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<!DOCTYPE html PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd">
<html>
<head><title>CAcert Community Agreement</title></head>
<body>
<h3> <a name="0"> 0. </a> Introduction </h3>
<p>
This agreement is between
you, being a registered member ("Member")
within CAcert's community at large ("Community")
and CAcert Incorporated ("CAcert"),
being an operator of services to the Community.
</p>
<h4> <a name="0.1"> 0.1 </a> Terms </h4>
<ol><li>
"CAcert"
means CAcert Inc.,
a non-profit Association of Members incorporated in
New South Wales, Australia.
Note that Association Members are distinct from
the Members defined here.
</li><li>
"Member"
means you, a registered participant within CAcert's Community,
with an account on the website and the
facility to request certificates.
Members may be individuals ("natural persons")
or organisations ("legal persons").
</li><li>
"Organisation"
is defined under the Organisation Assurance programme,
and generally includes corporations and other entities
that become Members and become Assured.
</li><li>
"Community"
means all of the Members
that are registered by this agreement
and other parties by other agreements,
all being under CAcert's Arbitration.
</li><li>
"Non-Related Person" ("NRP"),
being someone who is not a
Member, is not part of the Community,
and has not registered their agreement.
Such people are offered the NRP-DaL
another agreement allowing the USE of certificates.
</li><li>
"Non-Related Persons - Disclaimer and Licence" ("NRP-DaL"),
another agreement that is offered to persons outside the
Community.
</li><li>
"Arbitration"
is the Community's forum for
resolving disputes, or jurisdiction.
</li><li>
"Dispute Resolution Policy" ("DRP" => COD7)
is the policy and
rules for resolving disputes.
</li><li>
"USE"
means the act by your software
to conduct its tasks, incorporating
the certificates according to software procedures.
</li><li>
"RELY"
means your human act in taking on a
risk and liability on the basis of the claim(s)
bound within a certificate.
</li><li>
"OFFER"
means the your act
of making available your certificate to another person.
Generally, you install and configure your software
to act as your agent and facilite this and other tasks.
OFFER does not imply suggestion of reliance.
</li><li>
"Issue"
means creation of a certificate by CAcert.
To create a certificate,
CAcert affixes a digital signature from the root
onto a public key and other information.
This act would generally bind a statement or claim,
such as your name, to your key.
</li><li>
"Root"
means CAcert's top level key,
used for signing certificates for Members.
In this document, the term includes any subroots.
</li><li>
"CAcert Official Document" ("COD" => COD3)
in a standard format for describing the details of
operation and governance essential to a certificate authority.
Changes are managed and controlled.
CODs define more technical terms.
See 4.2 for listing of relevant CODs.
</li><li>
"Certification Practice Statement" ("CPS" => COD6)
is the document that controls details
about operational matters within CAcert.
</li></ol>
<h3> <a name="1"> 1. </a> Agreement and Licence </h3>
<h4> <a name="1.1"> 1.1 </a> Agreement </h4>
<p>
You and CAcert both agree to the terms and conditions
in this agreement.
Your agreement is given by any of
</p>
<ul><li>
your signature on a form to request assurance of identity
("CAP" form),
</li><li>
your request on the website
to join the Community and create an account,
</li><li>
your request for Organisation Assurance,
</li><li>
your request for issuing of certificates, or
</li><li>
if you USE, RELY, or OFFER
any certificate issued to you.
</li></ul>
<p>
Your agreement
is effective from the date of the first event above
that makes this agreement known to you.
This Agreement
replaces and supercedes prior agreements,
including the NRP-DaL.
</p>
<h4> <a name="1.2"> 1.2 </a> Licence </h4>
<p>
As part of the Community, CAcert offers you these rights:
</p>
<ol><li>
You may USE any certificates issued by CAcert.
</li><li>
You may RELY on any certificate issued by CAcert,
as explained and limited by CPS (COD6).
</li><li>
You may OFFER certificates issued to you by CAcert
to Members for their RELIANCE.
</li><li>
You may OFFER certificates issued to you by CAcert
to NRPs for their USE, within the general principles
of the Community.
</li><li>
This Licence is free of cost,
non-exclusive, and non-transferrable.
</li></ol>
<h4> <a name="1.3"> 1.3 </a> Your Contributions </h4>
<p>
You agree to a non-exclusive non-restrictive non-revokable
transfer of Licence to CAcert for your contributions.
That is, if you post an idea or comment on a CAcert forum,
or email it to other Members,
your work can be used freely by the Community for
CAcert purposes, including placing under CAcert's licences
for wider publication.
</p>
<p>
You retain authorship rights, and the rights to also transfer
non-exclusive rights to other parties.
That is, you can still use your
ideas and contributions outside the Community.
</p>
<p>
Note that the following exceptions override this clause:
</p>
<ol><li>
Contributions to controlled documents are subject to
Policy on Policy ("PoP" => COD1)
</li><li>
Source code is subject to an open source licence regime.
