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66
67 <h1>CAcert CPS and CP</h1>
68
69 <a href="PolicyOnPolicy.html"><img src="cacert-draft.png" alt="CAcert Policy Status" height="31" width="88" style="border-style: none;" /></a><br />
70 Creation date: 20060726<br />
71 Status: DRAFT p20091108<br />
72 <!-- $Id: CertificationPracticeStatement.php,v 1.1 2009-11-21 22:34:00 philipp Exp $ -->
73
74
75 <font size="-1">
76
77 <ol>
78 <li> <a href="#p1">INTRODUCTION</a>
79 <ul>
80 <li><a href="#p1.1">1.1. Overview</a></li>
81 <li><a href="#p1.2">1.2. Document name and identification</a></li>
82 <li><a href="#p1.3">1.3. PKI participants</a> </li>
83 <li><a href="#p1.4">1.4. Certificate usage</a> </li>
84 <li><a href="#p1.5">1.5. Policy administration</a> </li>
85 <li><a href="#p1.6">1.6. Definitions and acronyms</a></li>
86 </ul>
87 </li>
88 <li> <a href="#p2">PUBLICATION AND REPOSITORY RESPONSIBILITIES</a>
89 <ul>
90 <li><a href="#p2.1">2.1. Repositories</a></li>
91 <li><a href="#p2.2">2.2. Publication of certification information</a></li>
92 <li><a href="#p2.3">2.3. Time or frequency of publication</a></li>
93 <li><a href="#p2.4">2.4. Access controls on repositories</a></li>
94 </ul>
95 </li>
96 <li> <a href="#p3">IDENTIFICATION AND AUTHENTICATION (I&amp;A)</a>
97 <ul>
98 <li><a href="#p3.1">3.1. Naming</a> </li>
99 <li><a href="#p3.2">3.2. Initial Identity Verification</a> </li>
100 <li><a href="#p3.3">3.3. I&amp;A for Re-key Requests</a> </li>
101 <li><a href="#p3.4">3.4. I&amp;A for Revocation Request</a></li>
102 </ul>
103 </li>
104 <li><a href="#p4">CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS</a>
105 <ul>
106 <li><a href="#p4.1">4.1. Certificate Application</a> </li>
107 <li><a href="#p4.2">4.2. Certificate application processing</a> </li>
108 <li><a href="#p4.3">4.3. Certificate issuance</a> </li>
109 <li><a href="#p4.4">4.4. Certificate acceptance</a> </li>
110 <li><a href="#p4.5">4.5. Key pair and certificate usage</a> </li>
111 <li><a href="#p4.6">4.6. Certificate renewal</a> </li>
112 <li><a href="#p4.7">4.7. Certificate re-key</a> </li>
113 <li><a href="#p4.8">4.8. Certificate modification</a> </li>
114 <li><a href="#p4.9">4.9. Certificate revocation and suspension</a> </li>
115 <li><a href="#p4.10">4.10. Certificate status services</a> </li>
116 <li><a href="#p4.11">4.11. End of subscription</a></li>
117 <li><a href="#p4.12">4.12. Key escrow and recovery</a> </li>
118 </ul>
119 </li>
120 <li><a href="#p5">FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS</a>
121 <ul>
122 <li><a href="#p5.1">5.1. Physical controls</a> </li>
123 <li><a href="#p5.2">5.2. Procedural controls</a> </li>
124 <li><a href="#p5.3">5.3. Personnel controls</a> </li>
125 <li><a href="#p5.4">5.4. Audit logging procedures</a> </li>
126 <li><a href="#p5.5">5.5. Records archival</a> </li>
127 <li><a href="#p5.6">5.6. Key changeover</a></li>
128 <li><a href="#p5.7">5.7. Compromise and disaster recovery</a> </li>
129 <li><a href="#p5.8">5.8. CA or RA termination</a></li>
130 </ul>
131 </li>
132 <li><a href="#p6">TECHNICAL SECURITY CONTROLS</a>
133 <ul>
134 <li><a href="#p6.1">6.1. Key pair generation and installation</a> </li>
135 <li><a href="#p6.2">6.2. Private Key Protection and Cryptographic Module Engineering Controls</a> </li>
136 <li><a href="#p6.3">6.3. Other aspects of key pair management</a> </li>
137 <li><a href="#p6.4">6.4. Activation data</a> </li>
138 <li><a href="#p6.5">6.5. Computer security controls</a> </li>
139 <li><a href="#p6.6">6.6. Life cycle technical controls</a> </li>
140 <li><a href="#p6.7">6.7. Network security controls</a></li>
141 <li><a href="#p6.8">6.8. Time-stamping</a></li>
142 </ul>
143 </li>
144 <li><a href="#p7">CERTIFICATE, CRL, AND OCSP PROFILES</a>
145 <ul>
