can be taken into account for +assurance for a Name in the account which is not abbreviated or +transliterated.

Titles and name extensions in the name of an individual may be omitted.

-

The assurance ambition is to pursue -a highly discriminative assured Name in the account. The ambition is to -have only a Name -in the account which has no abbreviation(s), no transliteration and is -case -sensitive.

-

FOLLOWING GOES TO -Certficate Implementation Policy +

The assurance ambition is to pursue +a highly discriminative assured Name in the account. The ambition is +to have only a Name in the account which has no abbreviation(s), no +transliteration and is case sensitive.

+

FOLLOWING GOES TO Certficate +Implementation Policy

-

Names on the certificate -issued by CAcert

+

Names on the certificate issued by CAcert

The Certificate Implementation Policy (CIP) will define the fields added by CAcert on the issued certificate on request of the Member.

@@ -222,13 +217,11 @@ issued certificate is dependent on the assurance of the Name in the web account. Abbreviation and transliteration handling in the CN is defined in the Certificate Implementation Policy and is similar to the name comparison as defined in this policy. However the Common -Name may become less discriminative as -than the assured Name as the unique certificate serial -number -will lead to the account of the individual in a unique way, and in -this way to the Name and email address of the individual or -organisation. The first given name in the Common Name may be -abbreviated on request.

+Name may become less discriminative as than +the assured Name as the unique certificate serial number will lead to +the account of the individual in a unique way, and in this way to the +Name and email address of the individual or organisation. The first +given name in the Common Name may be abbreviated on request.

The certificate issued by CAcert can have on request of the Member the SubjAltName field. The name as defined by the Member @@ -322,25 +315,25 @@ is not checked by CAcert.

table -Examples of names in different contexts

+Examples of names in +different contexts

Status and Capabilities

-

A Member has the following capabilities derived from an -Assurance: -

+

A Member has the following capabilities derived from +Assurance:

- @@ -348,7 +341,7 @@ Assurance:

0

-

Minimum Assurance Points

+

Minimum Assurance Points

 -

Capability

+

Capability

Status

 -

Comment

+		 +

Comment
-

assurance of a Name

+

Request Assurance

Prospective Member

@@ -397,7 +390,7 @@ assured to 50 Assurance Points or more

become an Assurer

 -

prospective Assurer

+

Prospective Assurer

Assured to 100 Assurance Points (or @@ -412,17 +405,13 @@ Assurance Capability

for an assurance process.

The CAcert Policy Statement (CPS) -and other policies may list -other capabilities that rely on Assurance Points.

-

If there is negative confidence the Assurer should consider -filing -a dispute.

+and other policies may list other capabilities that rely on Assurance +Points.

3. The Assurer

An Assurer is a Member with the following:

  • -

    Is assured to a minimum -of 100 Assurance Points;

    +

    Is assured to a minimum of 100 Assurance Points;

  • Has passed the CAcert Assurer Challenge.

    @@ -434,28 +423,26 @@ behalf of the Assurance Officer.

    The Assurer is obliged to:

    • -

      Follow this Assurance -Policy;

      +

      Follow this Assurance Policy;

    • -

      Follow any additional -rules of detail laid out by the CAcert Assurance Officer;

      +

      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;

      +

      Make a good faith effort at identifying and verifying +Members;

    • -

      Maintain the -documentation on each Assurance;

      +

      Maintain the documentation on each Assurance;

    • -

      Deliver documentation -to Arbitration, or as otherwise directed by the Arbitrator;

      +

      Deliver documentation to Arbitration, or as otherwise +directed by the Arbitrator;

    • Keep up-to-date with developments within the CAcert @@ -469,37 +456,32 @@ Member.

      The process consists of:

      1. -

        Voluntary agreement by -both Assurer and Member or Prospective -Member to conduct -the Assurance;

        +

        Voluntary agreement by both Assurer and Member or +Prospective Member to conduct the Assurance;

      2. -

        Personal meeting of -Assurer and Member or Prospective +

        Personal meeting of Assurer and Member or Prospective Member;

      3. -

        Recording of essential -details on CAcert Assurance Programme form;

        +

        Recording of essential details on CAcert Assurance +Programme form;

      4. -

        Examination of Identity -documents by Assurer and verification of recorded details (the Name(s) -and -Secondary Distinguishing Feature, e.g., DoB);

        +

        Examination of Identity documents by Assurer and +verification of recorded details (the Name(s) and Secondary +Distinguishing Feature, e.g., DoB);

      5. -

        Allocation of Assurance -Points by Assurer;

        +

        Allocation of Assurance Points by Assurer;

      6. -

        Optional: supervision -of reciprocal Assurance made by Assuree (Mutual Assurance);

        +

        Optional: supervision of reciprocal Assurance made by +Assuree (Mutual Assurance);

      7. -

        Safe keeping of the CAcert Assurance Programme forms by -Assurer.

        +

        Safe keeping of the CAcert Assurance Programme (CAP) +forms by Assurer.

      Mutual Assurance

      @@ -516,9 +498,8 @@ the Assurer, and reduces any sense of power. It is also an important aid to the assurance training for future Assurers.

      Evidence of Assurer status

      -

      On the -question of providing evidence that one is an Assurer, CAcert Policy -Statement (CPS) +

      On the question of providing evidence that one is an Assurer, +CAcert Policy Statement (CPS) says: "The level at which each Member is Assured is public data. The number of Assurance Points for each Member is not published..".