</li></ol>
<h4> <a name="1.4"> 1.4 </a> Privacy </h4>
<p>
You give rights to CAcert to store, verify and process
and publish your data in accordance with policies in force.
These rights include shipping the data to foreign countries
for system administration, support and processing purposes.
Such shipping will only be done among
CAcert Community administrators and Assurers.
</p>
<p>
Privacy is further covered in the Privacy Policy ("PP" => COD5).
</p>
<h3> <a name="2"> 2. </a> Your Risks, Liabilities and Obligations </h3>
<p>
As a Member, you have risks, liabilities
and obligations within this agreement.
</p>
<h4> <a name="2.1"> 2.1 </a> Risks </h4>
<ol><li>
A certificate may prove unreliable.
</li><li>
Your account, keys or other security tools may be
lost or otherwise compromised.
</li><li>
You may find yourself subject to Arbitration
(DRP => COD7).
</li></ol>
<h4> <a name="2.2"> 2.2 </a> Liabilities </h4>
<ol><li>
You are liable for any penalties
as awarded against you by the Arbitrator.
</li><li>
Remedies are as defined in the DRP (COD7).
An Arbitrator's ruling may
include monetary amounts, awarded against you.
</li><li>
Your liability is limited to
a total maximum of
<b>1000 Euros</b>.
</li><li>
"Foreign Courts" may assert jurisdiction.
These include your local courts, and are outside our Arbitration.
Foreign Courts will generally refer to the Arbitration
Act of their country, which will generally refer
civil cases to Arbitration.
The Arbitration Act will not apply to criminal cases.
</li></ol>
<h4> <a name="2.3"> 2.3 </a> Obligations </h4>
<p>
You are obliged
</p>
<ol><li>
to provide accurate information
as part of Assurance.
You give permission for verification of the information
using CAcert-approved methods.
</li><li>
to make no false representations.
</li><li>
to submit all your disputes to Arbitration
(DRP => COD7).
</li></ol>
<h4> <a name="2.4"> 2.4 </a> Principles </h4>
<p>
As a Member of CAcert, you are a member of
the Community.
You are further obliged to
work within the spirit of the Principles
of the Community.
These are described in
<a href="http://svn.cacert.org/CAcert/principles.html">Principles of the Community</a>.
</p>
<h4> <a name="2.5"> 2.5 </a> Security </h4>
<p>
CAcert exists to help you to secure yourself.
You are primarily responsible for your own security.
Your security obligations include
</p>
<ol><li>
to secure yourself and your computing platform (e.g., PC),
</li><li>
to keep your email account in good working order,
</li><li>
to secure your CAcert account
(e.g., credentials such as username, password),
</li><li>
to secure your private keys,
</li><li>
to review certificates for accuracy,
and
</li><li>
when in doubt, notify CAcert,
</li><li>
when in doubt, take other reasonable actions, such as
revoking certificates,
changing account credentials,
and/or generating new keys.
</li></ol>
<p>
Where, above, 'secure' means to protect to a reasonable
degree, in proportion with your risks and the risks of
others.
</p>
<h3> <a name="3"> 3. </a> Law and Jurisdiction </h3>
<h4> <a name="3.1"> 3.1 </a> Governing Law </h4>
<p>
This agreement is governed under the law of
New South Wales, Australia,
being the home of the CAcert Inc. Association.
</p>
<h4> <a name="3.2"> 3.2 </a> Arbitration as Forum of Dispute Resolution </h4>
<p>
You agree, with CAcert and all of the Community,
that all disputes arising out
of or in connection to our use of CAcert services
shall be referred to and finally resolved
by Arbitration under the rules within the
Dispute Resolution Policy of CAcert
(DRP => COD7).
The rules select a single Arbitrator chosen by CAcert
from among senior Members in the Community.
The ruling of the Arbitrator is binding and
final on Members and CAcert alike.
</p>
<p>
In general, the jurisdiction for resolution of disputes
is within CAcert's own forum of Arbitration,
as defined and controlled by its own rules (DRP => COD7).
</p>
<p>
We use Arbitration for many purposes beyond the strict
nature of disputes, such as governance and oversight.
A systems administrator may
need authorisation to conduct a non-routine action,
and Arbitration may provide that authorisation.
Thus, you may find yourself party to Arbitration
that is simply support actions, and you may file disputes in
order to initiate support actions.
</p>
<h4> <a name="3.3"> 3.3 </a> Termination </h4>
<p>
You may terminate this agreement by resigning
from CAcert. You may do this at any time by
writing to CAcert's online support forum and
filing dispute to resign.
All services will be terminated, and your
certificates will be revoked.
However, some information will continue to
be held for certificate processing purposes.
</p>
<p>
The provisions on Arbitration survive any termination
by you by leaving CAcert.
That is, even if you resign from CAcert,
you are still bound by the DRP (COD7),
and the Arbitrator may reinstate any provision of this
agreement or bind you to a ruling.
</p>
<p>
Only the Arbitrator may terminate this agreement with you.
