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<head>
<title>
Assurance Poilicy
</title>
</head>
<body>
<h1>
Assurance Policy for CAcert Community Members
</h1>
<p>
<a href="PolicyOnPolicy.html"><img src="Images/cacert-wip.png" alt="CAcert Policy Status" height="31" width="88" style="border-style: none;" /></a><br />
Author: Ian Grigg<br />
Creation date: 2008-05-30<br />
Status: WIP 2008-05-30<br />
Next status: DRAFT June 2008<br />
<!-- $Id: AssurancePolicy.html 772 2008-06-02 13:46:20Z teus $ -->
</p>
<h2 >0. Preamble</h2>
<p >
Assurance is the process by which a member of CAcert identifies another member.
With sufficient assurances, a member may (a) issue certificates with their names included, (b) participate in assuring others, and (c) other related activities.
The strength of these activities is based on the strength of the assurance.
<p >
<h3 >The CAcert Web of Trust</h3>
<p >
Each assurance claims a number of points, applied to the assured member.
By combining the assurances, and the points, CAcert constructs a global <em>web of trust</em> ("WoT").
<p >
CAcert explicitly chooses to meet its various goals by construction of a web of trust of all members.
This is done by members meeting face-to-face, identifying and sharing claims in a network.
Maintaining a sufficient strength for the web of trust is a high-level objective of the Assurance process.
<p >
<h3 >Related Documentation</h3>
<p >
Documentation on Assurance is split between this policy and the <a href="/wiki/AssuranceHandbook2">Assurance Handbook</a>.
The policy is controlled by <a href="/wiki/PolicyDrafts/ConfigurationControlSpecification">CCS</a> under <a class="http" href="http://www.cacert.org/policy/PolicyOnPolicy.php">PoP</a>.
Because Assurance is an active area, much of the practice is handed over to the Assurance Handbook, which is not a controlled document, and can more easily respond to experience and circumstances.
It is also more readable.
<p >
See also <a class="http" href="http://www.cacert.org/policy/OrganisationAssurancePolicy.php">Organisation Assurance Policy</a> and <a class="http" href="http://svn.cacert.org/CAcert/policy.htm">CPS</a>.
<p >
<h2 >1. Purpose</h2>
<p >
The purpose of Assurance is to add confidence in the Assurance Statement made of a Member by the Community.
<p >
<h3 >The Assurance Statement</h3>
<p >
The following claims can be made about a person who is assured: <ol type="1">
<li> The person is a bona fide CAcert Member.
In other words, the person is a member of the CAcert Community, as defined by the CAcert Community Agreement.
</li>
<li> The Member has a login account with CAcert's online registration and service system.
</li>
<li> The Member account can be determined from any certificate issued by the account.
</li>
<li> The Member is bound into CAcert's Arbitration.
</li>
<li> Some personal details of the Member (names, emails, Date of Birth) are known to CAcert.
</li></ol>
<p >
The confidence level of the Assurance Statement is expressed by the Assurance Points.
<p >
<h3 >Relying Party Statement</h3>
<p >
The primary goal of the Assurance Statement is to meet the needs of the <em>Relying Party Statement</em>, which latter is found in the Certification Practice Statement (<a class="http" href="http://svn.cacert.org/CAcert/policy.htm">CPS</a>) for the express purpose of certificates.
<p >
When a certificate is issued, some or all of the Assurance Statement may be incorporated (e.g., name) or implied (e.g., membership or status) into the certificate and be part of the <em>Relying Party Statement</em>.
In short, this means that other Members of the Community may rely on the information verified by Assurance and found in the certificate.
<p >
In particular, certificates are sometimes considered to provide reliable indications of the member's Name.
The nature of Assurance, the number of Assurance Points, and other policies and processes should be understood as limitations on any reliance.
<p >
<h2 >2. The Member</h2>
<p >
<h3 >Names</h3>
<p >
The general standard is that the name of the Member is as written on a government-issued Identity document.
<p >
<em>For more details see the <a href="/wiki/PolicyDrafts/PolicyOnNames">PolicyDrafts/PolicyOnNames</a>, where the discussion is carried on.
This page will be copied into here when the discussion is complete.</em>
<p >
<strong>Multiple Names.</strong> A Member may have multiple names.
For example, married names, variations of initials of first or middle names, and different language or country variations.