146 <li><a href="#p7.1">7.1. Certificate profile</a> </li>
147 <li><a href="#p7.2">7.2. CRL profile</a> </li>
148 <li><a href="#p7.3">7.3. OCSP profile</a> </li>
149 </ul>
150 </li>
151 <li><a href="#p8">COMPLIANCE AUDIT AND OTHER ASSESSMENTS</a>
152 <ul>
153 <li><a href="#p8.1">8.1. Frequency or circumstances of assessment</a></li>
154 <li><a href="#p8.2">8.2. Identity/qualifications of assessor</a></li>
155 <li><a href="#p8.3">8.3. Assessor's relationship to assessed entity</a></li>
156 <li><a href="#p8.4">8.4. Topics covered by assessment</a></li>
157 <li><a href="#p8.5">8.5. Actions taken as a result of deficiency</a></li>
158 <li><a href="#p8.6">8.6. Communication of results</a></li>
159 </ul>
160 </li>
161 <li><a href="#p9">OTHER BUSINESS AND LEGAL MATTERS</a>
162 <ul>
163 <li><a href="#p9.1">9.1. Fees</a> </li>
164 <li><a href="#p9.2">9.2. Financial responsibility</a> </li>
165 <li><a href="#p9.3">9.3. Confidentiality of business information</a> </li>
166 <li><a href="#p9.4">9.4. Privacy of personal information</a> </li>
167 <li><a href="#p9.5">9.5. Intellectual property rights</a></li>
168 <li><a href="#p9.6">9.6. Representations and warranties</a> </li>
169 <li><a href="#p9.7">9.7. Disclaimers of warranties</a></li>
170 <li><a href="#p9.8">9.8. Limitations of liability</a></li>
171 <li><a href="#p9.9">9.9. Indemnities</a></li>
172 <li><a href="#p9.10">9.10. Term and termination</a> </li>
173 <li><a href="#p9.11">9.11. Individual notices and communications with participants</a></li>
174 <li><a href="#p9.12">9.12. Amendments</a> </li>
175 <li><a href="#p9.13">9.13. Dispute resolution provisions</a></li>
176 <li><a href="#p9.14">9.14. Governing law</a></li>
177 <li><a href="#p9.15">9.15. Compliance with applicable law</a></li>
178 <li><a href="#p9.16">9.16. Miscellaneous provisions</a> </li>
179 </ul>
180 </li>
181 </ol>
182
183 </font>
184
185
186
187 <!-- *************************************************************** -->
188 <h2><a name="p1" id="p1">1. INTRODUCTION</a></h2>
189
190 <h3><a name="p1.1" id="p1.1">1.1. Overview</a></h3>
191
192 <p>
193 This document is the Certification Practice Statement (CPS) of
194 CAcert, the Community Certification Authority (CA).
195 It describes rules and procedures used by CAcert for
196 operating its CA,
197 and applies to all CAcert PKI Participants,
198 including Assurers, Members, and CAcert itself.
199 </p>
200
201 <p>
202 </p>
203
204 <h3><a name="p1.2" id="p1.2">1.2. Document name and identification</a></h3>
205
206 <p>
207 This document is the Certification Practice Statement (CPS) of CAcert.
208 The CPS also fulfills the role of the Certificate Policy (CP)
209 for each class of certificate.
210 </p>
211
212 <ul>
213 <li>
214 This document is COD6 under CAcert Official Documents numbering scheme.
215 </li>
216 <li>
217 The document is structured according to
218 Chokhani, et al,
219 <a href="http://www.ietf.org/rfc/rfc3647.txt">RFC3647</a>,
220 <a href="http://tools.ietf.org/html/rfc3647#section-4">chapter 4</a>.
221 All headings derive from that Chapter.
222 </li>
223 <li>
224 It has been improved and reviewed (or will be reviewed)
225 to meet or exceed the criteria of the
226 <cite>Certificate Authority Review Checklist</cite>
227 from <i>David E. Ross</i> ("DRC")
228 and Mozilla Foundation's CA policy.
229 </li>
230 <li>
231 OID assigned to this document: 1.3.6.1.4.1.18506.4.4.x (x=approved Version)
232 (<a href="http://www.iana.org/assignments/enterprise-numbers">iana.org</a>)
233 <p class="q"> .x will change to .1 in the first approved instance.</p>
234 </li>
235 <li>
236 &copy; CAcert Inc. 2006-2009.
237 <!-- note that CCS policies must be controlled by CAcert Inc. -->
238 </li>
239 <li>
240 Issued under the CAcert document licence policy,
241 as and when made policy.
