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cacert-policies/OrganisationAssurancePolicy/OrganisationAssurance-SubPolAustralia.html
Sam Johnston 5d83b72b46 oa subpol for australia tweaks 
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<head>
<title>
CACert Organisation Assurance Program sub-policy for Australia
</title>
</head>
<body>
<h1>
CAcert Organisation Assurance Program sub-policy for Australia
</h1>
<p>
<a href="../PolicyOnPolicy.html"><img src="../cacert-wip.png" alt="CAcert Work In Progress" height="31" width="88" style="border-style: none;" /></a><br />
Author(s): Sam Johnston<br />
Creation date: WIP 2008-03-18 V0.5<br />
Status: WIP 2008-03-XXX<br />
Date next status: changes expected in April 2008.<br />
<!-- $Id$ -->
</p>
<h2>
0. Preliminaries
</h2>
<p>
This CAcert sub-policy extends the Organisation Assurance Policy ("OAP") by specifying how the CAcert Organisation Assurance Program ("COAP") is to be conducted by the assigned Organisation Assurer ("OA") under the supervision of the Assurance Officer ("AO") for entities within the defined scope.
</p>
<h2>
1. Scope
</h2>
<p>
This sub-policy is applicable to:<br />
</p>
<ol style="list-style-type: lower-alpha;">
<li>Australian legal entities:<br />
<ol style="list-style-type: lower-roman;">
<li>Sole Traders
</li>
<li>Partnerships
</li>
<li>Companies
</li>
<li>Trusts
</li>
<li>Government Bodies &amp; Intrumentalities
</li>
<li>Clubs &amp; Associations
</li>
</ol>
</li>
</ol>
<h2>
2. Requirements
</h2>
<p>
This section describes any scope specific requirements that are not otherwise defined in the OAP.
</p>
<h3>
2.1 Organisation
</h3>
<ol style="list-style-type: lower-alpha;">
<li>For sole traders operating under their own name business name registration is OPTIONAL.
</li>
<li>Applicants MUST be a valid legal entity but MAY have an arbitrary number of registered trading names.
</li>
</ol>
<h3>
2.2 Records
</h3>
<ol style="list-style-type: lower-alpha;">
<li>Digital Signatures MAY be accepted in Australia under the Electronic Transactions Act 2000.
</li><!--><li>Statutory Declarations MAY be accepted in support of other documentary evidence.
</li>-->
<li>Historic documents MAY be accepted where it can be proven that material changes have not been made (eg via absence of subsequent submissions in official document listings).
</li>
</ol>
<h3>
2.3 Application Form
</h3>
<ol style="list-style-type: lower-alpha;">
<li>The licensing authority MUST be specified as 'Australian Securities and Investments Commission (ASIC)' (for companies, trusts etc) or a state office of fair trading (for sole traders, partnerships and trading names).
</li>
<li>Any applicable organisation identifiers (ACN/ABN/ARBN) MUST be specified where applicable (not required for sole traders operating under their own name).
</li>
</ol>
<h2>
3. Registration
</h2>
<h3>
3.1 Registries
</h3>
<ol style="list-style-type: lower-alpha;">
<li>AusRegistry [<a title="AusRegistry" href="http://www.ausregistry.com.au/">http://www.ausregistry.com.au/</a>]<br />
<ol>
<li>.au ccTLD WHOIS [<a title="AusRegistry WHOIS" href="http://whois.ausregistry.net.au/">http://whois.ausregistry.net.au/</a>]<br />
</li>
</ol>
</li>
<li>Australian Securities and Investments Commission ("ASIC") [<a title="Australian Securities and Investments Commission" href="http://www.asic.gov.au/">http://www.asic.gov.au/</a>]<br />
<ol style="list-style-type: lower-roman;">
<li>National Names Index [<a title="National Names Index" href="http://www.search.asic.gov.au/gns001.html">http://www.search.asic.gov.au/gns001.html</a>]<br />
</li>
</ol>
</li>
<li>Australian state offices of fair trading [<a title="ACCC Contacts: State offices of fair trading" href="http://www.accc.gov.au/content/index.phtml/itemId/325459">http://www.accc.gov.au/content/index.phtml/itemId/325459</a>]<br />
<ol style="list-style-type: lower-roman;">
<li>ACT Office of Fair Trading (OFT) [<a title="ACT Office of Fair Trading (OFT)" href="http://www.fairtrading.act.gov.au/">http://www.fairtrading.act.gov.au/</a>]
</li>
<li>NT Consumer Affairs [<a title="NT Consumer Affairs" href="http://www.nt.gov.au/justice/consaffairs/">http://www.nt.gov.au/justice/consaffairs/</a>]
</li>
<li>NSW Office of Fair Trading (OFT) [<a title="NSW Office of Fair Trading (OFT)" href="http://www.fairtrading.nsw.gov.au">http://www.fairtrading.nsw.gov.au</a>]
</li>
<li>QLD Office of Fair Trading (OFT) [<a title="QLD Office of Fair Trading (OFT)" href="http://www.fairtrading.qld.gov.au">http://www.fairtrading.qld.gov.au</a>]
</li>
