diff --git a/AssurancePolicy.html b/AssurancePolicy.html index 2e66b7b..5ca055f 100644 --- a/AssurancePolicy.html +++ b/AssurancePolicy.html @@ -1,618 +1,812 @@ - - - - Assurance Policy - - - - - - -

Assurance Policy for CAcert Community Members

-

CAcert Policy Status
Author: -Ian Grigg
Creation date: 2008-05-30
Status: WIP 2008-05-30
Next -status: DRAFT June 2008

-

0. Preamble

-

Definitions of terms: -

-
-
Assurance -
- Assurance is the process by which a Member of CAcert Community - (Assurer) identifies an individual (Assuree). -
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. -
- Member -
- An individual who has agreed to the CAcert Community Agreement (CCA) - and has created successfully a CAcert (web)account on - http://www.cacert.org. -
- Name -
- A Name is the full name (first name(s), family name(s), name - extensions, abbreviation of name(s), etc.) of an individual. The - Name is technically spoken a string exactly taken from a - governmental issued photo ID. Transliteration of characters to a - character table defined by CAcert is permitted.  -
- 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. -
-

-The CAcert Web of Trust

-

Each assurance claims a number of Assurance Points, applied to the -assured Member or Member prospect. By combining the assurances, and -the Assurance Points, CAcert constructs a global Web of Trust -("WoT"). -

-

CAcert explicitly chooses to meet its various goals by -construction of a web-of-trust of all Members. This is done by -face-to-face meeting, 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. -

-

Related Documentation

-

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 documents.
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. -

-

See also Organisation Assurance Policy (OAP) -and CAcert Policy Statement (CPS). -

-

1. Purpose

-

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

-

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). -

    -
  2. The Member has a (login) - (web)Account with CAcert's on-line registration and service system. -

    -
  3. The Member can be determined from - any certificate issued by the Account. -

    -
  4. The Member is bound into CAcert's - Arbitration (as defined by the CCA). -

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

    -
-

The confidence level of the Assurance Statement is expressed by -the Assurance Points. -

-

Relying Party Statement

-

The primary goal of the Assurance Statement is to meet the needs -of the Relying Party Statement, which latter is found in the -Certification Practice Statement (CPS) -for the express purpose of certificates. -

-

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 Relying -Party Statement. In short, this means that other Members of the + +Assurance Policy + + + + + + + + + +

Assurance Policy for CAcert Community Members

+

CAcert Policy Status
+Author: Ian Grigg
+Creation date: 2008-05-30
+Status: WIP 2008-05-30
+Next status: DRAFT June 2008

+

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 +(web)account on http://www.cacert.org.
+
Assurance
+
Assurance is the process by which a Member of CAcert +Community (Assurer) identifies an individual (Assuree). +
+With sufficient assurances, a Member may: (a) issue certificates with +their 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.
+
+
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 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.
+
+

+The CAcert Web of Trust

+

Each Assurance claims a number of Assurance Points, applied to +the +assured Member or Member prospect. By combining the Assurances, and +the Assurance Points, CAcert constructs 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. This is done by +face-to-face meetings, 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.

+

Related Documentation

+

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). +

+

1. Purpose

+

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

+

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).

    +
  2. +
  3. +

    The Member has a +(login) (web)Account with CAcert's on-line registration and service +system.

    +
  4. +
  5. +

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

    +
  6. +
  7. +

    The Member is bound +into CAcert's Arbitration, as defined by the CCA.

    +
  8. +
  9. +

    Some personal details of the Member (Name(s), primary and +other listed email address(es), secondary distinguished feature (eg +DoB)) are known to CAcert.

    +
  10. +
+

The confidence level of the Assurance Statement is expressed +by +the Assurance Points.

+

Relying Party Statement

+

The primary goal of the Assurance Statement is to meet the +needs +of the Relying Party Statement, which latter is +found in the +Certification Practice Statement (CPS) +for the express purpose of certificates.