</p>
<h4> <a name="3.4"> 3.4 </a> Changes of Agreement </h4>
<p>
CAcert may from time to time vary the terms of this Agreement.
Changes will be done according to the documented CAcert policy
for changing policies, and is subject to scrutiny and feedback
by the Community.
Changes will be notified to you by email to your primary address.
</p>
<p>
If you do not agree to the changes, you may terminate as above.
Continued use of the service shall be deemed to be agreement
by you.
</p>
<h4> <a name="3.5"> 3.5 </a> Communication </h4>
<p>
Notifications to CAcert are to be sent by
email to the address
<b>support</b> <i>at</i> CAcert.org.
You should attach a digital signature,
but need not do so in the event of security
or similar urgency.
</p>
<p>
Notifications to you are sent
by CAcert to the primary email address
registered with your account.
You are responsible for keeping your email
account in good working order and able
to receive emails from CAcert.
</p>
<p>
Arbitration is generally conducted by email.
</p>
<h3> <a name="4"> 4. </a> Miscellaneous </h3>
<h4> <a name="4.1"> 4.1 </a> Other Parties Within the Community </h4>
<p>
As well as you and other Members in the Community,
CAcert forms agreements with third party
vendors and others.
Thus, such parties will also be in the Community.
Such agreements are also controlled by the same
policy process as this agreement, and they should
mirror and reinforce these terms.
</p>
<h4> <a name="4.2"> 4.2 </a> References and Other Binding Documents </h4>
<p>
This agreement is CAcert Official Document 9 (COD9)
and is a controlled document.
</p>
<p>
You are also bound by
</p>
<ol><li>
<a href="http://svn.cacert.org/CAcert/policy.htm">
Certification Practice Statement</a> (CPS => COD6).
</li><li>
<a href="http://svn.cacert.org/CAcert/dispute_resolution.html">
Dispute Resolution Policy</a> (DRP => COD7).
</li><li>
<a href="http://www.cacert.org/index.php?id=10">
Privacy Policy</a> (PP => COD5).
</li><li>
<a href="http://svn.cacert.org/CAcert/principles.html">
Principles of the Community</a>.
</li></ol>
<p>
Where documents are referred to as <i>=> COD x</i>,
they are controlled documents
under the control of Policy on Policies (COD1).
</p>
<p>
This agreement and controlled documents above are primary,
and may not be replaced or waived except
by formal policy channels and by Arbitration.
</p>
<h4> <a name="4.3"> 4.3 </a> Informative References </h4>
<p>
The governing documents are in English.
Documents may be translated for convenience.
Because we cannot control the legal effect of translations,
the English documents are the ruling ones.
</p>
<p>
You are encouraged to be familiar with the
Assurer Handbook,
which provides a more readable introduction for much of
the information needed.
The Handbook is not however an agreement, and is overruled
by this agreement and others listed above.
</p>
<h4> <a name="4.4"> 4.4 </a> Not Covered in this Agreement </h4>
<p>
<b>Intellectual Property.</b>
This Licence does not transfer any intellectual
property rights ("IPR") to you. CAcert asserts and
maintains its IPR over its roots, issued certificates,
brands, logos and other assets.
Note that the certificates issued to you
are CAcert's intellectual property
and you do not have rights other than those stated.
</p>
</body>
</html>

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<head>
<title>Dispute Resulution Policy</title>
</head>
<body>
<table width="100%">
<tr>
<td> DRP </td>
<td> </td>
<td width="20%"> Teus Hagen </td>
</tr>
<tr>
<td> POLICY&nbsp;<a href="http://wiki.cacert.org/wiki/TopMinutes-20070917">m20070919.3</a> </td>
<td> </td>
<td>
$Date: 2008/01/18 22:56:31 $
<!--
to get this to work, we have to do this:
svn propset svn:keywords "Date" PolicyOnPolicy.html
except it does not work through the website.
-->
</td>
</tr>
<tr>
<td> COD7 </td>
<td> </td>
<td> <!-- contributors --> </td>
</tr>
<tr> <!-- title only -->
<td> </td>
<td > <b>Dispute&nbsp;Resolution&nbsp;Policy</b> </td>
<td> </td>
</tr>
</table>
<h2> <a name="0"> 0. </a> Introduction</h2>
<p>
This is the Dispute Resolution Policy for CAcert.
Disputes arising out of
operations by CAcert and interactions between
users may be addressed through this policy.
This document also presents the rules for
resolution of disputes.
</p>
<h3> <a name="0.1"> 0.1 </a> Nature of Disputes </h3>
<p>
Disputes include:
</p>
<ul><li>
Requests for non-routine support actions.
CAcert support team has no authority to
act outside the normal support facilities made
available to Users;
</li><li>
Classical disputes where a User or another
assert claims and demand remedies;
</li><li>
Requests by external organisations, including
legal processes from foreign courts;
</li><li>
Events initiated for training purposes.