<li>SA Office of Fair Trading (OFT) [<a title="SA Office of Fair Trading (OFT)" href="http://www.ocba.sa.gov.au">http://www.ocba.sa.gov.au</a>]
</li>
<li>TAS Office of Fair Trading (OFT) [<a title="TAS Office of Fair Trading (OFT)" href="http://www.consumer.tas.gov.au/">http://www.consumer.tas.gov.au/</a>]
</li>
<li>VIC Office of Fair Trading (OFT) [<a title="TAS Office of Fair Trading (OFT)" href="http://www.consumer.vic.gov.au">http://www.consumer.vic.gov.au</a>]
</li>
<li>WA Department of Consumer and Employment Protection (DOCEP) [<a title="Department of Consumer and Employment Protection, WA (DOCEP)" href="http://www.docep.wa.gov.au">http://www.docep.wa.gov.au</a>]
</li>
</ol>
</li>
<li>Australian Taxation Office ("ATO") [<a title="Australian Taxation Office" href="http://www.ato.gov.au/">http://www.ato.gov.au/</a>]<br />
<ol style="list-style-type: lower-roman;">
<li>Australian Business Register ("ABR") [<a title="Australian Business Register" href="http://www.abr.business.gov.au/">http://www.abr.business.gov.au/</a>]<br />
</li>
</ol>
</li>
<li>Credit Reporting Agencies<br />
<ol style="list-style-type: lower-roman;">
<li>Dun &amp; Bradstreet (Australia) [<a title="Dun &amp; Bradstreet (Australia)" href="http://www.dnb.com.au/">http://www.dnb.com.au/</a>]<br />
</li>
<li>Veda Advantage [<a title="Veda Advantage" href="http://www.vedaadvantage.com/">http://www.vedaadvantage.com/</a>]<br />
</li>
</ol>
</li>
</ol>
<h3>
3.2 Agents
</h3>
<ol style="list-style-type: lower-alpha;">
<li>ASIC<br />
<ol style="list-style-type: lower-roman;">
<li>ASIC Information Brokers [<a title="ASIC Information Brokers" href="http://www.asic.gov.au/asic/asic.nsf/byheadline/Information+brokers?openDocument">http://www.asic.gov.au/asic/asic.nsf/byheadline/Information+brokers?openDocument</a>]
</li>
<li>ASIC Service Centers [<a title="ASIC Service Centers" href="http://www.asic.gov.au/asic/asic.nsf/byheadline/ASIC+Service+Centre+Addresses?openDocument">http://www.asic.gov.au/asic/asic.nsf/byheadline/ASIC+Service+Centre+Addresses?openDocument</a>]
</li>
</ol>
</li>
</ol>
<h3>
3.3 Identifiers
</h3>
<ol style="list-style-type: lower-alpha;">
<li>Australian Company Number ("ACN") is a unique 9 digit identifying number assigned by ASIC when a body becomes registered as a company under corporations law.
</li>
<li>Australian Registered Body Number ("ARBN") is a unique 9 digit identifying number assigned by ASIC when a body is registered with them other than as a company, for example registrable Australian bodies.<br />
</li>
<li>Australian Business Number ("ABN") is a unique 11 digit identifying number issued to all entities registered in the Australian Business Register (ABR).
</li>
</ol>
<h3>
3.4 Documents
</h3>
<ol style="list-style-type: lower-alpha;">
<li>ASIC Company Extract
</li>
<li>Credit File
</li>
</ol>
<h2>
4. Processes
</h2>
<h3>
4.1 Assurance
</h3>
<ol style="list-style-type: lower-alpha;">
<li>Each person listed in an application MUST be individually assured and referenced by a confirmed email.
</li>
<li>Sole traders operating under their own name MAY be automatically approved without further checks.
</li>
<li>All other trading names (including companies) MUST be verified against the National Names Index and/or Australian Business Register, where the status MUST be 'Registered' or 'Active' respectively.
</li>
<li>Partnership applicants MUST additionally be verified in the register as a current individual member and SHOULD be a managing partner.
</li>
<li>Company applications MUST be made by an individual who is duly authorised to sign on behalf of the company:
<ol style="list-style-type: lower-roman;">
<li>Officeholder applicants (directors or preferably secretary) MUST be verified in an "ASIC Company Extract" (obtained for a fee reclaimable from the applicant by the OA from an ASIC Service Center or ASIC Information Broker) or "Credit File" from a "Credit Reporting Agency".
</li>
<li>Any other applicant MUST prove that they are duly authorised to sign on behalf of the entity (for example via delegation and/or under replacible rules) to the satisfaction of the OA, for approval by the AO.
</li>
</ol>
</li>
<li>Trust applications MUST be made by the trustee.
</li>
<li>Government Body &amp; Intrumentality applications MUST be made by a duly authorised person and the relevant authorisation must accompany the application.
</li>
<li>Club &amp; Association applications MUST be made by the secretary of the club or association.
</li>
</ol>
<p>
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