242 See <a href="http://wiki.cacert.org/wiki/PolicyDrafts/DocumentLicence">
243 PolicyDrafts/DocumentLicence</a>.
244 <ul class="q">
245 <li> The cited page discusses 2 options: CCau Attribute-Share-alike and GNU Free Document License. Refer to that. </li>
246 <li> Note that the noun Licence in Australian English has two Cs. The verb License is spelt the same way as American English. </li>
247 </ul>
248 </li>
249 <li>
250 Earlier notes were written by Christian Barmala
251 in a document placed under GNU Free Document License
252 and under FSF copyright.
253 However this clashed with the control provisions of
254 Configuration-Control Specification
255 (COD2) within Audit criteria.
256 </li>
257 <li>
258 <span class="q">In this document:</span>
259 <ul>
260 <li>
261 <span class="q">green text</span>
262 refers to questions that seek answers,
263 </li><li>
264 <span class="error">red text</span>
265 refers to probably audit fails or serious errors.
266 </li><li>
267 <span class="change">blue text</span>
268 refers to changes written after the document got seriously reviewed.
269 </ul>
270 <span class="q">
271 None is to be considered part of the policy,
272 and they should disappear in the DRAFT
273 and must disappear in the POLICY.
274 </span>
275 </li>
276 <!--
277 <li>
278 Some content is incorporated under
279 <!-- <a href="http://xkcd.com/license.html">Creative Commons license</a> -->
280 <!-- from <a href="http://xkcd.com/">xkcd.com</a>. -->
281 198 177 515
282 </li>
283 -->
284 </ul>
285
286 <p>
287 The CPS is an authoritive document,
288 and rules other documents
289 except where explicitly deferred to.
290 See also <a href="#p1.5.1">1.5.1 Organisation Administering the Document</a>.
291 </p>
292
293 <h3><a name="p1.3" id="p1.3">1.3. PKI participants</a></h3>
294 <p>
295 The CA is legally operated by CAcert Incorporated,
296 an Association registered in 2002 in
297 New South Wales, Australia,
298 on behalf of the wider Community of Members of CAcert.
299 The Association details are at the
300 <a href="http://wiki.cacert.org/wiki/CAcertIncorporated">CAcert wiki</a>.
301 </p>
302
303 <p>
304 CAcert is a Community formed of Members who agree to the
305 <a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">
306 CAcert Community Agreement</a>.
307 The CA is technically operated by the Community,
308 under the direction of the Board of CAcert Incorporated.
309 (The Members of the Community are not to be confused
310 with the <i>Association Members</i>, which latter are
311 not referred to anywhere in this CPS.)
312 </p>
313
314 <h4><a name="p1.3.1" id="p1.3.1">1.3.1. Certification authorities</a></h4>
315 <p>
316 CAcert does not issue certificates to external
317 intermediate CAs under the present CPS.
318 </p>
319
320 <h4><a name="p1.3.2" id="p1.3.2">1.3.2. Registration authorities</a></h4>
321 <p>
322 Registration Authorities (RAs) are controlled under Assurance Policy
323 (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>).
324 </p>
325
326 <h4><a name="p1.3.3" id="p1.3.3">1.3.3. Subscribers</a></h4>
327
328 <p>
329 CAcert issues certificates to Members only.
330 Such Members then become Subscribers.
331 </p>
332
333
334 <h4><a name="p1.3.4" id="p1.3.4">1.3.4. Relying parties</a></h4>
335
336 <p>
337 A relying party is a Member,
338 having agreed to the
339 CAcert Community Agreement
340 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>),
341 who, in the act of using a CAcert certificate,
342 makes a decision on the basis of that certificate.
343 </p>
344
345 <h4><a name="p1.3.5" id="p1.3.5">1.3.5. Other participants</a></h4>
346
347 <p>
348 <b>Member.</b>
349 Membership of the Community is as defined in the
350 <a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>.
351 Only Members may RELY or may become Subscribers.
352 Membership is free.
353 </p>
354
355 <p>
356 <b>Arbitrator.</b>
357 A senior and experienced Member of the CAcert Community
358 who resolves disputes between Members, including ones
359 of certificate reliance, under
360 Dispute Resolution Policy
361 (<a href="http://www.cacert.org/policy/DisputeResolutionPolicy.php">COD7</a>).
362 </p>
363
364 <p>
365 <b>Vendor.</b>
366 Software suppliers who integrate the root certificates of CAcert
367 into their software also assume a proxy role of Relying Parties,
368 and are subject to another licence.
369 <span class="q">
370 At the time of writing, the
371 "3rd Party Vendor - Disclaimer and Licence"
372 is being worked upon, but is neither approved nor offered.
373 </span>
374 </p>
375
376 <p>
377 <b>Non-Related Persons</b> (NRPs).
378 These are users of browsers and similar software who are
379 unaware of the CAcert certificates they may use, and
380 are unaware of the ramifications of usage.
