OAP POLICY/DRAFT as per
https://wiki.cacert.org/PolicyDecisions#p20080401.1 p20080401.1 Policy on Organisation Assurance - Carried update order under https://wiki.cacert.org/Arbitrations/a20120121.1 with reference to https://svn.cacert.org/CAcert/Policies/OrganisationAssurancePolicy/OrganisationAssurancePolicy.html and clarification under https://lists.cacert.org/wws/arc/cacert-policy/2008-04/msg00017.html git-svn-id: http://svn.cacert.org/CAcert/Policies@2441 14b1bab8-4ef6-0310-b690-991c95c89dfd
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<?xml version="1.0" encoding="utf-8"?>
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<!DOCTYPE html PUBLIC "-//W3C//DTD XHTML 1.1//EN"
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"http://www.w3.org/TR/xhtml11/DTD/xhtml11.dtd">
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<html xmlns="http://www.w3.org/1999/xhtml">
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<head>
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<title>
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Organisation Assurance Policy
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</title>
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</head>
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<body>
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<h1>
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Organisation Assurance Policy
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</h1>
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<p>
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<a href="../PolicyOnPolicy.html"><img src="../cacert-draft.png" alt="CAcert Draft" height="31" width="88" style="border-style: none;" /> </a><br />
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Document: OAP COD11<br />
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Author: Jens Paul<br />
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Creation date: 2007-09-18<br />
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Status: POLICY/DRAFT 2007-09-18 <a href="http://wiki.cacert.org/wiki/TopMinutes-20070917">m20070918.x </a><br />
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Changed: 2008-04-01 Teus Hagen policy list vote; add advisors and board<br />
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Next status: POLICY 2008<br />
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<!-- $Id$ -->
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</p>
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<h2> <a name="0">0. </a> Preliminaries </h2>
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<p>
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This policy describes how Organisation Assurers ("OAs")
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conduct Assurances on Organisations.
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It fits within the overall web-of-trust
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or Assurance process of CAcert.
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</p>
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<p>
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This policy is not a Controlled document, for purposes of
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Configuration Control Specification ("CCS").
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</p>
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<h2> <a name="1"> 1. </a> Purpose </h2>
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<p>
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Organisations with assured status can issue certificates
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directly with their own domains within.
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</p>
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<p>
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The purpose and statement of the certificate remains
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the same as with ordinary users (natural persons)
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and as described in the CPS.
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</p>
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<ul><li>
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The organisation named within is identified.
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</li><li>
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The organisation has been verified according
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to this policy.
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</li><li>
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The organisation is within the jurisdiction
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and can be taken to CAcert Arbitration.
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</li></ul>
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<h2> <a name="2"> 2. </a> Roles and Structure </h2>
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<h3> <a name="2.1"> 2.1 </a> Assurance Officer </h3>
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<p>
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The Assurance Officer ("AO")
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manages this policy and reports to the CAcert Inc. Committee ("Board").
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</p>
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<p>
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The AO manages all OAs and is responsible for process,
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the CAcert Organisation Assurance Programme ("COAP") form,
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OA training and testing, manuals, quality control.
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In these responsibilities, other Officers will assist.
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</p>
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<p>
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The OA is appointed by the Board.
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Where the OA is failing the Board decides.
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</p>
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<h3> <a name="2.2"> 2.2 </a> Organisation Assurers </h3>
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<p>
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</p>
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<ol type="a"> <li>
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An OA must be an experienced Assurer
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<ol type="i">
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<li>Have 150 assurance points.</li>
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<li>Be fully trained and tested on all general Assurance processes.</li>
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</ol>
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</li><li>
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Must be trained as Organisation Assurer.
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<ol type="i">
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<li> Global knowledge: This policy. </li>
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<li> Global knowledge: A OA manual covers how to do the process.</li>
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<li> Local knowledge: legal forms of organisations within jurisdiction.</li>
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<li> Basic governance. </li>
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<li> Training may be done a variety of ways,
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such as on-the-job, etc. </li>
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</ol>
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</li><li>
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Must be tested.