</li></ul>
<h2> <a name="1"> 1. </a> Filing</h2>
<h3> <a name="1.1"> 1.1 </a> Filing Party</h3>
<p>
Anyone may file a dispute.
In filing, they become <i>Claimants</i>.
</p>
<h3> <a name="1.2">1.2 </a> Channel for Filing</h3>
<p>
Disputes are filed by being sent to the normal
support channel of CAcert,
and a fee may be payable.
</p>
<p>
Such fees as are imposed on filing will be specified
on the dispute resolution page of the website.
</p>
<h3> <a name="1.3">1.3 </a> Case Manager</h3>
<p>
The Case Manager (CM) takes control of the filing.
</p>
<ol><li>
CM makes an initial determination as
to whether this filing is a dispute
for resolution, or it is a request
for routine support.
</li><li>
CM logs the case and establishes such
documentation and communications support as is customary.
</li><li>
If any party acts immediately on the filing
(such as an urgent security action),
the CM names these parties to the case.
</li><li>
CM selects the Arbitrator.
</li></ol>
<p>
The personnel within the CAcert support team
are Case Managers, by default, or as directed
by the Dispute Resolution Officer.
</p>
<h3> <a name="1.4">1.4 </a> Contents</h3>
<p>
The filing must specify:
</p>
<ul><li>
The filing party(s), being the <i>Claimant(s)</i>.
</li><li>
The party(s) to whom the complaint is addressed to,
being the <i>Respondent(s)</i>.
This will be CAcert in the
case of requests for support actions.
It may be a User (possibly unidentified) in the
case where one User has given rise to a complaint against another.
</li><li>
The <i>Complaint</i>.
For example, a trademark has been infringed,
privacy has been breached,
or a user has defrauded using a certificate.
</li><li>
The action(s) requested by the filing party
(technically, called the <i>relief</i>).
For example, to delete an account,
to revoke a certificate, or to stop a
trademark infringement.
</li></ul>
<p>
If the filing is inadequate for lack of information
or for format, the Case Manager
may refile with the additional information,
attaching the original messages.
</p>
<h3> <a name="1.5">1.5 </a> The Arbitrator</h3>
<p>
The Case Manager selects the Arbitrator according
to the mechanism managed by the Dispute Resolution Officer
and approved from time to time.
This mechanism is to maintain a list of Arbitrators available for
dispute resolution.
Each selected Arbitrator has the right to decline the dispute,
and should decline a dispute with which there exists a conflict
of interest.
The reason for declining should be stated.
If no Arbitrator accepts the dispute, the case is
closed with status "declined."
</p>
<p>
Arbitrators are experienced Assurers of CAcert.
They should be independent and impartial, including
of CAcert itself where it becomes a party.
</p>
<h2> <a name="2"> 2. </a> The Arbitration</h2>
<h3> <a name="2.1">2.1 </a> Authority</h3>
<p>
The Board of CAcert and the Users vest in Arbitrators
full authority to hear disputes and deliver rulings
which are binding on CAcert and the Users.
</p>
<h3> <a name="2.2">2.2 </a> Preliminaries</h3>
<p>
The Arbitrator conducts some preliminaries:
</p>
<ul><li>
The Arbitrator reviews the available documentation
and affirms the rules of dispute resolution.
Jurisdiction is established, see below.
</li><li>
The Arbitrator affirms the governing law (NSW, Australia).
The Arbitrator may select local law and local
procedures where Claimants and all Respondents
agree, are under such jurisdiction, and it is deemed
more appropriate.
However, this is strictly limited to those parties,
and especially, CAcert and other parties
remains under the governing law.
</li><li>
The Arbitrator reviews the Respondents and Claimants
with a view to dismissal or joining of additional parties.
E.g., support personel may be joined if emergency action was
taken.
</li><li>
Any parties that are not Users and are not bound
by the CPS are given the opportunity to enter into
CAcert and be bound by the CPS and these rules of arbitration.
If these Non-Related Persons (NRPs) remain outside,
their rights and remedies under CAcert's policies
and forum are strictly limited to that specified in the
Non-Related Persons -- Disclaimer and Licence.
NRPs may proceed with Arbitration subject to preliminary orders
of the Arbitrator.
</li><li>
Participating Users may not resign until the completion of the case.
</li><li>
The Arbitrator confirms that all parties accept
the forum of dispute resolution.
This is especially important where a User might be
in a country with no Arbitration Act in law, or
where there is reason to believe that a party might
go to an external court.
</li><li>
The Arbitrator confirms that parties are representing
themselves. Parties are entitled to be legally
represented, but are not encouraged to do so,
bearing in mind the volunteer nature of the
organisation and the size of the dispute.
If they do so they must declare such, including any
changes.
</li><li>
The Arbitrator may appoint experienced Assurers
to assist and represent parties, especially for NRPs.
The Case Manager must not to provide such assistance.
</li><li>
The Arbitrator is bound to maintain the balance
of legal fairness.
</li><li>
The Arbitrator may make any preliminary orders,
including protection orders and orders referring
to emergency actions already taken.