381 Their relationship with CAcert
382 is described by the
383 Non-related Persons - Disclaimer and Licence
384 (<a href="http://www.cacert.org/policy/NRPDisclaimerAndLicence.php">COD4</a>).
385 No other rights nor relationship is implied or offered.
386 </p>
387
388
389 <h3><a name="p1.4" id="p1.4">1.4. Certificate usage</a></h3>
390
391 <p>CAcert serves as issuer of certificates for
392 individuals, businesses, governments, charities,
393 associations, churches, schools,
394 non-governmental organisations or other groups.
395 CAcert certificates are intended for low-cost
396 community applications especially where volunteers can
397 become Assurers and help CAcert to help the Community.
398 </p>
399
400 <p>
401 Types of certificates and their appropriate and
402 corresponding applications are defined in
403 <a href="#p1.4.1">&sect;1.4.1</a>.
404 Prohibited applications are defined in <a href="#p1.4.2">&sect;1.4.2</a>.
405 Specialist uses may be agreed by contract or within
406 a specific environment, as described in
407 <a href="#p1.4.4">&sect;1.4.4</a>.
408 Note also the
409 unreliable applications in
410 <a href="#p1.4.3">&sect;1.4.3</a>
411 and risks, liabilities and obligations in
412 <a href="#p9">&sect;9</a>.
413 </p>
414
415
416 <center>
417 <table border="1" cellpadding="5">
418 <tr>
419 <td colspan="2"><center><i>Type</center></i></td>
420 <td colspan="2"><center><i>Appropriate Certificate uses</center></i></th>
421 </tr>
422 <tr>
423 <th>General</th>
424 <th>Protocol</th>
425 <th><center>Description</center></th>
426 <th><center>Comments</center></th>
427 </tr>
428 <tr>
429 <td rowspan="2"><center>Server</center></td>
430 <td> TLS </td>
431 <td> web server encryption </td>
432 <td> enables encryption </td>
433 </tr>
434 <tr>
435 <td> embedded </td>
436 <td> embedded server authentication </td>
437 <td> mail servers, IM-servers </td>
438 </tr>
439 <tr>
440 <td rowspan="4"><center>Client</center></td>
441 <td> S/MIME </td>
442 <td> email encryption </td>
443 <td> "digital signatures" employed in S/MIME
444 are not legal / human signatures,
445 but instead enable the encryption mode of S/MIME </td>
446 </tr>
447 <tr>
448 <td> TLS </td>
449 <td> client authentication </td>
450 <td> the nodes must be secure </td>
451 </tr>
452 <tr>
453 <td> TLS </td>
454 <td> web based signature applications </td>
455 <td> the certificate authenticates only. See <a href="#p1.4.3">&sect;1.4.3</a>. </td>
456 </tr>
457 <tr>
458 <td> &quot;Digital Signing&quot; </td>
459 <td> for human signing over documents </td>
460 <td> Only within a wider application and rules
461 such as by separate policy,
462 as agreed by contract, etc.
463 See <a href="#p1.4.4">&sect;1.4.4</a>.
464 </td>
465 </tr>
466 <tr>
467 <td><center>Code</center></td>
468 <td> Authenticode, ElfSign, Java </td>
469 <td> Code Signing </td>
470 <td> Signatures on packages are evidence of their Membership and indicative of Identity </td>
471 </tr>
472 <tr>
473 <td><center>PGP</center></td>
474 <td> OpenPGP </td>
475 <td> Key Signing </td>
476 <td> Signatures on Member Keys are evidence of their Membership and indicative of Identity </td>
477 </tr>
478 <tr>
479 <td><center>Special</center></td>
480 <td> X.509 </td>
481 <td> OCSP, Timestamping </td>
482 <td> Only available to CAcert Systems Administrators, as controlled by Security Policy </td>
483 </tr>
484 </table>
485
486 <span class="figure">Table 1.4. Types of Certificate</span>
487 </center>
488
489 <h4><a name="p1.4.1" id="p1.4.1">1.4.1. Appropriate certificate uses</a></h4>
490
491 <p>
492 General uses.
493 </p>
494
495 <ul><li>
496 CAcert server certificates can be used to enable encryption
497 protection in web servers.
498 Suitable applications include webmail and chat forums.
499 </li><li>
500 CAcert server certificates can be used to enable encryption
501 in SSL/TLS links in embedded protocols such as mail servers
502 and IM-servers.
503 </li><li>
504 CAcert client certificates can be used to enable encryption
505 protection in email clients.
506 (See <a href="#p1.4.3">&sect;1.4.3</a> for caveat on signatures.)
507 </li><li>
508 CAcert client certificates can be used to replace password-based
509 authentication to web servers.
510 </li><li>
511 OpenPGP keys with CAcert signatures can be used
512 to encrypt and sign files and emails,
513 using software compatible with OpenPGP.
