bug 1131: Updated Policies based on new versions send by Policy Officer
[cacert-devel.git] / www / policy / OrganisationAssurancePolicy_Australia.html
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5 <title>CACert Organisation Assurance Program sub-policy for Australia</title>
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16 <h1>
17 CAcert Organisation Assurance Program sub-policy for Australia
18 </h1>
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24 Name: CAcert Organisation Assurance Program sub-policy Australia<a style="color: steelblue" href="https://svn.cacert.org/CAcert/Policies/ControlledDocumentList.html">COD11.AU</a>
25 <br>
26 Creation Date : 2008-04-02
27 <br>
28 Editor: Sam Johnston
29 <br>
30 Status: POLICY <a href="https://wiki.cacert.org/PolicyDecisions#p20140731">p20140731</a>
31 <br>
32 Licence: <a style="color: steelblue" href="https://wiki.cacert.org/Policy#Licence" title="this document is Copyright © 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>
33
34 </td>
35 <td align="right" valign="top">
36 <a href="https://www.cacert.org/policy/PolicyOnPolicy.php">
37 <img src="images/cacert-policy.png" alt="PoP Status - POLICY" style="border-style: none;" height="31" width="88">
38 </a>
39 </td>
40 </tr>
41 </tbody>
42 </table>
43 </div>
44
45 <h2 id="g0.1">Preliminaries </h2>
46
47 <p>
48 This CAcert sub-policy extends the Organisation Assurance Policy
49 ("OAP") by specifying how the CAcert Organisation Assurance Program
50 ("COAP") is to be conducted by the assigned Organisation Assurer ("OA")
51 under the supervision of the Assurance Officer ("AO") for entities
52 within the defined scope.
53 </p>
54
55 <h2 id="g0.2">Scope</h2>
56
57 <p>
58 This sub-policy is applicable to:
59 <br>
60 </p>
61
62 <ol style="list-style-type: lower-alpha;">
63
64 <li>Australian legal entities:
65 <br>
66
67 <ol style="list-style-type: lower-roman;">
68
69 <li>Sole Traders</li>
70
71 <li>Partnerships</li>
72
73 <li>Companies</li>
74
75 <li>Trusts</li>
76
77 <li>Government Bodies &amp; Intrumentalities</li>
78
79 <li>Clubs &amp; Associations</li>
80
81 </ol>
82
83 </li>
84 </ol>
85
86 <h2 id="g0.3">Requirements </h2>
87
88 <p>
89 This section describes any scope specific requirements that are not otherwise defined in the OAP.
90 </p>
91
92 <h3 id="g0.3.1">Organisation </h3>
93
94 <ol style="list-style-type: lower-alpha;">
95
96 <li>For sole traders operating under their own name business name registration is OPTIONAL.</li>
97
98 <li>Applicants MUST be a valid legal entity but MAY have an arbitrary number of registered trading names.</li>
99
100 </ol>
101
102 <h3 id="g0.3.2">Records </h3>
103
104 <ol style="list-style-type: lower-alpha;">
105
106 <li>Digital Signatures MAY be accepted in Australia under the Electronic Transactions Act 2000.
107 </li>
108 <!---->
109 <li>Statutory Declarations MAY be accepted in support of other documentary evidence.</li>
110
111 --&gt;
112
113 <li>Historic documents MAY be accepted where it can be proven that
114 material changes have not been made (eg via absence of subsequent
115 submissions in official document listings).</li>
116
117 </ol>
118
119 <h3 id="g0.3.3">Application Form </h3>
120
121 <ol style="list-style-type: lower-alpha;">
122
123 <li>The licensing authority MUST be specified as 'Australian
124 Securities and Investments Commission (ASIC)' (for companies, trusts
125 etc) or a state office of fair trading (for sole traders, partnerships
126 and trading names).
127 </li>
128
129 <li>Any applicable organisation identifiers (ACN/ABN/ARBN) MUST be
130 specified where applicable (not required for sole traders operating
131 under their own name).
