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<meta http-equiv="CONTENT-TYPE" content="text/html; charset=utf-8"><title>Assurance Policy</title>
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<meta name="CHANGEDBY" content="Teus Hagen">
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<meta name="CHANGED" content="20080709;12381800">
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<meta name="CREATEDBY" content="Ian Grigg">
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<meta name="CHANGEDBY" content="Teus Hagen">
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<body style="direction: ltr; color: rgb(0, 0, 0);" lang="en-GB">
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<h1>Assurance Policy for CAcert Community Members</h1>
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<p><a href="PolicyOnPolicy.html"><img src="images/cacert-policy.png" id="graphics1" alt="CAcert Policy Status == POLICY" align="bottom" border="0" height="33" width="90"></a>
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<br>
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Editor: Teus Hagen<br>
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Creation date: 2008-05-30<br>
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Last change by: Iang<br>
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Last change date: 2009-01-08<br>
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Status: POLICY p20090105.2
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</p>
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<h2><a name="0">0.</a> Preamble</h2>
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<h3><a name="0.1">0.1.</a> Definition of Terms</h3>
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<dl>
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<dt><i>Member</i> </dt>
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<dd> A Member is an individual who has agreed to the CAcert
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Community Agreement
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(<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php" target="_blank">CCA</a>)
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and has created successfully
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a CAcert login account on the CAcert web site. </dd>
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<dt> <i>Assurance</i> </dt>
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<dd> Assurance is the process by which a Member of CAcert
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Community (Assurer) identifies an individual (<span lang="en-US">Assuree</span>).
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</dd>
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<dt> <i>Prospective Member</i> </dt>
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<dd> An individual who participates in the process of Assurance,
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but has not yet created a CAcert login account. </dd>
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<dt> <i>Name</i> </dt>
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<dd> A Name is the full name of an individual.
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</dd>
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<dt> <i>Secondary Distinguishing Feature</i>
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</dt>
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<dd> An additional personal data item of the Member
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that assists discrimination from Members with similar full names.
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(Currently this is the Date of Birth (DoB).)
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</dd>
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</dl>
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<h3><a name="0.2">0.2.</a> The CAcert Web of Trust</h3>
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<p>
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In face-to-face meetings,
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an Assurer allocates a number of Assurance Points
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to the Member being Assured.
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CAcert combines the Assurance Points
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into a global <i>Web-of-Trust</i> (or "WoT").
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</p>
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<p>
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CAcert explicitly chooses to meet its various goals by
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construction of a Web-of-Trust of all Members.
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</p>
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<h3><a name="0.3">0.3.</a> Related Documentation</h3>
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<p>
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Documentation on Assurance is split between this
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Assurance Policy (AP) and the
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<a href="http://wiki.cacert.org/wiki/AssuranceHandbook2" target="_blank">Assurance
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Handbook</a>. The policy is controlled by Configuration Control
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Specification
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(<a href="http://wiki.cacert.org/wiki/PolicyDrafts/ConfigurationControlSpecification" target="_blank">CCS</a>)
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under Policy on Policy
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(<a href="http://www.cacert.org/policy/PolicyOnPolicy.php" target="_blank">PoP</a>)
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policy document regime. Because Assurance is an active area, much
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of the practice is handed over to the Assurance Handbook, which is
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not a controlled policy document, and can more easily respond to
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experience and circumstances. It is also more readable.
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</p>
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<p>
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See also Organisation Assurance Policy (<a href="http://www.cacert.org/policy/OrganisationAssurancePolicy.php" target="_blank">OAP</a>)
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and CAcert Policy Statement (<a href="http://svn.cacert.org/CAcert/policy.htm" target="_blank">CPS</a>).