</li><li>
The Arbitrator may request any written pleadings,
counterclaim, and/or statements of defence.
</li></ul>
<h3> <a name="2.3">2.3 </a> Jurisdiction </h3>
<p>
Jurisidiction - the right or power to hear and rule on
disputes - is initially established by clauses in the
User agreements for all CAcert Users.
The agreement must establish:
</p>
<ul><li>
That all Parties agree to binding Arbitration
in CAcert's forum of dispute resolution;
</li><li>
for all disputes relating to activities within
CAcert, issued certificates, roles and actions, etc;
</li><li>
as defined by these rules, including the selection
of a single Arbitrator;
</li><li>
under the Law of NSW, Australia; and
</li><li>
the Parties keep email accounts in good working order.
</li></ul>
<p>
An external court may have ("assert") jurisdiction to decide on
issues such as trademark, privacy, contract and fraud,
and may do so with legal remedies.
These are areas where jurisdiction may need
to be considered carefully:
</p>
<ul><li>
Where NRPs, being not members of CAcert and not
bound by agreement, are parties to the dispute.
E.g., intellectual property disputes may involve
NRPs and their trademarks;
</li><li>
criminal actions or actions likely to result in criminal
proceedings,
e.g., fraud;
</li><li>
Contracts between Users that were formed without
a clause to seek arbitration in the forum;
</li><li>
Areas where laws fall outside the Arbitration Act,
such as privacy;
</li><li>
Legal process (subpoenas, etc) delivered by
an external court of "competent jurisdiction."
</li></ul>
<p>
The Arbitrator must consider jurisdiction and rule on a
case by case basis whether jurisdiction is asserted,
either wholly or partially, or declines to hear the case.
In the event of asserting
jurisdiction, and a NRP later decides to pursue rights in
another forum, the Arbitrator should seek the agreement
of the NRP to file the ruling as part of the new case.
</p>
<h3> <a name="2.4">2.4 </a> Basis in Law </h3>
<p>
Each country generally has an Arbitration Act
that elevates Arbitration as a strong dispute
resolution forum.
The Act generally defers to Arbitration
if the parties have so agreed.
That is, as Users of CAcert, you agree to resolve
all disputes before CAcert's forum.
This is sometimes called <i>private law</i>
or <i>alternative dispute resolution</i>.
</p>
<p>
As a matter of public policy, courts will generally
refer any case back to Arbitration.
Users should understand that they will have
strictly limited rights to ask the courts to
seek to have a case heard or to override a Ruling.
</p>
<h3> <a name="2.5">2.5 </a> External Courts </h3>
<p>
When an external court claims and asserts its jurisdiction,
and issues a court order, subpoena or other service to CAcert,
the CM files the order as a dispute, with the external court
as <i>Claimant</i>.
The CM and other support staff are granted no authority to
act on the basis of any court order, and ordinarily
must await the order of the Arbitrator
(which might simply be a repeat of the external court order).
</p>
<p>
The Arbitrator establishes the bona fides of the
court, and rules.
The Arbitrator may rule to reject the order,
for jurisdiction or other reasons.
By way of example, if all Parties are registered Users,
then jurisdiction more normally falls within the forum.
If the Arbitrator rules to reject,
he should do so only after consulting with CAcert counsel.
The Arbitrator's jurisidiction is ordinarily that of
dealing with the order, and
not that which the external court has claimed to.
</p>
<h3> <a name="2.6">2.6 </a> Process</h3>
<p>
The Arbitrator follows the procedure:
</p>
<ol><li>
Establish the facts.
The Arbitrator collects the evidence from the parties.
The Arbitrator may order CAcert or Users under
jurisdiction to provide support or information.
The Arbitrator may use email, phone or face-to-face
meetings as proceedings.
</li><li>
Apply the Rules of Dispute Resolution,
the policies of CAcert and the governing law.
The Arbitrator may request that the parties
submit their views.
The Arbitrator also works to the mission of CAcert,
the benefit of all Users, and the community as a whole.
The Arbitrator may any assistance.
</li><li>
Makes a considered Ruling.
</li></ol>
<h2> <a name="3"> 3. </a> The Ruling</h2>
<h3> <a name="3.1">3.1 </a> The Contents </h3>
<p>
The Arbitrator records:
</p>
<ol><li>
The Identification of the Parties,
</li><li>
The Facts,
</li><li>
The logic of the rules and law,
</li><li>
The directions and actions to be taken by each party
(the ruling).
</li><li>
The date and place that the ruling is rendered.
</li></ol>
<h3> <a name="3.2">3.2 </a> Process </h3>
<p>
Once the Ruling is delivered, the case is closed.
The Case Manager is responsible for recording the
Ruling, publishing it, and advising users.
</p>
<p>
Proceedings are ordinarily private.
The Ruling is ordinarily published,
within the bounds of the Privacy Policy.
The Ruling is written in English.
</p>
<p>
Only under exceptional circumstances can the
Arbitrator declare the Ruling private <i>under seal</i>.