An individual name must be assured to the applicable level.
That is, each name to 50 points to be used in a certificate, and one name at least to 100 points to be an Assurer.
<p >
(<em>Note that the Account system has not yet been changed to implement the multiple name feature.</em>)
<p >
<h3 >Capabilities</h3>
<p >
A Member has the following capabilities derived from Assurance:
<div><table border=1 cellspacing=0 cellpadding=5><tbody>
<caption align=bottom>Assurance Capability table</caption>
<tr align=left>
<td width=10%><em>Minimum Assurance Points</em></td>
<td width=25%><em>Capability</em></td>
<td width=65%><em>Comment</em></td>
</tr>
<tr align=left valign=top>
<td align=center>0</td>
<td>request un-named certificates</td>
<td>although the Member's details are recorded in the account, they are not highly assured.</td>
</tr>
<tr align=left valign=top>
<td align=center>50</td>
<td>request named certificates</td>
<td>the name and Assurance Statement is assured to 50 points or more</td>
</tr>
<tr align=left valign=top>
<td align=center>100</td>
<td>become an Assurer</td>
<td>assured to 100 points or more, and other requirements listed below</td>
</tr>
</tbody></table></div>
<p >
The CPS and other policies may list other capabilities that rely on Assurance Points.
<p >
<h2 >3. The Assurer</h2>
<p >
An Assurer is a Member with the following: <ul>
<li>is assured to a minimum of 100 Assurance Points,
</li>
<li>has passed the Assurer Challenge.
</li></ul>
<p >
The Assurer Challenge is administered by the Education Team on behalf of the Assurance Officer.
<p >
<h3 >The Obligations of the Assurer</h3>
<p >
The Assurer is obliged to: <ul>
<li>follow this Assurance Policy,
</li>
<li>follow any additional rules of detail laid out by the Assurance Officer,
</li>
<li>
<p >
be guided by the <a href="/wiki/AssuranceHandbook2">Assurance Handbook</a> in their judgement,
</li>
<li>make a good faith effort at identifying and verifying Members,
</li>
<li>maintain the documentation on each Assurance,
</li>
<li>deliver documentation to Arbitration, or as otherwise directed by the Arbitrator, and
</li>
<li>keep up-to-date with developments within the CAcert Community.
</li></ul>
<p >
<em>Comment: <strong>New.</strong> derived from earlier section, and other conventions.
Should be discussed, agreed.</em>
<p >
<h2 >4. The Assurance</h2>
<p >
<h3 >The process</h3>
<p >
The Assurer conducts the process of Assurance with each Member.
<p >
The process consists of <ol type="1">
<li>voluntary agreement by both Assurer and Member to conduct the Assurance.
</li>
<li>personal meeting of Assurer and Member
</li>
<li>recording of essential details on CAP form (below).
</li>
<li>examination of Identity documents by Assurer and verification of recorded details.
</li>
<li>allocation of Assurance Points by Assurer.
</li>
<li>safe keeping of the CAP forms by Assurer.
</li></ol>
<p >
<h3 >Mutual Assurance</h3>
<p >
Assurance follows the principle of reciprocity.
This means that it may be two-way, and that each member should be able to show evidence of their status to the other.
<p >
In the event that an Assurer is assured by a Member who is not certified as an Assurer, the Assurer supervises the process and is responsible for the results.
<p >
Reciprocity maintains a balance between the new Member and the Assurer, and reduces any sense of power.
It is also an important aid to training for future Assurers.
<p >
<em>Non-policy Notes:</em> <ul>
<li>
<p >
<em>the Account system has not yet been changed to implement the non-Assurer reciprocity feature.</em>
</li>
<li>
<p >
<em>On the question of providing evidence that one is an Assurer, <a class="http" href="http://svn.cacert.org/CAcert/policy.htm#p3.2">CPS says</a>: <strong>The level at which each Member is Assured is public data. The number of points for each Member is not published.</strong> That would answer the need, implementation pending ...</em>
</li></ul>
<p >
<h3 >Assurance Points</h3>
<p >
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 <em>Web-of-Trust</em> points, or <em>Trust</em> points, the meaning of the word 'trust' is not well defined.
<p >
<strong>Allocation.</strong> An Assurer can allocate a number of Assurance Points to the Member according to the Assurer's Experience, see below.