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</p>
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<h2><a name="1">1.</a> Assurance Purpose</h2>
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<p>The purpose of Assurance is to add confidence
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in the Assurance Statement made by the CAcert Community of a Member. </p>
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<p>With sufficient assurances, a Member may: (a) issue certificates
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with their assured Name included, (b) participate in assuring others,
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and (c) other related activities. The strength of these activities is
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based on the strength of the assurance. </p>
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<h3><a name="1.1">1.1.</a>The Assurance Statement</h3>
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<p>
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The Assurance Statement makes the following claims
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about a person:
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</p>
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<ol>
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<li>
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<p>The person is a bona fide Member. In other words, the
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person is a member of the CAcert Community as defined by the CAcert
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Community Agreement (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php" target="_blank">CCA</a>); </p>
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</li>
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<li>
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<p>The Member has a (login) account with CAcert's on-line
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registration and service system; </p>
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</li>
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<li>
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<p>The Member can be determined from any CAcert certificate
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issued by the Account; </p>
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</li>
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<li>
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<p>The Member is bound into CAcert's Arbitration as defined
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by the CAcert Community Agreement; </p>
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</li>
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<li>
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<p>Some personal details of the Member are known to CAcert:
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the individual Name(s), primary and other listed individual email
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address(es), secondary distinguishing feature (e.g. DoB). </p>
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</li>
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</ol>
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<p>The confidence level of the Assurance Statement is expressed by
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the Assurance Points. </p>
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<h3><a name="1.2">1.2.</a>Relying Party Statement</h3>
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<p>The primary goal of the Assurance Statement is for the express
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purpose of certificates to meet the needs of the <i>Relying Party
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Statement</i>, which latter is found in the Certification Practice
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Statement (<a href="http://svn.cacert.org/CAcert/policy.htm" target="_blank">CPS</a>).
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</p>
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<p>When a certificate is issued, some of the Assurance Statement may
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be incorporated, e.g. Name. Other parts may be implied, e.g.
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Membership, exact account and status. They all are part of the
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<i>Relying Party Statement</i>. In short, this means that other
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Members of the Community may rely on the information verified by
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Assurance and found in the certificate.</p>
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<p>In particular, certificates are sometimes considered to provide
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reliable indications of e.g. the Member's Name and email address. The
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nature of Assurance, the number of Assurance Points, and other
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policies and processes should be understood as limitations on any
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reliance. </p>
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<h2><a name="2">2.</a> The Member</h2>
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<h3><a name="2.1">2.1.</a> The Member's Name </h3>
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<p>
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At least one individual Name is recorded in the Member's
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CAcert login account. The general standard of a Name is:
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</p>
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<ul>
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<li>
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<p>
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The Name should be recorded as written in a
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government-issued photo identity document (ID).
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</p>
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</li>
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<li>
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<p>
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The Name should be recorded as completely as possible.
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That is, including all middle names, any titles and extensions,
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without abbreviations, and without transliteration of characters.
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</p>
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</li>
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<li>
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<p>The Name is recorded as a string of characters,
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encoded in <span lang="en-US">unicode</span>
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transformation format.</p>
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</li>
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</ul>
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<h3><a name="2.2">2.2.</a> Multiple Names and variations</h3>
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<p>
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In order to handle the contradictions in the above general standard,
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a Member may record multiple Names or multiple variations of a Name
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in her CAcert online Account.
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Examples of variations include married names,
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variations of initials of first or middle names,
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abbreviations of a first name,
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different language or country variations,
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and transliterations of characters in a name.
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</p>
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<h3><a name="2.3">2.3.</a> Status and Capabilities</h3>
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<p>
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A Name which has reached
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the level of 50 Assurance Points is defined as an Assured
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Name. An Assured Name can be used in a certificate issued by CAcert.
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A Member with at least one Assured Name has reached the Assured
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Member status.
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Additional capabilities are described in Table 1.