+

When a certificate is issued, some or all of the Assurance +Statement may be incorporated (e.g. full name) or implied (e.g. +comparable name, unique certificate serial number, membership or +status) into the certificate and be 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 the Member's Name. The nature of Assurance, +in the certificate.

+

In particular, certificates are sometimes considered to +provide +reliable indications of the Member's Name and eg. email address. The +nature of Assurance, the number of Assurance Points, and other policies and processes -should be understood as limitations on any reliance. -

-

2. The Member

-

Name(s)

-

Names in the CAcert web account should have names which are -identical to those in the ID documents. 

-

The technical form of a Name is a string of characters. It should -be exactly copied from a governmental-issued photo ID. 

-

Transliteration -of characters to a character table defined by Assurance Officer is -permitted, but the result must be 7-bit ASCII for the full Name.

-

In general names are handled case insensitively.

-

Abbreviation of second given name(s), middle name(s), titles and -name extensions in the Name of the web account to one character and a -dot are permitted. If the first given name in the ID document is -abbreviated it the first given name in the web account Name may be -abbreviated. Abbreviation in the web account Name will imply -abbreviation usage in the Common Name of the issued certificate -however.

-

The Common Name and related certificate fields in the 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 (CIP).

-

If the governmental ID indicates for part of the Name a type -(title, first given name, secondary given name(s), middlename(s), -family name, and/or name extensions) and the Name in the web account -provides the type of name field attribute, this will be assured in -the Name account administration. -

-

A Member may have multiple individual Names. For example, married +should be understood as limitations on any reliance.

+

2. The Member

+

Name(s) in an account

+

In principle the Name in the CAcert web account is identical +to +the name in at least one of the ID document of that individual. Names +in an ID can differ, so a CAcert account can have more as one +Name.
+The technical form of a Name is a string of characters. Each Name +should be exactly copied once from a governmental-issued photo +ID. 

+

Multiple Names

+

A Member can have multiple individual names. 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. Each individual Name must -be assured to the applicable level. That is, each Name to 50 -Assurance Points to be used in a certificate.
For an Assurer at -least one Name must have at least to 100 Assurance Points.

-

Capabilities

-

A Member has the following capabilities derived from Assurance: -

- - - - - - - - - - - - - - - - - - - - - -
-

Minimum Assurance Points

-
-

Capability

-
-

Comment

-
-

0

-
-

request un-named certificates

-
-

although the Member's details are recorded in the - account, they are not highly assured.

-
-

50

-
-

request named certificates

-
-

the name and Assurance Statement is assured to 50 - Assurance Points or more

-
-

100

-
-

become an Assurer

-
-

assured to 100 Assurance Points or more, and other - requirements listed below

-
-

Assurance Capability table

-

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

-

3. The Assurer

-

An Assurer is a Member with the following: -

- -

The Assurer Challenge is administered by the Education Team on -behalf of the Assurance Officer. -

-

The Obligations of the Assurer

-

The Assurer is obliged to: -

- -

4. The Assurance

-

The Assurance Process

-

The Assurer conducts the process of Assurance with each Member. -

-

The process consists of: -

-
    -
  1. Voluntary agreement by both - Assurer and Member or prospect Member to conduct the Assurance; -

    -
  2. Personal meeting of Assurer and - Member or prospect Member; -

    -
  3. Recording of essential details on - CAP form (below); -

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

    -
  5. Allocation of Assurance Points by - Assurer; -

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

    -
  7. Safe keeping of the CAP forms by Assurer. -

    -
-

Mutual Assurance

-

Mutual Assurance follows the principle of reciprocity. This means +transliterations of characters in a name. Each individual Name +originating from a governmental ID must +be assured to the applicable level of 50 +Assurance Points before the (comparable) name can be used as Common +Name in a certificate. 

+

Comparison of names

+

Transliteration +of characters as defined in the transliteration character table (UTF +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.

+

In general names are handled case insensitively.

+

Abbreviation of second given name(s), middle name(s), titles +and +name extensions in the name of an individual to one character and the +dot indicating the abbreviation, is permitted. If 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.

+

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

+

The assurance ambition is to pursuit for a highly +discriminative +assured Name. The ambition is to have a Name in the account with no +abbreviation(s), no transliteration and case sensitive.