The allocation of the maximum means that the Assurer is 100% confident in the information presented: <ul>
<li>detail on form, system, documents, person in accordance,
</li>
<li>sufficient quality identity documents have been checked,
</li>
<li>the Assurance Statement is confirmed.
</li></ul>
<p >
Any lesser confidence should give less points. If the Assurer has no confidence in the information presented, then zero points may be allocated.
For example, this may happen if the identity documents are totally unfamiliar to the Assurer.
The number of points from zero to maximum is guided by the Assurance Handbook and the judgement of the Assurer.
<p >
Multiple names (fields for reliance in certs) should be allocated separately in a single Assurance.
That is, the Assurer may allocate the maximum to one name, half that amount to another name, and zero to a third name.
<p >
A Member who is not an Assurer may award an Assurer in a reciprocal process a maximum of 2 Assurance Points, according to Member's judgement.
The Assurer should strive to have the Member allocate according to the Member's judgement, and err on the cautious side; a Member new to the process should allocate zero points until they get some confidence in what is happening.
<p >
No assurance process can give more than 50 points.
This means that to reach 50 points, a Member must have been assured at least once.
To reach 100 points, a Member must have been assured at least twice.
<p >
<em>Non-policy Notes:</em> <ul>
<li>
<p >
<em>what form of assurance would exceed 50 points?</em> <ul>
<li>
<p >
<em>In the past, TTPs gave 75 points each.
Designed to give 150 points for two TTPs which creates an Assurer.
This is now scaled back to 50 points, per TTP.</em>
</li>
<li>
<p >
<em>In the past, <a href="/wiki/SuperAssurers">SuperAssurers</a> gave up to 150 points, as an old idea to seed an area with (full) Assurers.
This is no longer applicable as the Assurer Challenge will stop any "easy" Assurer creation.
Therefore Super-Assurer would now only work to Assure people.</em>
</li>
<li>
<p >
<em> <a href="/wiki/SuperAssurers">SuperAssurers</a> being limited to 50 points means that they can still bring people up to Assured level without any additional change.
Pending writing of policy.</em>
</li></ul>
</li></ul>
<p >
<h3 >Experience Points</h3>
<p >
The maximum number of Assurance Points that may be awarded by an Assurer is determined by the Assurer's Experience Points.
<div><table border=1 cellspacing=0 width=15%>
<caption align=bottom>Assurance Points table</caption>
<tr>
<td><em>Assurer's Experience Points</em></td> <td><em>Allocatable Assurance Points</em></td>
</tr>
<tr align=center>
<td>0</td> <td>10</td>
</tr>
<tr align=center>
<td>10</td> <td>15</td>
</tr>
<tr align=center>
<td>20</td> <td>20</td>
</tr>
<tr align=center>
<td>30</td> <td> 25</td>
</tr>
<tr align=center>
<td>40</td> <td>30</td>
</tr>
<tr align=center>
<td>>=50</td> <td>35</td>
</tr>
</table></div>
<p >
An Assurer is given a maximum of 2 Experience Points for every completed Assurance.
On reaching Assurer status, the points start at zero.
Less 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 Board, on recommendation from the Assurance Officer.
<p >
Experience Points are not to be confused with Assurance Points.
<p >
<em>Comment: this part still needs to be agreed.</em>
<p >
<h3 >CAP Form</h3>
<p >
The CAcert Assurance Programme Form requests the following details of each Member: <ul>
<li>Name(s), as recorded in the online account,
</li>
<li>primary email address, as recorded in the online account,
</li>
<li>secondary distinguishing feature, as recorded in the online account (normally, date-of-birth),
</li>
<li>Statement of agreement with the CAcert Community Agreement,
</li>
<li>Permission to the Assurer to conduct the Assurance (required for privacy reasons).
</li>
<li>Date and signature
</li></ul>
<p >
If the assurance is not mutual, then the Assurer's email address and secondary distinguishing feature may be omitted.
<p >
The CAP forms are to be kept for 7 years by the Assurer.