Such a declaration must be reviewed in its entirety
by the Board,
and the Board must confirm or deny that declaration.
If it confirms, the existance of any Rulings under seal
must be published to the Users in a timely manner
(within days).
</p>
<h3> <a name="3.3">3.3 </a> Binding and Final </h3>
<p>
The Ruling is binding and final on CAcert and all Users.
Ordinarily, all Users agree to be bound by this dispute
resolution policy. Users must declare in the Preliminaries
any default in agreement or binding.
</p>
<p>
If a person who is not a User is a party to the dispute,
then the Ruling is not binding and final on that person,
but the Ruling must be presented in filing any dispute
in another forum such as the person's local courts.
</p>
<h3> <a name="3.4">3.4 </a> Re-opening the Case or Appeal </h3>
<p>
In the case of clear injustices, egregious behaviour or
unconscionable Rulings, parties may seek to re-open the
case by filing a dispute. The new Arbitrator
reviews the new dispute,
re-examines and reviews the entire case, then rules on
whether the case may be re-opened or not.
</p>
<p>
If the new Arbitrator rules the case be re-opened,
then it is referred to the Board of CAcert Inc.
The Board hears the case and delivers a final
and binding Ruling.
</p>
<h3> <a name="3.5">3.5 </a> Liability </h3>
<p>
All liability of the Arbitrator for any act in
connection with deciding a dispute is excluded
by all parties, provided such act does not constitute
an intentional breach of duty.
All liability of the Arbitrators, CAcert, its officers and its
employees (including Case Manager)
for any other act or omission in connection with
arbitration proceedings is excluded, provided such acts do not
constitute an intentional or grossly negligent breach of duty.
</p>
<p>
The above provisions may only be overridden by
appeal process (by means of a new dispute causing
referral to the Board).
</p>
<h3> <a name="3.6">3.6 </a> Remedies </h3>
<p>
The Arbitrator generally instructs using internal remedies,
that is ones that are within the general domain of CAcert,
but there are some external remedies at his disposal.
He may rule and instruct any of the parties on these issues.
</p>
<ul><li>
"community service" typically including
<ul><li>
attend and assure people at trade shows / open source gatherings,
</li><li>
writing documentation
</li><li>
serve in role - support, dispute arbitration
</li></ul>
or others as decided.
</li><li>
Fined by loss of assurance points, which may result
in losing Assurer or Assured status.
</li><li>
Retraining in role.
</li><li>
Revoking of any certificates.
</li><li>
Monetary fine up to the liability cap established for
each party as described in the Registered User Agreement.
</li><li>
Exclusion from community.
</li><li>
Reporting to applicable authorities.
</li><li>
Changes to policies and procedures.
</li></ul>
<p>
The Arbitrator is not limited within the general domain
of CAcert, and may instruct novel remedies as seen fit.
Novel remedies outside the domain may be routinely
confirmed by the Board by way of appeals process,
in order to establish precedent.
</p>
<h2> <a name="4"> 4. </a> Appendix</h2>
<h3> <a name="4.1">4.1 </a> The Advantages of this Forum </h3>
<p>
The advantage of this process for Users is:
</p>
<ul><li>
CAcert and Users operate across many jurisdictions.
Arbitration allows us to select a single set of
rules across all jurisdictions.
</li><li>
Arbitration allows CAcert to appropriately separate
out the routine support actions from difficult dispute
actions. Support personnel have no authority to
act, the appropriately selected Arbitrator has all
authority to act.
Good governance is thus maintained.
</li><li>
This forum allows CAcert Users to look after themselves
in a community, without exposing each other to potentially
disastrous results in strange courts from foreign lands.
</li><li>
By volunteering to resolve things "in-house" the costs
are reduced.
</li><li>
Even simple support issues such as password changing
can be improved by treating as a dispute. A clear
chain of request, analysis, ruling and action can be established.
</li><li>
CAcert Assurers can develop the understanding and the rules
for sorting out own problems far better than courts or
other external agencies.
</li></ul>
<h3> <a name="4.2">4.2 </a> The Disadvantages of this Forum </h3>
<p>
Some disadvantages exist.
</p>
<ul><li>
Users may have their rights trampled over.
In such a case, the community should strive to
re-open the case and refer it to the board.
</li><li>
Users may feel overwhelmed by the formality
of the process.
It is kept formal so as to establish good and proper
authority to act; otherwise, support and other
people in power may act without thought and with
damaging consequences.
</li><li>
A country may not have an Arbitration Act.
In that case, the parties should enter into
spirit of the forum.
If they choose to break that spirit,
they should also depart the community.
</li></ul>
<h3> <a name="4.3">4.3 </a> Process and Flow </h3>
<p>
To the extent reasonable, the Arbitrator conducts
the arbitration as with any legal proceedings.
This means that the process and style should follow
legal tradition.