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</p>
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<blockquote>
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<p align="left"><font size="2"><i>Table 1:
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Assurance Capability</i></font></p>
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<table border="1" cellpadding="5" cellspacing="0">
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<tbody>
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<tr>
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<td width="10%">
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<p align="left"><i>Minimum Assurance Points</i></p>
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</td>
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<td width="15%">
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<p align="left"><i>Capability</i></p>
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</td>
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<td width="15%">
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<p align="left"><i>Status</i></p>
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</td>
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<td width="60%">
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<p align="left"><i>Comment</i></p>
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</td>
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</tr>
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<tr valign="top">
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<td>
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<p align="center">0</p>
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</td>
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<td>
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<p align="left">Request Assurance</p>
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</td>
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<td>
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<p align="left">Prospective Member</p>
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</td>
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<td>
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<p align="left">Individual taking part of an
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Assurance, who does not have created a CAcert login account (yet). The
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allocation of Assurance Points is awaiting login account creation.</p>
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</td>
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</tr>
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<tr valign="top">
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<td>
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<p align="center">0</p>
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</td>
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<td>
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<p align="left">Request unnamed certificates</p>
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</td>
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<td>
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<p align="left">Member</p>
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</td>
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<td>
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<p align="left">Although the Member's details are
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recorded in the account, they are not highly assured.</p>
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</td>
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</tr>
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<tr valign="top">
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<td>
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<p align="center">50</p>
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</td>
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<td>
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<p align="left">Request named certificates</p>
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</td>
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<td>
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<p align="left">Assured Member</p>
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</td>
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<td>
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<p align="left">Statements of Assurance: the Name is
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assured to 50 Assurance Points or more</p>
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</td>
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</tr>
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<tr valign="top">
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<td>
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<p align="center">100</p>
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</td>
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<td>
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<p align="left">Become an Assurer</p>
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</td>
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<td>
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<p align="left">Prospective Assurer</p>
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</td>
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<td>
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<p align="left">Assured to 100 Assurance Points (or
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more) on at least one Name, and passing the Assurer Challenge.</p>
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</td>
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</tr>
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</tbody>
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</table>
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</blockquote>
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<p>
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A Member may check the status of another Member, especially
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for an assurance process.
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Status may be implied from information in a certificate.
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The number of Assurance Points for each Member is not published.
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</p>
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<p>
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The CAcert Policy Statement
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(<a href="http://svn.cacert.org/CAcert/policy.htm" target="_blank">CPS</a>)
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and other policies may list other capabilities that rely on Assurance
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Points.
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</p>
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<h2><a name="3">3.</a> The Assurer</h2>
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<p>An Assurer is a Member with the following: </p>
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<ul>
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<li>
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<p>Is assured to a minimum of 100 Assurance Points; </p>
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</li>
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<li>
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<p>Has passed the CAcert Assurer Challenge. </p>
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</li>
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</ul>
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<p>The Assurer Challenge is administered by the Education Team on
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behalf of the Assurance Officer. </p>
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<h3><a name="3.1">3.1.</a> The Obligations of the Assurer</h3>
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<p>The Assurer is obliged to: </p>
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<ul>
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<li>
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<p>Follow this Assurance Policy; </p>
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</li>
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<li>
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<p>Follow any additional rules of detail laid out by the
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CAcert Assurance Officer; </p>
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</li>
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<li>
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<p>Be guided by the CAcert <a href="http://wiki.cacert.org/wiki/AssuranceHandbook2" target="_blank">Assurance Handbook</a> in their
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judgement; </p>
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</li>
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<li>
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<p>Make a good faith effort at identifying and verifying
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Members; </p>
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</li>
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<li>
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<p>Maintain the documentation on each Assurance; </p>
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</li>
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<li>
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<p>Deliver documentation to Arbitration, or as otherwise
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directed by the Arbitrator; </p>
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</li>
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<li>
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<p>Keep up-to-date with developments within the CAcert
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Community. </p>
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</li>
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</ul>
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<h2><a name="4">4.</a> The Assurance</h2>
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<h3><a name="4.1">4.1.</a> The Assurance Process</h3>
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<p>The Assurer conducts the process of Assurance with each
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Member. </p>
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<p>The process consists of: </p>
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<ol>
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<li>
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<p>Voluntary agreement by both Assurer and Member or
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Prospective Member to conduct the Assurance; </p>
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</li>
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<li>
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<p>Personal meeting of Assurer and Member or Prospective
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Member; </p>
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</li>
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<li>
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<p>Recording of essential details on CAcert Assurance
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Programme form; </p>
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</li>
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<li>
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<p>Examination of Identity documents by Assurer and
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verification of recorded details (the Name(s) and Secondary
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Distinguishing Feature, e.g., DoB); </p>
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</li>
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<li>
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<p>Allocation of Assurance Points by Assurer; </p>
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</li>
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<li>
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<p>Optional: supervision of reciprocal Assurance made by
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Assuree (Mutual Assurance); </p>
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</li>
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<li>
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<p>Safekeeping of the CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
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forms by Assurer. </p>
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</li>
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</ol>
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<h3><a name="4.2">4.2.</a> Mutual Assurance</h3>
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<p>Mutual Assurance follows the principle of reciprocity. This
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means
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that the Assurance may be two-way, and that each member participating
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in the Assurance procedure should be able to show evidence of their
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identity to the other. </p>
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<p>In the event that an Assurer is assured by a Member who is not
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certified as an Assurer, the Assurer supervises the Assurance
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procedure and process, and is responsible for the results. </p>
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<p>Reciprocity maintains a balance between the (new) member and
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the
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Assurer, and reduces any sense of power. It is also an important aid
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to the assurance training for future Assurers. </p>
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<h3><a name="4.3">4.3.</a> Assurance Points</h3>
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<p>The Assurance applies Assurance Points to each Member which
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measure the increase of confidence in the Statement (above).