<p >
<h2 >5. The Assurance Officer</h2>
<p >
The Board of CAcert Inc appoints an Assurance Officer with the following responsibilities: <ul>
<li>reporting to the Board and advising on all matters to do with Assurance,
</li>
<li>training and testing of Assurers, in association with the Education Team,
</li>
<li>
<p >
updating this Assurance Policy, under the process established by <a class="https" href="https://www.cacert.org/policy/PolicyOnPolicy.php">Policy on Policy</a>,
</li>
<li>
<p >
management of all Subsidiary Policies, under <a class="https" href="https://www.cacert.org/policy/PolicyOnPolicy.php">Policy on Policy</a>,
</li>
<li>managing and creating rules of detail or procedure where inappropriate for policies,
</li>
<li>incorporating rulings from Arbitration into policies, procedures or guidelines,
</li>
<li>assisting the Arbitrator in any requests,
</li>
<li>managing the Assurer Handbook,
</li>
<li>maintaining a sufficient strength in the Assurance process (web of trust) to meet the agreed needs of the Community.
</li></ul>
<p >
<em>Comment: <strong>New.</strong> derived from OAP and other conventions.
Should be discussed, agreed.</em>
<p >
<h2 >6. Subsidiary Policies</h2>
<p >
The Assurance Officer manages various exceptions and additional processes.
Each must be covered by an approved subsidiary policy (Policy on Policy =&gt; COD1).
Subsidiary policies specify any additional tests of knowledge required and variations to process and documentation, within the general standard stated here.
<p >
<em>Note: expected subsidiary policies are these:</em> <ul>
<li>
<p >
<em> PolicyDrafts/TTPAssurerCheck (wip) </em>
</li>
<li>
<p >
<em> PolicyDrafts/SuperAPolicy (wip) </em>
</li>
<li>
<p >
<em> Junior Assurer Policy (none started at least in <a href="/wiki/PolicyDrafts">PolicyDrafts</a>) </em>
</li>
<li>
<p >
<em> <a href="/wiki/PolicyDrafts/CodesigningAssurancePolicy">PolicyDrafts/CodesigningAssurancePolicy</a> (wip) </em>
</li>
<li>
<p >
<em> <a class="http" href="http://www.cacert.org/policy/OrganisationAssurancePolicy.php">Organisation Assurance Policy</a> (POLICY) and its <a class="http" href="http://svn.cacert.org/CAcert/Policies/OrganisationAssurancePolicy/">many SubPols</a> (wip/DRAFT) </em>
</li></ul>
<p >
<h3 >Standard</h3>
<p >
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.
<p >
<h3 >High Risk Applications</h3>
<p >
In addition to the 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.
These may include: <ul>
<li>Additional information can be required in process of assurance. <ul>
<li>unique numbers of identity documents
</li>
<li>photocopy of identity documents
</li>
<li>photo of User
</li>
<li>address of User
</li></ul>
</li></ul>
<p >
Additional Information is to be kept by Assurer, attached to CAP.
Points allocation by this assurance is unchanged.
User's account should be annotated to record type of additional information. <ul>
<li>Arbitration: <ul>
<li>Member to participate in Arbitration.
This confirms their acceptance of the forum as well as trains in the process and import.
</li>
<li>Member to file Arbitration to present case.
This allows Arbitrator as final authority.
</li></ul>
</li>
<li class="gap">additional training.
</li>
<li class="gap">Member to be full Assurer
</li>
<li class="gap">Member agrees to additional specific agreement
</li>
<li class="gap">additional checking/auditing of systems data by support administrators
</li></ul>
<p >
Applications that might attract additonal measures include code-signing certificates and administration roles.
<p >
<h2 >Privacy</h2>
<p >
CAcert is a privacy organisation, and takes the privacy of its members seriously.
The process maintains the security and privacy of both parties.
<p >
Information is collected primarily to make claims within the certificates requested by users and to contact the users.
It is used secondarily for training, testing, administration and other internal purposes.
<p >
The Member's information can be accessed under these circumstances: <ul>
<li>
<p >
under Arbitrator ruling, in a duly filed dispute (<a class="http" href="http://www.cacert.org/policy/DisputeResolutionPolicy.html">Dispute Resolution Policy</a> =&gt; COD7)
</li>
<li>an Assurer in the process of an assurance, as permitted on the CAP form.
</li>
<li>support administration and systems administration when operating under the authority of Arbitrator or under policy.
</li></ul>
<p >
<em>Comment: should carefully review Privacy and decide if any additional statement is needed.
It seems out of place, we have a Privacy statement elsewhere.
Maybe move it to the Obligations of the Assurer?</em>
<p >
</p>
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