</p>
<p>
However, the Arbitrator is unlikely to be trained in
law. Hence, common sense must be applied, and the
Arbitrator has wide latitude to rule on any particular
motion, pleading, submission. The Arbitrator's ruling
is final within the arbitration.
</p>
<p>
Note also that many elements of legal proceedings are
deliberately left out of the rules.
</p>
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<!DOCTYPE html PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd">
<html>
<head><title>Organisation Assurance Policy</title></head>
<body>
<table width="100%">
<tr>
<td> OAP </td>
<td> </td>
<td width="20%"> Jens </td>
</tr>
<tr>
<td> POLICY&nbsp;<a href="http://wiki.cacert.org/wiki/TopMinutes-20070917">m20070918.x</a> </td>
<td> </td>
<td>
$Date: 2008/01/18 22:56:31 $
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to get this to work, we have to do this:
svn propset svn:keywords "Date" file.html
except it does not work through the website.
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</td>
</tr>
<tr>
<td> COD11 </td>
<td> </td>
<td> </td>
</tr>
<tr>
<td> </td>
<td > <b>Organisation&nbsp;Assurance&nbsp;Policy</b> </td>
<td> </td>
</tr>
</table>
<h2> <a name="0"> 0. </a> Preliminaries </h2>
<p>
This policy describes how Organisation Assurers ("OAs")
conduct Assurances on Organisations.
It fits within the overall web-of-trust
or Assurance process of Cacert.
</p>
<p>
This policy is not a Controlled document, for purposes of
Configuration Control Specification ("CCS").
</p>
<h2> <a name="1"> 1. </a> Purpose </h2>
<p>
Organisations with assured status can issue certificates
directly with their own domains within.
</p>
<p>
The purpose and statement of the certificate remains
the same as with ordinary users (natural persons)
and as described in the CPS.
</p>
<ul><li>
The organisation named within is identified.
</li><li>
The organisation has been verified according
to this policy.
</li><li>
The organisation is within the jurisdiction
and can be taken to Arbitration.
</li></ul>
<h2> <a name="2"> 2. </a> Roles and Structure </h2>
<h3> <a name="2.1"> 2.1 </a> Assurance Officer </h3>
<p>
The Assurance Officer ("AO")
manages this policy and reports to the board.
</p>
<p>
The AO manages all OAs and is responsible for process,
the CAcert Organisation Assurance Programme form ("COAP"),
OA training and testing, manuals, quality control.
In these responsibilities, other Officers will assist.
</p>
<h3> <a name="2.2"> 2.2 </a> Organisation Assurers </h3>
<p>
</p>
<ol type="a"> <li>
An OA must be an experienced Assurer
<ol type="i">
<li>Have 150 assurance points.</li>
<li>Be fully trained and tested on all general Assurance processes.</li>
</ol>
</li><li>
Must be trained as Organisation Assurer.
<ol type="i">
<li> Global knowledge: This policy. </li>
<li> Global knowledge: A OA manual covers how to do the process.</li>
<li> Local knowledge: legal forms of organisations within jurisdiction.</li>
<li> Basic governance. </li>
<li> Training may be done a variety of ways,
such as on-the-job, etc. </li>
</ol>
</li><li>
Must be tested.
<ol type="i">
<li> Global test: Covers this policy and the process. </li>
<li> Local knowledge: Subsidiary Policy to specify.</li>
<li> Tests to be created, approved, run, verified
by CAcert only (not outsourced). </li>
<li> Tests are conducted manually, not online/automatic. </li>
<li> Documentation to be retained. </li>
<li> Tests may include on-the-job components. </li>
</ol>
</li><li>
Must be approved.
<ol type="i">
<li> Two supervising OAs must sign-off on new OA,
as trained, tested and passed.
</li>
<li> AO must sign-off on a new OA,
as supervised, trained and tested.
</li>
</ol>
</ol>
<h3> <a name="2.3"> 2.3 </a> Organisation Administrator </h3>
<p>
The Administrator within each Organisation ("O-Admin")
is the one who handles the assurance requests
and the issuing of certificates.
</p>
<ol type="a"> <li>
O-Admin must be Assurer
<ol type="i">
<li>Have 100 assurance points.</li>
<li>Fully trained and tested as Assurer.</li>
</ol>
</li><li>
Organisation is required to appoint O-Admin,
and appoint ones as required.
<ol type="i">
<li> On COAP Request Form.</li>
</ol>
</li><li>
O-Admin must work with an assigned OA.
<ol type="i">
<li> Have contact details.</li>
</ol>
</ol>
<h2> <a name="3"> 3. </a> Policies </h2>
<h3> <a name="3.1"> 3.1 </a> Policy </h3>
<p>
There is one policy being this present document,
and several subsidiary policies.