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<ol type="i">
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<li> Global test: Covers this policy and the process. </li>
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<li> Local knowledge: Subsidiary Policy to specify.</li>
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<li> Tests to be created, approved, run, verified
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by CAcert only (not outsourced). </li>
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<li> Tests are conducted manually, not online/automatic. </li>
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<li> Documentation to be retained. </li>
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<li> Tests may include on-the-job components. </li>
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</ol>
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</li><li>
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Must be approved.
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<ol type="i">
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<li> Two supervising OAs must sign-off on new OA,
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as trained, tested and passed.
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</li>
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<li> AO must sign-off on a new OA,
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as supervised, trained and tested.
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</li>
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</ol>
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</li>
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<li>The OA can decide when a CAcert
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(individual) Assurer
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has done several OA Application Advises to appoint this
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person to OA Assurer.
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</li>
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</ol>
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<h3> <a name="2.3"> 2.3 </a> Organisation Assurance Advisor ("OAA") </h3>
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<p>In countries/states/provinces where no OA Assurers are
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operating for an OA Application (COAP) the OA
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can be advised by an experienced local CAcert
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(individual) Assurer to take the decision
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to accept the OA Application (COAP) of the organisation.
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</p>
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<p>
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The local Assurer must have at least 150 Points,
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should know the language, and know
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the organisation trade office registry culture and quality.
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</p>
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<h3> <a name="2.4"> 2.4 </a> Organisation Administrator </h3>
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<p>
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The Administrator within each Organisation ("O-Admin")
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is the one who handles the assurance requests
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and the issuing of certificates.
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</p>
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<ol type="a"> <li>
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O-Admin must be Assurer
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<ol type="i">
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<li>Have 100 assurance points.</li>
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<li>Fully trained and tested as Assurer.</li>
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</ol>
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</li><li>
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Organisation is required to appoint O-Admin,
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and appoint ones as required.
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<ol type="i">
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<li> On COAP Request Form.</li>
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</ol>
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</li><li>
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O-Admin must work with an assigned OA.
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<ol type="i">
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<li> Have contact details.</li>
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</ol>
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</ol>
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<h2> <a name="3"> 3. </a> Policies </h2>
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<h3> <a name="3.1"> 3.1 </a> Policy </h3>
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<p>
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There is one policy being this present document,
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and several subsidiary policies.
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</p>
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<ol type="a">
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<li> This policy authorises the creation of subsidiary policies. </li>
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<li> This policy is international. </li>
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<li> Subsidiary policies are implementations of the policy. </li>
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<li> Organisations are assured under an appropriate subsidiary policy. </li>
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</ol>
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<h3> <a name="3.2"> 3.2 </a> Subsidiary Policies </h3>
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<p>
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The nature of the Subsidiary Policies ("SubPols"):
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</p>
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<ol type="a"><li>
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SubPols are purposed to check the organisation
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under the rules of the jurisdiction that creates the
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organisation. This does not evidence an intention
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by CAcert to
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enter into the local jurisdiction, nor an intention
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to impose the rules of that jurisdiction over any other
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organisation.
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CAcert assurances are conducted under the jurisdiction
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of CAcert.
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</li><li>
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For OAs,
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SubPol specifies the <i>tests of local knowledge</i>
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including the local organisation assurance COAP forms.
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</li><li>
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For assurances,
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SubPol specifies the <i>local documentation forms</i>
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which are acceptable under this SubPol to meet the
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standard.
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</li><li>
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SubPols are subjected to the normal
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policy approval process.
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</li></ol>
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<h3> <a name="3.3"> 3.3 </a> Freedom to Assemble </h3>
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<p>
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Subsidiary Policies are open, accessible and free to enter.
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</p>
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<ol type="a"><li>
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SubPols compete but are compatible.
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</li><li>
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No SubPol is a franchise.
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</li><li>
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Many will be on State or National lines,
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reflecting the legal
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tradition of organisations created
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("incorporated") by states.
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</li><li>
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However, there is no need for strict national lines;
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it is possible to have 2 SubPols in one country, or one
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covering several countries with the same language
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(e.g., Austria with Germany, England with Wales but not Scotland).
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</li><li>
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There could also be SubPols for special
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organisations, one person organisations,
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UN agencies, churches, etc.