132 </li>
133 </ol>
134
135 <h2 id="g0.4">Registration </h2>
136
137 <h3 id="g0.4.1">Registries </h3>
138
139 <ol style="list-style-type: lower-alpha;">
140
141 <li>AusRegistry [<a title="AusRegistry" href="http://www.ausregistry.com.au/">http://www.ausregistry.com.au/</a>]
142 <br>
143
144 <ol>
145
146 <li>.au ccTLD WHOIS [<a title="AusRegistry WHOIS" href="http://whois.ausregistry.net.au/">http://whois.ausregistry.net.au/</a>]
147 <br>
148 </li>
149 </ol>
150 </li>
151
152 <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>]
153 <br>
154
155 <ol style="list-style-type: lower-roman;">
156
157 <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>]
158 <br>
159 </li>
160 </ol>
161 </li>
162
163 <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>]
164 <br>
165
166 <ol style="list-style-type: lower-roman;">
167
168 <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>
169
170 <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>
171
172 <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>
173
174 <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>
175
176 <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>
177
178 <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>
179
180 <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>
181
182 <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>
183
184 </ol>
185
186 </li>
187
188 <li>Australian Taxation Office ("ATO") [<a title="Australian Taxation Office" href="http://www.ato.gov.au/">http://www.ato.gov.au/</a>]
189 <br>
190
191 <ol style="list-style-type: lower-roman;">
192
193 <li>Australian Business Register ("ABR") [<a title="Australian Business Register" href="http://www.abr.business.gov.au/">http://www.abr.business.gov.au/</a>]
194 <br>
195 </li>
196
197 </ol>
198
199 </li>
200
201 <li>Credit Reporting Agencies
202 <br>
203
204 <ol style="list-style-type: lower-roman;">
205
206 <li>Dun &amp; Bradstreet (Australia) [<a title="Dun &amp; Bradstreet (Australia)" href="http://www.dnb.com.au/">http://www.dnb.com.au/</a>]
207 <br></li>
208
209 <li>Veda Advantage [<a title="Veda Advantage" href="http://www.vedaadvantage.com/">http://www.vedaadvantage.com/</a>]
210 <br></li>
211
212 </ol>
213
214 </li>
215
216 </ol>
217
218 <h3 id="g0.4.2">Agents </h3>
219
220 <ol style="list-style-type: lower-alpha;">
221
222 <li>ASIC
223 <br>
224
225 <ol style="list-style-type: lower-roman;">
226
227 <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>
228
229 <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>
230
231 </ol>
232
233 </li>
234
235 </ol>
236
237 <h3 id="g0.4.3">Identifiers </h3>
238
239 <ol style="list-style-type: lower-alpha;">
240
241 <li>Australian Company Number ("ACN") is a unique 9 digit identifying
242 number assigned by ASIC when a body becomes registered as a company
243 under corporations law.</li>
244
245 <li>Australian Registered Body Number ("ARBN") is a unique 9 digit
246 identifying number assigned by ASIC when a body is registered with them
247 other than as a company, for example registrable Australian bodies.
248 <br></li>
249
250 <li>Australian Business Number ("ABN") is a unique 11 digit
251 identifying number issued to all entities registered in the Australian
252 Business Register (ABR).</li>
253
254 </ol>
255
256 <h3 id="g0.4.4">Documents </h3>
257
258 <ol style="list-style-type: lower-alpha;">
259
260 <li>ASIC Company Extract</li>
261
262 <li>Credit File</li>
263
264 </ol>
265
266 <h2 id="g0.5">Processes </h2>
267
268 <h3 id="g0.5.1">Assurance </h3>
269
270 <ol style="list-style-type: lower-alpha;">
271
272 <li>Each person listed in an application MUST be individually assured and referenced by a confirmed email.</li>
273
274 <li>Sole traders operating under their own name MAY be automatically approved without further checks.</li>
275
276 <li>All other trading names (including companies) MUST be verified
277 against the National Names Index and/or Australian Business Register,
278 where the status MUST be 'Registered' or 'Active' respectively.</li>
279
280 <li>Partnership applicants MUST additionally be verified in the
281 register as a current individual member and SHOULD be a managing
282 partner.</li>
283
284 <li>Company applications MUST be made by an individual who is duly authorised to sign on behalf of the company:
285
286 <ol style="list-style-type: lower-roman;">
287
288 <li>Officeholder applicants (directors or preferably secretary)
289 MUST be verified in an "ASIC Company Extract" (obtained for a fee
290 reclaimable from the applicant by the OA from an ASIC Service Center or
291 ASIC Information Broker) or "Credit File" from a "Credit Reporting
292 Agency".</li>
293
294 <li>Any other applicant MUST prove that they are duly authorised to
295 sign on behalf of the entity (for example via delegation and/or under
296 replacible rules) to the satisfaction of the OA, for approval by the AO.</li>
297
298 </ol>
299
300 </li>
301
302 <li>Trust applications MUST be made by the trustee.</li>
303
304 <li>Government Body &amp; Intrumentality applications MUST be made by
305 a duly authorised person and the relevant authorisation must accompany
306 the application.</li>
307
308 <li>Club &amp; Association applications MUST be made by the secretary of the club or association.</li>
309
310 </ol>
311
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