+

The Common Name and related certificate fields in the 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 (CIP) +and is similar to the name comparison as defined in this policy. +However the +Common Name may become less discriminative as 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 on the ID

+
+

Name in the account

+
+

name in the certificate request

+
+

name on the issued certificate

+
+

Maria Kate Marvel-Java sr

+
+

Maria K. Marvel-Java

+
+

M. K. Marvel-Java

+
+

Maria K. Marvel-Java

+
+

prof. dr. John K. Marvel sr

+
+

John K. Marvel

+
+

John K. Marvel

+
+

John K. Marvel

+
+

Moeria Koete v. Java

+
+

Möria Kœté von Java

+
+

Möria K. v. Java

+
+

Möria K. v. Java

+
+

Jamé de Häring

+
+

Jame de Haering

+
+

J. d. Häring

+
+

J. d. Haering

+
+

Jame d. Haering

+
+

dr Jamé de Häring

+
+

John de Haering

+
+

dr Jamé de Häring

+
+

table +Examples of names in different contexts

+

If the governmental ID indicates for part of the +Name a +type (title, first given name, secondary given name(s), +middlename(s), family name, and/or name extensions) and the Name in +the web account provides the type of name field attribute, this will +be assured in the Name account administration. +

+

Capabilities

+

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

+ + + + + + + + + + + + + + + + + + + + + + + +
+

Minimum Assurance Points

+
+

Capability

+
+

Comment

+
+

0

+
+

request un-named certificates

+
+

although the Member's details are +recorded in the account, they are not highly assured.

+
+

50

+
+

request named certificates

+
+

the name and Assurance Statement is +assured to 50 Assurance Points or more

+
+

100

+
+

become an Assurer

+
+

assured to 100 Assurance Points or +more, and other requirements listed below

+
+

table +Assurance Capability

+

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

+

3. The Assurer

+

An Assurer is a Member with the following:

+ +

The Assurer Challenge is administered by the Education Team on +behalf of the Assurance Officer.

+

The Obligations of the Assurer

+

The Assurer is obliged to:

+ +

4. The Assurance

+

The Assurance Process

+

The Assurer conducts the process of Assurance with each +Member.

+

The process consists of:

+
    +
  1. +

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

    +
  2. +
  3. +

    Personal meeting of +Assurer and Member or prospect Member;

    +
  4. +
  5. +

    Recording of essential +details on CAP form (below);

    +
  6. +
  7. +

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

    +
  8. +
  9. +

    Allocation of Assurance +Points by Assurer;

    +
  10. +
  11. +

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

    +
  12. +
  13. +

    Safe keeping of the CAP forms by Assurer.

    +
  14. +
+

Mutual Assurance

+

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 +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 +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. -

-

Evidence of Assurer status
On the question of +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) -says: The level at which each Member is Assured is public data. -The number of Assurance Points for each Member is not published.. -

-

Assurance Points

-

The Assurance applies Assurance Points to each Member which +(CPS) +says: "The level at which each Member is Assured is public +data. The number of Assurance Points for each Member is not +published..".

+

Assurance Points

+

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 +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: -

- -

Any lesser confidence should result in less Assurance Points for a +information presented:

+ +

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 +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. -

-

Multiple Names 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. -

-

A (new) Member who is not an Assurer may award an Assurer in a +from zero to maximum is +guided by the Assurance +Handbook and the judgement of the Assurer.