514 </li><li>
515 CAcert client certificates can be used in web-based
516 authentication applications.
517 </li><li>
518 CAcert code signing certificates can be used to sign code
519 for distribution to other people.
520 </li><li>
521 Time stamping can be used to attach a time record
522 to a digital document.
523 </li></ul>
524
525
526 <h4><a name="p1.4.2" id="p1.4.2">1.4.2. Prohibited certificate uses</a></h4>
527 <p>
528 CAcert certificates are not designed, intended, or authorised for
529 the following applications:
530 </p>
531 <ul><li>
532 Use or resale as control equipment in hazardous circumstances
533 or for uses requiring fail-safe performance such as the operation
534 of nuclear facilities, aircraft navigation or communication systems,
535 air traffic control systems, or weapons control systems,
536 where failure could lead directly to death, personal injury,
537 or severe environmental damage.
538 </li></ul>
539
540 <h4><a name="p1.4.3" id="p1.4.3">1.4.3. Unreliable Applications</a></h4>
541
542 <p>
543 CAcert certificates are not designed nor intended for use in
544 the following applications, and may not be reliable enough
545 for these applications:
546 </p>
547
548 <ul><li>
549 <b>Signing within Protocols.</b>
550 Digital signatures made by CAcert certificates carry
551 <u>NO default legal or human meaning</u>.
552 See <a href="#p9.15.1">&sect;9.15.1</a>.
553 Especially, protocols such as S/MIME commonly will automatically
554 apply digital signatures as part of their protocol needs.
555 The purpose of the cryptographic signature in S/MIME
556 and similar protocols is limited by default to strictly
557 protocol security purposes:
558 to provide some confirmation that a familiar certificate
559 is in use, to enable encryption, and to ensure the integrity
560 of the email in transit.
561 </li><li>
562 <b>Non-repudiation applications.</b>
563 Non-repudiation is not to be implied from use of
564 CAcert certificates. Rather, certificates may
565 provide support or evidence of actions, but that
566 evidence is testable in any dispute.
567 </li><li>
568 <b>Ecommerce applications.</b>
569 Financial transactions or payments or valuable e-commerce.
570 </li><li>
571 Use of anonymous (Class 1 or Member SubRoot) certificates
572 in any application that requires or expects identity.
573 </li></ul>
574
575 <!-- <center><a href="http://xkcd.com/341/"> <img src="http://imgs.xkcd.com/comics/1337_part_1.png"> </a> </center> -->
576
577 <h4><a name="p1.4.4" id="p1.4.4">1.4.4. Limited certificate uses</a></h4>
578
579 <p>
580 By contract or within a specific environment
581 (e.g. internal to a company),
582 CAcert Members are permitted to use Certificates
583 for higher security, customised or experimental applications.
584 Any such usage, however, is limited to such entities
585 and these entities take on the whole responsible for
586 any harm or liability caused by such usage.
587 </p>
588
589 <p>
590 <b>Digital signing applications.</b>
591 CAcert client certificates
592 may be used by Assured Members in
593 applications that provide or support the human signing of documents
594 (known here as "digital signing").
595 This must be part of a wider framework and set of rules.
596 Usage and reliance
597 must be documented either under a separate CAcert digital signing
598 policy or other external regime agreed by the parties.
599 </p>
600
601 <h4><a name="p1.4.5" id="p1.4.5">1.4.5. Roots and Names</a></h4>
602
603 <p>
604 <b>Named Certificates.</b>
605 Assured Members may be issued certificates
606 with their verified names in the certificate. In this role, CAcert
607 operates and supports a network of Assurers who verify the
608 identity of the Members.
609 All Names are verified, either by Assurance or another defined
610 method under policy (c.f. Organisations).
611 </p>
612
613 <p>
614 <b>Anonymous Certificates.</b>
615 Members can be issued certificates that are anonymous,
616 which is defined as the certificate with no Name included,
617 or a shared name such as "Community Member".
618 These may be considered to be somewhere between Named certificates
619 and self-signed certificates. They have serial numbers in them
620 which is ultimately traceable via dispute to a Member, but
621 reliance is undefined.
622 In this role, CAcert provides the
623 infrastructure, saving the Members from managing a difficult
624 and messy process in order to get manufactured certificates.
625 </p>
626
627 <p>
628 <b>Psuedonymous Certificates.</b>
629 Note that CAcert does not currently issue pseudonymous certificates,
630 being those with a name chosen by the Member and not verifiable
631 according to documents.
632 </p>
633
634 <p>
635 <b>Advanced Certificates.</b>
636 Members who are as yet unassured are not permitted to create
637 advanced forms such as wildcard or subjectAltName
638 certificates.