</p>
<ol type="a">
<li> This policy authorises the creation of subsidiary policies. </li>
<li> This policy is international. </li>
<li> Subsidiary policies are implementations of the policy. </li>
<li> Organisations are assured under an appropriate subsidiary policy. </li>
</ol>
<h3> <a name="3.2"> 3.2 </a> Subsidiary Policies </h3>
<p>
The nature of the Subsidiary Policies ("SubPols"):
</p>
<ol type="a"><li>
SubPols are purposed to check the organisation
under the rules of the jurisdiction that creates the
organisation. This does not evidence an intention
by CAcert to
enter into the local jurisdiction, nor an intention
to impose the rules of that jurisdiction over any other
organisation.
CAcert assurances are conducted under the jurisdiction
of CAcert.
</li><li>
For OAs,
SubPol specifies the <i>tests of local knowledge</i>
including the local organisational forms.
</li><li>
For assurances,
SubPol specifies the <i>local documentation forms</i>
which are acceptable under this SubPol to meet the
standard.
</li><li>
SubPols are subjected to the normal
policy approval process.
</li></ol>
<h3> <a name=""> </a> 3.3 Freedom to Assemble </h3>
<p>
Subsidiary Policies are open, accessible and free to enter.
</p>
<ol type="a"><li>
SubPols compete but are compatible.
</li><li>
No SubPol is a franchise.
</li><li>
Many will be on State or National lines,
reflecting the legal
tradition of organisations created
("incorporated") by states.
</li><li>
However, there is no need for strict national lines;
it is possible to have 2 SubPols in one country, or one
covering several countries with the same language
(e.g., Austria with Germany, England with Wales but not Scotland).
</li><li>
There could also be SubPols for special
organisations, one person organisations,
UN agencies, churches, etc.
</li><li>
Where it is appropriate to use the SubPol
in another situation (another country?), it
can be so approved.
(e.g., Austrian SubPol might be approved for Germany.)
The SubPol must record this approval.
</li></ol>
<h2> <a name="4"> 4. </a> Process </h2>
<h3> <a name="4.1"> 4.1 </a> Standard of Organisation Assurance </h3>
<p>
The essential standard of Organisation Assurance is:
</p>
<ol type="a"><li>
the organisation exists
</li><li>
the organisation name is correct and consistent:
<ol type="i">
<li>in official documents specified in SubPol.</li>
<li>on COAP form.</li>
<li>in CAcert database.</li>
<li>form or type of legal entity is consistent</li>
</ol>
</li><li>
signing rights:
requestor can sign on behalf of the organisation.
</li><li>
the organisation has agreed to the terms of the
Registered User Agreement,
and is therefore subject to Arbitration.
</li></ol>
<p>
Acceptable documents to meet above standard
are stated in the SubPol.
</p>
<h3> <a name="4.2"> 4.2 </a> COAP </h3>
<p>
The COAP form documents the checks and the resultant
assurance results to meet the standard.
Additional information to be provided on form:
</p>
<ol type="a"><li>
CAcert account of O-Admin (email address?)
</li><li>
location:
<ol type="i">
<li>country (MUST).</li>
<li>city (MUST).</li>
<li>additional contact information (as required by SubPol).</li>
</ol>
</li><li>
administrator account names (1 or more)
</li><li>
domain name(s)
</li><li>
Agreement with registered user agreement.
Statement and initials box for organsation
and also for OA.
</li><li>
Date of completion of Assurance.
Records should be maintained for 7 years from
this date.
</li></ol>
<p>
The COAP should be in English. Where translations
are provided, they should be matched to the English,
and indication provided that the English is the
ruling language (due to Arbitration requirements).
</p>
<h3> <a name="4.3"> 4.3 </a> Jurisdiction </h3>
<p>
Organisation Assurances are carried out by
CAcert Inc under its Arbitration jurisdiction.
Actions carried out by OAs are under this regime.
</p>
<ol type="a"><li>
The organisation has agreed to the terms of the
Registered User Agreement,
</li><li>
The organisation, the Organisation Assurers, CAcert and
other related parties are bound into CAcert's jurisdiction
and dispute resolution.
</li><li>
The OA is responsible for ensuring that the
organisation reads, understands, intends and
agrees to the registered user agreement.
This OA responsibility should be recorded on COAP
(statement and initials box).
</li></ol>
<h2> <a name="5"> 5. </a> Exceptions </h2>
<ol type="a"><li>
<b> Conflicts of Interest.</b>
An OA must not assure an organisation in which
there is a close or direct relationship by, e.g.,
employment, family, financial interests.
Other conflicts of interest must be disclosed.
</li><li>
<b> Trusted Third Parties.</b>
TTPs are not generally approved to be part of
organisation assurance,
but may be approved by subsidiary policies according
to local needs.
</li><li>
<b>Exceptional Organisations.</b>
(e.g., Vatican, International Space Station, United Nations)
can be dealt with as a single-organisation
SubPol.
The OA creates the checks, documents them,
and subjects them to to normal policy approval.
</li><li>
<b>DBA.</b>
Alternative names for organisations
(DBA, "doing business as")
can be added as long as they are proven independently.
E.g., registration as DBA or holding of registered trade mark.
This means that the anglo law tradition of unregistered DBAs
is not accepted without further proof.
</li></ol>
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