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</li><li>
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Where it is appropriate to use the SubPol
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in another situation (another country?), it
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can be so approved.
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(e.g., Austrian SubPol might be approved for Germany.)
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The SubPol must record this approval.
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</li></ol>
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<h2> <a name="4"> 4. </a> Process </h2>
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<h3> <a name="4.1"> 4.1 </a> Standard of Organisation Assurance </h3>
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<p>
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The essential standard of Organisation Assurance is:
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</p>
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<ol type="a"><li>
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the organisation exists
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</li><li>
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the organisation name is correct and consistent:
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<ol type="i">
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<li>in official documents specified in SubPol.</li>
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<li>on COAP form.</li>
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<li>in CAcert database.</li>
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<li>form or type of legal entity is consistent</li>
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</ol>
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</li><li>
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signing rights:
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requestor can sign on behalf of the organisation.
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</li><li>
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the organisation has agreed to the terms of the
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<b>
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CAcert Community Agreement
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</b>,
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and is therefore subject to Arbitration.
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</li></ol>
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<p>
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Acceptable documents to meet above standard
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are stated in the SubPol.
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</p>
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<h3> <a name="4.2"> 4.2 </a> COAP </h3>
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<p>
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The COAP form documents the checks and the resultant
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assurance results to meet the standard.
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Additional information to be provided on form:
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</p>
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<ol type="a"><li>
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CAcert account of O-Admin (email address?)
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</li><li>
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location:
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<ol type="i">
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<li>country (MUST).</li>
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<li>city (MUST).</li>
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<li>additional contact information (as required by SubPol).</li>
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</ol>
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</li><li>
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administrator account name(s) (1 or more)
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</li><li>
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domain name(s)
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</li><li>
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Agreement with
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<b>CAcert Community Agreement</b>.
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Statement and initials box for organisation
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and also for OA.
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</li><li>
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Date of completion of Assurance.
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Records should be maintained for 7 years from
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this date.
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</li></ol>
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<p>
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The COAP should be in English. Where translations
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are provided, they should be matched to the English,
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and indication provided that the English is the
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ruling language (due to Arbitration requirements).
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</p>
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<h3> <a name="4.3"> 4.3 </a> Jurisdiction </h3>
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<p>
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Organisation Assurances are carried out by
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CAcert Inc. under its Arbitration jurisdiction.
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Actions carried out by OAs are under this regime.
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</p>
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<ol type="a"><li>
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The organisation has agreed to the terms of the
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<b>CAcert Community Agreement</b>.
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</li><li>
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The organisation, the Organisation Assurers, CAcert and
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other related parties are bound into CAcert's jurisdiction
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and dispute resolution.
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</li><li>
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The OA is responsible for ensuring that the
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organisation reads, understands, intends and
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agrees to the
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<b>CAcert Community Agreement</b>.
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This OA responsibility should be recorded on COAP
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(statement and initials box).
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</li></ol>
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<h2> <a name="5"> 5. </a> Exceptions </h2>
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<ol type="a"><li>
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<b> Conflicts of Interest.</b>
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An OA must not assure an organisation in which
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there is a close or direct relationship by, e.g.,
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employment, family, financial interests.
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Other conflicts of interest must be disclosed.
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</li><li>
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<b> Trusted Third Parties.</b>
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TTPs are not generally approved to be part of
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organisation assurance,
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but may be approved by subsidiary policies according
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to local needs.
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</li><li>
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<b>Exceptional Organisations.</b>
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(e.g., Vatican, International Space Station, United Nations)
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can be dealt with as a single-organisation
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SubPol.
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The OA creates the checks, documents them,
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and subjects them to to normal policy approval.
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</li><li>
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<b>DBA.</b>
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Alternative names for organisations
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(DBA, "doing business as")
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can be added as long as they are proven independently.
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E.g., registration as DBA or holding of registered trade mark.
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This means that the anglo law tradition of unregistered DBAs
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is not accepted without further proof.
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</li></ol>
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<p><a href="http://validator.w3.org/check?uri=referer"><img src="http://www.w3.org/Icons/valid-xhtml11-blue" alt="Valid XHTML 1.1" height="31" width="88" style="border-style: none;" /> </a>
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</p>
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</body>
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</html>
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