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Assurance Points should not be interpreted for any other purpose.
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Note that, even though they are sometimes referred to as <i>Web-of-Trust</i>
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(Assurance) Points, or <i>Trust</i> Points, the meaning
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of the word
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'Trust' is not well defined. </p>
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<p><i>Assurance Points Allocation</i><br>
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An Assurer can allocate a
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number of Assurance Points to the Member according to the Assurer's
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experience (Experience Point system, see below). The allocation of
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the maximum means that the Assurer is 100% confident in the
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information presented: </p>
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<ul>
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<li>
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<p>Detail on form, system, documents, person in accordance; </p>
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</li>
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<li>
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<p>Sufficient quality identity documents have been checked; </p>
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</li>
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<li>
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<p>Assurer's familiarity with identity documents; </p>
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</li>
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<li>
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<p>The Assurance Statement is confirmed. </p>
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</li>
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</ul>
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<p>
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Any lesser confidence should result in less Assurance Points for a
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Name. If the Assurer has no confidence in the information presented,
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then <i>zero</i> Assurance Points may be allocated by the Assurer.
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For example, this may happen if the identity documents are totally
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unfamiliar to the Assurer. The number of Assurance Points from <i>zero</i>
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to <i>maximum</i> is guided by the Assurance Handbook
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and the judgement of the Assurer.
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If there is negative confidence the Assurer should consider
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filing a dispute.
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</p>
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<p>Multiple Names should be allocated Assurance Points
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independently within a single Assurance. </p>
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<p>
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A Member who is not an Assurer may award an Assurer in a
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reciprocal process a maximum of 2 Assurance Points, according to
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her judgement. The Assurer should strive to have the Member allocate
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according to the Member's judgement, and stay on the cautious side;
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the Member new to the assurance process
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should allocate <i>zero</i> Assurance Points
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until she gains some confidence in what is happening.
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</p>
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<p>
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In general, for a Member to reach 50 Assurance Points, the Member must
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have participated in at least two assurances, and
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at least one Name will have been assured to that level.
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</p>
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<p>
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To reach 100 Assurance
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Points, at least one Name of the Assured Member must have been
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assured at least three times.
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</p>
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<p>
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The maximum number of Assurance
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Points which can be allocated for an Assurance under this policy
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and under any act under any
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Subsidiary Policy (below) is 50 Assurance Points.