639 </p>
640
641
642 <p>
643 <b> Roots.</b>
644 The <span class="q"> (new) </span> CAcert root layout is as below.
645 These roots are pending Audit,
646 and will be submitted to vendors via the (Top-level) Root.
647 </p>
648 <ul><li>
649 <b>(Top-level) Root.</b>
650 Used to sign on-line CAcert SubRoots only.
651 This Root is kept offline.
652 </li><li>
653 <b>Member SubRoot.</b>
654 For Community Members who are new and unassured (some restrictions exist).
655 Reliance is undefined.
656 (Replacement for the Class 1 root, matches "Domain Validation" type.)
657 </li><li>
658 <b>Assured SubRoot.</b>
659 Only available for Assured individual Members,
660 intended to sign certificates with Names.
661 Suitable for Reliance under this and other policies.
662 Approximates the type known as Individual Validation.
663 </li><li>
664 <b>Organisation SubRoot.</b>
665 Only available for Assured Organisation Members.
666 Suitable for Reliance under this and other policies.
667 Approximates the type known as Organisational Validation.
668
669 </li></ul>
670
671
672
673 <center>
674 <table border="1" cellpadding="5">
675 <tr>
676 <td></td>
677 <td colspan="5"><center><i>Level of Assurance</center></i></td>
678 <th> </th>
679 </tr>
680 <tr>
681 <th></th>
682 <th colspan="2"><center> Members &dagger; </center></th>
683 <th colspan="2"><center> Assured Members</center></th>
684 <th colspan="1"><center> Assurers </center></th>
685 <th colspan="1"><center> </center></th>
686 </tr>
687 <tr>
688 <td><i>Class of Root</i></td>
689 <th>Anon</th>
690 <td>Name</td>
691 <td>Anon</td>
692 <th>Name</th>
693 <td>Name+Anon</td>
694 <td colspan="1"><center><i>Remarks</center></i></td>
695 </tr>
696 <tr>
697 <td><center>Top level<br><big><b>Root</b></big></center></td>
698 <td> <center> <font title="pass." color="green" size="+3"> &bull; </font> </center> </th>
699 <td> <center> <font title="pass." color="green" size="+3"> &bull; </font> </center> </th>
700 <td> <center> <font title="pass." color="green" size="+3"> &bull; </font> </center> </td>
701 <td> <center> <font title="pass." color="green" size="+3"> &bull; </font> </center> </td>
702 <td> <center> <font title="pass." color="green" size="+3"> &bull; </font> </center> </td>
703 <td> Signs other CAcert SubRoots only. </td>
704 </tr>
705 <tr>
706 <td><center><big><b>Member</b></big><br>SubRoot</center></td>
707 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
708 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </th>
709 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
710 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
711 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
712 <td> &dagger; For Members meeting basic checks in <a href="#p4.2.2">&sect;4.2.2</a><br>(Reliance is undefined.) </td>
713 </tr>
714 <tr>
715 <td><center><big><b>Assured</b></big><br>SubRoot</center></td>
716 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </th>
717 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </th>
718 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
719 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
720 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
721 <td> Assured Members only.<br>Fully intended for reliance. </td>
722 </tr>
723 <tr>
724 <td><center><big><b>Organisation</b></big><br>SubRoot</center></td>
725 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </th>
726 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </th>
727 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
728 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
729 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
730 <td> Assured Organisation Members only.<br>Fully intended for reliance. </td>
731 </tr>
732 <tr>
733 <th>Expiry of Certificates</th>
734 <td colspan="2"><center>6 months</center></th>
735 <td colspan="3"><center>24 months</center></th>
736 </tr>
737 <tr>
738 <th>Types</th>
739 <td colspan="2"><center>client, server</center></th>
740 <td colspan="2"><center>wildcard, subjectAltName</center></th>
741 <td colspan="1"><center>code-signing</center></th>
742 <td> (Inclusive to the left.) </td>
743 </tr>
744 </table>
745
746 <span class="figure">Table 1.4.5.b Certificate under Audit Roots</span>
747 </center>
748
749
750 <p class="q">
751 Following information on OLD roots here for
752 descriptive and historical purposes only.
753 When CPS goes to DRAFT, this needs to be
754 converted into a short summary of the way
755 OLD roots are used and its relationship to
756 this CPS. E.g., "OLD roots are used for
757 testing and other purposes outside this CPS."
758 Because ... they still exist, and people will
759 look at the CPS to figure it out.
