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+ <meta http-equiv="CONTENT-TYPE" content="text/html; charset=utf-8" />
+ <title>Dispute Resulution Policy</title>
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+
+<div class="comment">
+<table style="width: 100%;">
+
+<tr>
+<td>
+ Name: DRP <a style="color: steelblue" href="https://svn.cacert.org/CAcert/Policies/ControlledDocumentList.html">COD7</a><br />
+ Status: POLICY <a style="color: steelblue" href="https://wiki.cacert.org/TopMinutes-20070917">m20070919.3</a><br />
+ &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; <span class="draftadd">DRAFT <a href="https://wiki.cacert.org/PolicyDecisions#p20110108">p20110108</a>, <a href="https://wiki.cacert.org/PolicyDecisions#p20121213">p20121213</a>, <a href="https://wiki.cacert.org/PolicyDecisions#p20130116">p20130116</a></span> <br />
+ Editor: <a style="color: steelblue" href="https://wiki.cacert.org/TeusHagen">Teus Hagen
+</a><br />
+ Licence: <a style="color: steelblue" href="https://wiki.cacert.org/Policy#Licence" title="this document is Copyright &copy; CAcert Inc., licensed openly under CC-by-sa with all disputes resolved under DRP. More at wiki.cacert.org/Policy" > CC-by-sa+DRP </a><br /></td>
+<td class="r vTop">
+ <a href="https://www.cacert.org/policy/PolicyOnPolicy.html"><img src="images/cacert-policy.png" alt="DRP Status - POLICY" height="31" width="88" style="border-style: none;" /></a><br />
+ <a href="https://www.cacert.org/policy/PolicyOnPolicy.html"><img src="images/cacert-draft.png" alt="DRP Status - DRAFT" height="31" width="88" style="border-style: none;" /></a>
+
+</td>
+</tr>
+</table>
+</div>
+
+
+<h1> Dispute&nbsp;Resolution&nbsp;Policy </h1>
+
+<h2 id="s0"> 0. Introduction</h2>
+
+<p>
+This is the Dispute Resolution Policy for the CAcert Community, consisting of CAcert Inc and Members who agree to the CAcert Community Agreement (CCA).
+Disputes arising out of
+operations by CAcert Inc
+and interactions between Members may be addressed through this policy.
+This document also presents the rules for
+resolution of disputes.
+</p>
+
+<h3 id="s0.1"> 0.1 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 Members;
+ </li><li>
+ Classical disputes where a Member 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 id="s1"> 1. Filing</h2>
+
+<h3 id="s1.1"> 1.1 Filing Party</h3>
+<p>
+Anyone may file a dispute.
+In filing, they become <em>Claimants</em>.
+</p>
+
+<h3 id="s1.2"> 1.2 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 id="s1.3"> 1.3 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 (DRO).
+</p>
+
+<h3 id="s1.4"> 1.4 Contents</h3>
+<p>
+The filing must specify:
+</p>
+
+<ul><li>
+ The filing party(s), being the <em>Claimant(s)</em>.
+ </li><li>
+ The party(s) to whom the complaint is addressed to,
+ being the <em>Respondent(s)</em>.
+ This will be CAcert in the
+ case of requests for support actions.
+ It may be a Member (possibly unidentified) in the
+ case where one Member has given rise to a complaint against another.
+ </li><li>
+ The <em>Complaint</em>.
+ For example, a trademark has been infringed,
+ privacy has been breached,
+ or a Member has defrauded using a certificate.
+ </li><li>
+ The action(s) requested by the filing party
+ (technically, called the <em>relief</em>).
+ 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 id="s1.5"> 1.5 The Arbitrator</h3>
+
+<p>
+The Case Manager selects the Arbitrator according
+to the mechanism managed by the DRO <!-- 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 Inc. itself where it becomes a party.
+</p>
+
+<h2 id="s2"> 2. The Arbitration</h2>
+
+
+<h3 id="s2.1"> 2.1 Authority</h3>
+
+<p>
+The Board of CAcert Inc. and the
+Members of the Community
+ vest in Arbitrators
+full authority to hear disputes and deliver rulings
+which are binding on CAcert Inc. and the
+Members.