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</p>
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<h3><a name="4.4">4.4.</a> Experience Points</h3>
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<p>The maximum number of Assurance Points that may be awarded by
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an
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Assurer is determined by the Experience Points of the Assurer. </p>
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<blockquote>
|
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<p align="left"><font size="2"><i>Table 2:
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Maximum of Assurance Points </i></font>
|
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</p>
|
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<table border="1" cellpadding="2" cellspacing="0" width="15%">
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<tbody>
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<tr>
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<td>
|
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<p><i>Assurer's Experience Points</i></p>
|
|
</td>
|
|
<td>
|
|
<p><i>Allocatable Assurance Points</i></p>
|
|
</td>
|
|
</tr>
|
|
<tr>
|
|
<td>
|
|
<p align="center">0</p>
|
|
</td>
|
|
<td>
|
|
<p align="center">10</p>
|
|
</td>
|
|
</tr>
|
|
<tr>
|
|
<td>
|
|
<p align="center">10</p>
|
|
</td>
|
|
<td>
|
|
<p align="center">15</p>
|
|
</td>
|
|
</tr>
|
|
<tr>
|
|
<td>
|
|
<p align="center">20</p>
|
|
</td>
|
|
<td>
|
|
<p align="center">20</p>
|
|
</td>
|
|
</tr>
|
|
<tr>
|
|
<td>
|
|
<p align="center">30</p>
|
|
</td>
|
|
<td>
|
|
<p align="center">25</p>
|
|
</td>
|
|
</tr>
|
|
<tr>
|
|
<td>
|
|
<p align="center">40</p>
|
|
</td>
|
|
<td>
|
|
<p align="center">30</p>
|
|
</td>
|
|
</tr>
|
|
<tr>
|
|
<td>
|
|
<p align="center">>=50</p>
|
|
</td>
|
|
<td>
|
|
<p align="center">35</p>
|
|
</td>
|
|
</tr>
|
|
</tbody>
|
|
</table>
|
|
</blockquote>
|
|
<p>An Assurer is given a maximum of 2 Experience Points for every
|
|
completed Assurance. On reaching Assurer status, the Experience
|
|
Points start at 0 (zero). </p>
|
|
<p>Less Experience Points (1) may be given for mass Assurance
|
|
events,
|
|
where each Assurance is quicker. </p>
|
|
<p>Additional Experience Points may be granted temporarily or
|
|
permanently to an Assurer by CAcert Inc.'s Committee (board), on
|
|
recommendation from the Assurance Officer. </p>
|
|
<p>Experience Points are not to be confused with Assurance
|
|
Points. </p>
|
|
<h3><a name="4.5">4.5.</a> CAcert Assurance Programme (CAP) form</h3>
|
|
<p>The CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
|
|
form requests the following details of each Member or Prospective
|
|
Member: </p>
|
|
<ul>
|
|
<li>
|
|
<p>Name(s), as recorded in the on-line account; </p>
|
|
</li>
|
|
<li>
|
|
<p>Primary email address, as recorded in the on-line account;
|
|
</p>
|
|
</li>
|
|
<li>
|
|
<p>Secondary Distinguishing Feature, as recorded in the
|
|
on-line account (normally, date of birth); </p>
|
|
</li>
|
|
<li>
|
|
<p>Statement of agreement with the CAcert Community
|
|
Agreement; </p>
|
|
</li>
|
|
<li>
|
|
<p>Permission to the Assurer to conduct the Assurance
|
|
(required for privacy reasons); </p>
|
|
</li>
|
|
<li>
|
|
<p>Date and signature of the Assuree. </p>
|
|
</li>
|
|
</ul>
|
|
<p>The CAP form requests the following details of the Assurer: </p>
|
|
<ul>
|
|
<li>
|
|
<p>At least one Name as recorded in the on-line account of
|
|
the Assurer; </p>
|
|
</li>
|
|
<li>
|
|
<p>Assurance Points for each Name in the identity
|
|
document(s); </p>
|
|
</li>
|
|
<li>
|
|
<p>Statement of Assurance; </p>
|
|
</li>
|
|
<li>
|
|
<p>Optional: If the Assurance is reciprocal, then the
|
|
Assurer's email address and Secondary Distinguishing Feature are
|
|
required as well; </p>
|
|
</li>
|
|
<li>
|
|
<p>Date, location of Assurance and signature of Assurer. </p>
|
|
</li>
|
|
</ul>
|
|
<p>The CAP forms are to be kept at least for 7 years by the
|
|
Assurer. </p>
|
|