      @@ -538,16 +519,13 @@ the maximum means that the Assurer is 100% confident in the information presented:

      • -

        Detail on form, system, -documents, person in accordance;

        +

        Detail on form, system, documents, person in accordance;

      • -

        Sufficient quality -identity documents have been checked;

        +

        Sufficient quality identity documents have been checked;

      • -

        Assurer's familiarity -with identity documents;

        +

        Assurer's familiarity with identity documents;

      • The Assurance Statement is confirmed.

        @@ -573,13 +551,19 @@ maximum of Assurance Points per Name; a (new) Member new to the assurance process should allocate zero Assurance Points until they get some confidence in what is happening.

        -

        To -reach 50 Assurance Points for a Name the Member must have had at least -two assurances on that Name: the Assured Member has an Assured -Name.  To reach 100 Assurance Points, at -least one Name of the Assured Member must have been assured at least -three -times.

        +

        To reach 50 Assurance Points for a Name the +Member must +have had at least two assurances on that Name: the Assured Member has +at least one Name assured, the Assured Name. 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 a Name assurance under this policy +and subsidiary policies is 50 Assurance Points.

        +

        If there is negative confidence the Assurer should consider +filing +a dispute.

        Experience Points

        The maximum number of Assurance Points that may be awarded by an @@ -663,31 +647,28 @@ recommendation from the Assurance Officer.

        Experience Points are not to be confused with Assurance Points.

        CAcert Assurance Programme (CAP) form

        -

        The CAcert Assurance Programme (CAP) -form requests the -following -details of each Member or Prospective Member:

        +

        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;

          +

          Name(s), as recorded in the on-line account;

        • -

          Primary email address, -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);

          +

          Secondary Distinguishing Feature, as recorded in the +on-line account (normally, date of birth);

        • -

          Statement of agreement -with the CAcert Community Agreement (CCA);

          +

          Statement of agreement with the CAcert Community +Agreement;

        • -

          Permission to the -Assurer to conduct the Assurance (required for privacy reasons);

          +

          Permission to the Assurer to conduct the Assurance +(required for privacy reasons);

        • Date and signature of the Assuree.

          @@ -696,21 +677,20 @@ Assurer to conduct the Assurance (required for privacy reasons);

          The CAP form requests the following details of the Assurer:

          • -

            At least one Name as -recorded in the on-line account 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);

            +

            Assurance Points for each Name in the identity +document(s);

          • -

            Statement of Assurance; -

            +

            Statement of Assurance;

          • -

            Optional: If the -Assurance is reciprocal, then the Assurer's email address and Secondary -Distinguishing Feature are required as well;

            +

            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.

            @@ -724,37 +704,34 @@ Officer with the following responsibilities:

            • -

              Reporting to the -Committee and advising on all matters to do with Assurance;

              +

              Reporting to the Committee and advising on all matters to +do with Assurance;

            • -

              Training and testing of -Assurers, in association with the Education Team;

              +

              Training and testing of Assurers, in association with the +Education Team;

            • -

              Updating this Assurance -Policy, under the process established by Policy on Policy (PoP);

              +

              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; -

              +

              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;

              +

              Managing and creating rules of detail or procedure where +inappropriate for policies;

            • -

              Incorporating rulings -from Arbitration into policies, procedures or guidelines;

              +

              Incorporating rulings from Arbitration into policies, +procedures or guidelines;

            • -

              Assisting the -Arbitrator in any requests;

              +

              Assisting the Arbitrator in any requests;

            • -

              Managing the Assurer -Handbook;

              +

              Managing the Assurer Handbook;

            • Maintaining a sufficient strength in the Assurance process @@ -766,9 +743,9 @@ Handbook;

              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.

              +Subsidiary Policies specify any additional tests of knowledge +required and variations to process and documentation, within the +general standard stated here.

              Standard

              Each Subsidiary Policy must augment and improve the general standards in this Assurance Policy. It is the responsibility of each @@ -778,9 +755,10 @@ areas of risk.

              High Risk Applications

              In addition to the Assurance or Experience Points ratings set here -in and in other policies, 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.

              +in and in other policies, 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. Additional information can be required in process of assurance:

              @@ -791,13 +769,12 @@ information can be required in process of assurance:

            • photo of User;
              • -
            • address of -User.
              +
            • address of User.

            Additional Information is to be kept by Assurer, attached to -CAcert Assurance Programme (CAP) form. Assurance Points -allocation by this assurance is unchanged. +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:

              @@ -805,14 +782,13 @@ additional information:

              Arbitration:

              • -

                Member to -participate in Arbitration. This confirms their acceptance of the forum -as well as trains in the process and import

                +

                Member to participate in Arbitration. This confirms +their acceptance of the forum as well as trains in the process and +import

              • -

                Member to file -Arbitration to present case. This allows Arbitrator as final authority; -

                +

                Member to file Arbitration to present case. This +allows Arbitrator as final authority;

              @@ -820,12 +796,11 @@ Arbitration to present case. This allows Arbitrator as final authority;

              Additional training;

            • -

              Member to be Assurer -(at least 100 Assurance Points and passed Assurer Challenge);

              +

              Member to be Assurer (at least 100 Assurance Points and +passed Assurer Challenge);

            • -

              Member agrees to -additional specific agreement(s);

              +

              Member agrees to additional specific agreement(s);

            • Additional checking/auditing of systems data by CAcert @@ -846,14 +821,13 @@ internal purposes.

              circumstances:

              • -

                Under Arbitrator -ruling, in a duly filed dispute (Dispute Resolution Policy +

                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;

                +

                An Assurer in the process of an Assurance, as permitted on +the CAcert Assurance Programme (CAP) +form;

              • CAcert support administration and CAcert systems