760 </p>
761
762 <center>
763 <table border="1" cellpadding="5">
764 <tr>
765 <td></td>
766 <td colspan="4"><center><i>Level of Assurance</center></i></td>
767 <th> </th>
768 </tr>
769 <tr>
770 <th></th>
771 <th colspan="2"><center>Members</center></th>
772 <th colspan="2"><center>Assured Members</center></th>
773 <th colspan="1"><center> </center></th>
774 </tr>
775 <tr>
776 <td><i>Class of Root</i></td>
777 <th>Anonymous</th>
778 <td>Named</td>
779 <td>Anonymous</td>
780 <th>Named</th>
781 <td colspan="1"><center><i>Remarks</center></i></td>
782 </tr>
783 <tr>
784 <td><center>Class<br><big><b>1</b></big></center></td>
785 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
786 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </td>
787 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
788 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
789 <td> Available for all Members,<br>reliance is undefined.</td>
790 </tr>
791 <tr>
792 <td><center>Class<br><big><b>3</b></big></center></td>
793 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </th>
794 <td> <center> <font title="pass." color="red" size="+3"> &#10008; </font> </center> </th>
795 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
796 <td> <center> <font title="pass." color="green" size="+3"> &#10004; </font> </center> </td>
797 <td> Assured Members only.<br> Intended for Reliance. </center> </td>
798 </tr>
799 <tr>
800 <th>Expiry of Certificates</th>
801 <td colspan="2"><center>6 months</center></th>
802 <td colspan="2"><center>24 months</center></th>
803 </tr>
804 <tr>
805 <th>Types available</th>
806 <td colspan="2"><center>simple only</center></th>
807 <td colspan="2"><center>wildcard, subjectAltName</center></th>
808 </tr>
809 </table>
810
811 <span class="figure">Table 1.4.5. Certificates under Old Roots - <b>Audit Fail</b> </span>
812 </center>
813
814 <p>
815 <b> Old Roots.</b>
816 The old CAcert root layout is as below. These roots are <b>Audit Fail</b>
817 and will only be used where new roots do not serve:
818 </p>
819 <ul><li>
820 (old) <b>Class 1 root.</b>
821 Used primarily for certificates with no names and by
822 unassured Members.
823 For compatibility only,
824 Assured Members may also use this root.
825 </li><li>
826 (old) <b>Class 3 root.</b>
827 Used primarily for certificates including the names
828 of Assured Members.
829 Signed by Class 1 root.
830 Members can decide to rely on these
831 certificates for Assured Members
832 by selecting the Class 3 root for
833 Assured Members as trust anchor.
834 </li></ul>
835
836 <ul class="q">
837 <li> Current Mozilla position has drifted from Class 1,2,3s to DV, IV+OV and EV posture. Except, the actual posture is either unstated or difficult to fathom.</li>
838 <li> scheme for future roots is at <a href="http://wiki.cacert.org/wiki/Roots/NewRootsTaskForce">NewRootsTaskForce</a>.</li>
839 <li>END OLD ROOTS </li>
840 </ul>
841
842 <h3><a name="p1.5" id="p1.5">1.5. Policy administration</a></h3>
843
844 <p>See <a href="#p1.2">1.2 Document Name and Identification</a>
845 for general scope of this document.</p>
846
847 <h4><a name="p1.5.1" id="p1.5.1">1.5.1. Organization administering the document</a></h4>
848
849 <p>
850 This document is administered by the policy group of
851 the CAcert Community under Policy on Policy (<a href="http://www.cacert.org/policy/PolicyOnPolicy.php">COD1</a>).
852 </p>
853
854 <h4><a name="p1.5.2" id="p1.5.2">1.5.2. Contact person</a></h4>
855 <p>
856 For questions including about this document:
857 </p>
858
859 <ul>
860 <li>Join the policy group, by means of the discussion forum at
861 <a href="http://lists.cacert.org/mailman/listinfo">
862 lists.cacert.org</a> . </li>
863 <li>Send email to &lt; support AT cacert DOT org &gt; </li>
864 <li>IRC: irc.cacert.org #CAcert (ssl port 7000, non-ssl port 6667)</li>
865 </ul>
866
867 <h4><a name="p1.5.3" id="p1.5.3">1.5.3. Person determining CPS suitability for the policy</a></h4>
868 <p>
869 This CPS and all other policy documents are managed by
870 the policy group, which is a group of Members of the
871 Community found at policy forum. See discussion forums above.
872 </p>
873
874 <h4><a name="p1.5.4" id="p1.5.4">1.5.4. CPS approval procedures</a></h4>
875 <p>
876 CPS is controlled and updated according to the
877 Policy on Policy
878 (<a href="http://www.cacert.org/policy/PolicyOnPolicy.php">COD1</a>)
879 which is part of
880 Configuration-Control Specification (COD2).
881 </p>
882
883 <p>
884 In brief, the policy forum prepares and discusses.
885 After a last call, the document moves to DRAFT status
886 for a defined period.
887 If no challenges have been received in the defined period,
888 it moves to POLICY status.
889 The process is modelled after some elements of
890 the RFC process by the IETF.