<h2><a name="5">5.</a> The Assurance Officer</h2>
|
|
<p>The Committee (board) of CAcert Inc. appoints an Assurance
|
|
Officer
|
|
with the following responsibilities: </p>
|
|
<ul>
|
|
<li>
|
|
<p>Reporting to the Committee and advising on all matters to
|
|
do with Assurance; </p>
|
|
</li>
|
|
<li>
|
|
<p>Training and testing of Assurers, in association with the
|
|
Education Team; </p>
|
|
</li>
|
|
<li>
|
|
<p>Updating this Assurance Policy, under the process
|
|
established by Policy on Policy (<a href="https://www.cacert.org/policy/PolicyOnPolicy.php" target="_blank">PoP</a>); </p>
|
|
</li>
|
|
<li>
|
|
<p>Management of all Subsidiary Policies (see below) for
|
|
Assurances, under Policy on Policy; </p>
|
|
</li>
|
|
<li>
|
|
<p>Managing and creating rules of detail or procedure where
|
|
inappropriate for policies; </p>
|
|
</li>
|
|
<li>
|
|
<p>Incorporating rulings from Arbitration into policies,
|
|
procedures or guidelines; </p>
|
|
</li>
|
|
<li>
|
|
<p>Assisting the Arbitrator in any requests; </p>
|
|
</li>
|
|
<li>
|
|
<p>Managing the Assurer Handbook; </p>
|
|
</li>
|
|
<li>
|
|
<p>Maintaining a sufficient strength in the Assurance process
|
|
(web-of-trust) to meet the agreed needs of the Community. </p>
|
|
</li>
|
|
</ul>
|
|
<h2><a name="6">6.</a> Subsidiary Policies</h2>
|
|
<p>The Assurance Officer manages various exceptions and additional
|
|
processes. Each must be covered by an approved Subsidiary Policy
|
|
(refer to Policy on Policy => CAcert Official Document COD1).
|
|
Subsidiary Policies specify any additional tests of knowledge
|
|
required and variations to process and documentation, within the
|
|
general standard stated here. </p>
|
|
<h3><a name="6.1">6.1.</a> 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><a name="6.2">6.2.</a> High Risk Applications</h3>
|
|
<p>In addition to the Assurance or Experience Points ratings set
|
|
here and in other subsidiary policies, the Assurance Officer or policies can
|
|
designate certain applications as high risk. If so, additional
|
|
measures may be added to the Assurance process that specifically
|
|
address the risks.</p>
|
|
<p>Additional measures may include:
|
|
</p>
|
|
<ul>
|
|
<li>
|
|
<p>Additional information can be required in process of assurance: </p>
|
|
<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>
|
|
<p>Additional Information is to be kept by Assurer, attached to
|
|
CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
|
|
form. Assurance Points allocation by this assurance is unchanged.
|
|
User's CAcert login account should be annotated to record type of
|
|
additional information;</p>
|
|
</li>
|
|
<li>
|
|
<p>Arbitration: </p>
|
|
<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>
|
|
<p>Additional training; </p>
|
|
</li>
|
|
<li>
|
|
<p>Member to be Assurer (at least 100 Assurance Points and
|
|
passed Assurer Challenge); </p>
|
|
</li>
|
|
<li>
|
|
<p>Member agrees to additional specific agreement(s); </p>
|
|
</li>
|
|
<li>
|
|
<p>Additional checking/auditing of systems data by CAcert
|
|
support administrators. </p>
|
|
</li>
|
|
</ul>
|
|
<p>Applications that might attract additional measures include
|
|
code-signing certificates and administration roles. </p>
|
|
<h2><a name="7">7.</a> 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>
|
|
<p>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. </p>
|
|
<p>The Member's information can be accessed under these
|
|
circumstances: </p>
|
|
<ul>
|
|
<li>
|
|
<p>Under Arbitrator ruling, in a duly filed dispute (<a href="http://www.cacert.org/policy/DisputeResolutionPolicy.html" target="_blank">Dispute Resolution Policy</a>
|
|
=> COD7); </p>
|
|
</li>
|
|
<li>
|
|
<p>An Assurer in the process of an Assurance, as permitted on
|
|
the CAcert Assurance Programme (<a href="http://www.cacert.org/cap.php" target="_blank">CAP</a>)
|
|
form; </p>
|
|
</li>
|
|
<li>
|
|
<p>CAcert support administration and CAcert systems
|
|
administration when operating under the authority of Arbitrator or
|
|
under CAcert policy. </p>
|
|
</li>
|
|
</ul>
|
|
</body></html>
|
|
|