+</p>
+
+
+<h3 id="s2.2"> 2.2 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 Inc. and other parties
+ remain 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 personnel may be joined if emergency action was
+ taken.
+ </li><li>
+ Any parties that are not Members
+ and are not bound by the
+ CCA are given the opportunity to enter into
+ CAcert and be bound by the
+ CCA 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
+ <span class="strike">that</span>those
+ specified in the Root Distribution License. NRPs may proceed with Arbitration subject to preliminary orders
+ of the Arbitrator.
+ </li><li>
+ Participating Members
+ may not resign from the Community
+ 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 Member 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 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,
+ counterclaims, and/or statements of defence.
+</li></ul>
+
+
+<h3 id="s2.3"> 2.3 Jurisdiction </h3>
+
+<p>
+Jurisdiction - the right or power to hear and rule on
+disputes - is initially established by clauses in the
+CAcert Community Agreement. 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 Members 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 id="s2.4"> 2.4 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 Members, you agree to resolve
+all disputes before CAcert's forum.
+This is sometimes called <em>private law</em>
+or <em>alternative dispute resolution</em>.
+</p>
+
+<p>
+As a matter of public policy, courts will generally
+refer any case back to Arbitration. Members 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 id="s2.5"> 2.5 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 <em>Claimant</em>.
+ 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
+ Members, then jurisdiction more normally falls within the forum.
+ If the Arbitrator rules to reject,
+ he should do so only after consulting with CAcert Inc. 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 id="s2.6"> 2.6 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 Inc. or Members
+ 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 Members, and the community as a whole.
+ The Arbitrator may seek any assistance.
+ </li><li>
+ Makes a considered Ruling.
+</li></ol>
+
+<h2 id="s3"> 3. The Ruling</h2>
+
+<h3 id="s3.1"> 3.1 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 id="s3.2"> 3.2 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 Members.
+</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 <em>under seal</em>.
+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 existence of any Rulings under seal
+must be published to the Members in a timely manner (within days).
+</p>
+
+<h3 id="s3.3"> 3.3 Binding and Final </h3>
+
+<p>
+The Ruling is
+<!-- (DRAFT p20110108) -->
+ordinarily final and binding
+on CAcert Inc. and all Members.
+Ordinarily, all Members agree to be bound by this dispute
+resolution policy. Members must declare in the Preliminaries
+any default in agreement or binding.
+</p>
+
+<p>
+If a person who is not a Member 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 id="s3.4"> 3.4 Review for Appeal (DRAFT p20110108)</h3>
+
+<p>
+In the event of clear injustices, egregious behaviour or
+unconscionable Rulings,
+a review may be requested by filing a dispute (DRAFT p20110108).
+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 Review Arbitrator rules the case be re-opened,
+then the Review Arbitrator refers the case to an Appeal Panel of 3.
+The Appeal Panel is led by a Senior Arbitrator,
+and is formed according to procedures established
+by the DRO from time to time.
+The Appeal Panel hears the case and delivers a final and binding Ruling.
+ (DRAFT p20110108)
+</p>
+
+<h3 id="s3.5"> 3.5 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 Inc., 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
+
+<h3 id="s3.6"> 3.6 Remedies </h3>
+
+<p>
+The Arbitrator generally instructs using internal remedies,
+that is ones that are within the general domain of
+the Community, 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 <span class="change2">a</span> 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 CAcert Community 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.
+Remedies remain subject to appeal.
+</p>
+
+<h2 id="s4"> 4. Appendix</h2>
+
+
+<h3 id="s4.1"> 4.1 The Advantages of this Forum </h3>
+<p>
+The advantage of this process for Members is:
+</p>
+
+<ul><li>
+ CAcert and Members 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 Members 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 id="s4.2"> 4.2 The Disadvantages of this Forum </h3>
+
+<p>
+Some disadvantages exist.
+</p>
+
+<ul><li>
+ Members may have their rights trampled over.
+ In such a case, the community should strive to re-open the case.
+
+ </li><li>
+ Members 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 id="s4.3"> 4.3 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>
+<p><a href="http://validator.w3.org/check?uri=referer"><img src="images/valid-html50-blue.png" alt="Valid HTML 5" height="31" width="88" /></a></p>
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