+

Multiple Names 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. +

+

A (new) Member who is not an Assurer may award an Assurer in a reciprocal process a maximum of 2 Assurance Points, according to his judgement. The Assurer should strive to have the Member allocate -according to the Member's judgement, and stay on the cautious side; a -(new) Member new to the assurance process should allocate zero -Assurance Points until they get some confidence in what is happening. -

-

No Assurance process can give more than 50 Assurance Points per -Name. This means that to reach 50 Assurance Points (certificate with -a Name), a Member must have been assured at least once. To reach 100 -Assurance Points, at least one Name of the Member must have been -assured at least twice. -

-

Experience Points

-

The maximum number of Assurance Points that may be awarded by an -Assurer is determined by the Experience Points of the Assurer. -

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
-

Assurer's Experience Points

-
-

Allocatable Assurance Points

-
-

0

-
-

10

-
-

10

-
-

15

-
-

20

-
-

20

-
-

30

-
-

25

-
-

40

-
-

30

-
-

>=50

-
-

35

-
-

Assurance Points table

-

An Assurer is given a maximum of 2 Experience Points for every +according to the Member's judgement, and stay on the cautious side a +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.

+

Each Name of a Member must have had at least two assurances to +reach 50 Assurance Points per Name. To reach 100 Assurance Points, at +least one Name of the Member must have been assured at least three +times.

+

No Assurance process can give more than 50 +Assurance +Points per Name. This means that to reach 50 Assurance Points +(certificate with a Name), a Member must have been assured at least +once. To reach 100 Assurance Points, at least one Name of the Member +must have been assured at least twice. +

+

Experience Points

+

The maximum number of Assurance Points that may be awarded by +an +Assurer is determined by the Experience Points of the Assurer.

+
+
+
+ + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + +
+

Assurer's Experience Points

+
+

Allocatable Assurance Points

+
+

0

+
+

10

+
+

10

+
+

15

+
+

20

+
+

20

+
+

30

+
+

25

+
+

40

+
+

30

+
+

>=50

+
+

35

+
+
+
+

table +Maximum of Assurance Points 

+


+

+

An Assurer is given a maximum of 2 Experience Points for every completed Assurance. On reaching Assurer status, the Experience -Points start at 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 Board, on recommendation -from the Assurance Officer. -

-

Experience Points are not to be confused with Assurance Points. -

-

Comment: this part still needs to be agreed. -

-

CAcert Assurance Programme (CAP) form

-

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

- -

The CAP form requests the following details of the Assurer: -

- -

The CAP forms are to be kept at least for 7 years by the Assurer. -

-

5. The Assurance Officer

-

The Committee (Board) of CAcert Inc. appoints an Assurance Officer -with the following responsibilities: -

- -

6. Subsidiary Policies

-

The Assurance Officer manages various exceptions and additional +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.

+

CAcert Assurance Programme (CAP) form

+

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

+ +

The CAP form requests the following details of the Assurer:

+ +

The CAP forms are to be kept at least for 7 years by the +Assurer.

+

5. The Assurance Officer

+

The Committee (board) of CAcert Inc. appoints an Assurance +Officer +with the following responsibilities:

+ +

6. Subsidiary Policies

+

The Assurance Officer manages various exceptions and +additional processes. Each must be covered by an approved Subsidiary Policy (refer to Policy on Policy => COD1). Subsidiary Policies specify any additional tests of knowledge required and variations to process -and documentation, within the general standard stated here. -

-

Examples of expected subsidiary policies are these: -

- -

Standard

-

Each Subsidiary Policy must augment and improve the general +and documentation, within the general standard stated here.

+

Examples of expected subsidiary policies are these:

+ +

Standard

+

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. -

-

High Risk Applications

-

In addition to the Assurance or Experience Points ratings set here +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. -These may include: -

-
-
Additional information -
- Additional information can be required in process of assurance: -
- -

Additional Information is to be kept by Assurer, attached to CAP +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:

+ +

Additional Information is to be kept by Assurer, attached to +CAP form. Assurance Points allocation by this assurance is unchanged. User's CAcert (web)account should be annotated to record type of -additional information: -

- -

Applications that might attract additional measures include -code-signing certificates and administration roles. -

-

Privacy

-

CAcert is a "privacy" organisation, and takes the +additional information:

+ +

Applications that might attract additional measures include +code-signing certificates and administration roles.

+

Privacy

+

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 +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: -

- -

Valid XHTML 1.1 -

- - \ No newline at end of file +internal purposes.

+

The Member's information can be accessed under these +circumstances:

+ +

Valid XHTML 1.1 +

+ \ No newline at end of file