891 </p>
892
893 <h4><a name="p1.5.5" id="p1.5.5">1.5.5 CPS updates</a></h4>
894
895 <p>
896 As per above.
897 </p>
898
899
900 <h3><a name="p1.6" id="p1.6">1.6. Definitions and acronyms</a></h3>
901 <p>
902 <b><a name="d_cert" id="d_cert">Certificate</a></b>.
903 A certificate is a piece of cryptographic data used
904 to validate certain statements, especially those of
905 identity and membership.
906 </p>
907 <p>
908 <b><a name="d_cacert" id="d_cacert">CAcert</a></b>.
909 CAcert is a Community certificate authority as defined under
910 <a href="#p1.2">&sect;1.2 Identification</a>.
911 </p>
912 <p>
913 <b><a name="d_member" id="d_member">Member</a></b>.
914 Everyone who agrees to the
915 CAcert Community Agreement
916 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>).
917 This generally implies having an account registered
918 at CAcert and making use of CAcert's data, programs or services.
919 A Member may be an individual ("natural person")
920 or an organisation (sometimes, "legal person").
921 </p>
922 <p>
923 <b><a name="d_community" id="d_community">Community</a></b>.
924 The group of Members who agree to the
925 CAcert Community Agreement
926 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>)
927 or equivalent agreements.
928 </p>
929 <p>
930 <b><a name="d_unassured" id="d_unassured">Unassured Member</a></b>.
931 A Member who has not yet been Assured.
932 </p>
933 <p>
934 <b><a name="d_subscriber" id="d_subscriber">Subscriber</a></b>.
935 A Member who requests and receives a certificate.
936 </p>
937 <p>
938 <b><a name="d_assured" id="d_assured">Assured Member</a></b>.
939 A Member whose identity has been sufficiently
940 verified by Assurers or other
941 approved methods under Assurance Policy.</p>
942 </p>
943 <p>
944 <b><a name="d_assurer" id="d_assurer">Assurer</a></b>.
945 An Assured Member who is authorised under Assurance Policy
946 to verify the identity of other Members.
947 </p>
948 <p>
949 <b><a name="d_name" id="d_name">Name</a></b>.
950 As defined in the
951 Assurance Policy
952 (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>),
953 to describe a name of a Member
954 that is verified by the Assurance process.
955 <p>
956 <b><a name="d_oadmin" id="d_oadmin">Organisation Administrator</a></b>.
957 ("O-Admin")
958 An Assurer who is authorised to act for an Organisation.
959 The O-Admin is authorised by an organisation
960 to vouch for the identity of other users of the organisation.
961 </p>
962 <p>
963 <b><a name="d_org_ass" id="d_org_ass">Organisation Assurer</a></b>.
964 An Assurer who is authorised to conduct assurances on
965 organisations.
966 </p>
967 <p>
968 <b><a name="d_user" id="d_user">Non-Related Persons</a></b>.
969 ("NRPs")
970 are general users of browsers and similar software.
971 The NRPs are generally unaware of
972 CAcert or the certificates that they may use, and
973 are unaware of the ramifications of usage.
974 They are not permitted to RELY, but may USE, under the
975 Non-Related Persons - Disclaimer and Licence (<a href="http://www.cacert.org/policy/NRPDisclaimerAndLicence.php">COD4</a>).
976 </p>
977 <p>
978 <b><a name="rel" id="d_reliance">Reliance</a></b>.
979 An industry term referring to
980 the act of making a decision, including taking a risk,
981 which decision is in part or in whole
982 informed or on the basis of the contents of a certificate.
983 </p>
984 <p>
985 <b><a name="rel" id="rel">Relying Party</a></b>.
986 An industry term refering to someone who relies
987 (that is, makes decisions or takes risks)
988 in part or in whole on a certificate.
989 </p>
990 <p>
991 <b>Subscriber Naming.</b>
992 The term used in this CPS to
993 describe all naming data within a certificate.
994 Approximately similar terms from Industry such as
995 "Subject naming" and "Distinguished Name"
996 are not used here.
997 </p>
998 <p>
999 <b><a name="ver" id="d_verification">Verification</a></b>.
1000 An industry term referring to
1001 the act of checking and controlling
1002 the accuracy and utility of a single claim.
1003 </p>
1004 <p>
1005 <b><a name="ver" id="d_validation">Validation</a></b>.
1006 An industry term referring to the process of
1007 inspecting and verifying the information and
1008 subsidiary claims behind a claim.
1009 </p>
1010 <p>
1011 <b><a name="rel" id="rel">Usage</a></b>.
1012 The event of allowing a certificate to participate in
1013 a protocol, as decided and facilitated by a user's software.
1014 Generally, Usage does not require significant input, if any,
1015 on the part of the user.
1016 This defers all decisions to the user software,
1017 thus elevating the software as user's only and complete
1018 Validation Authority or Agent.
1019 </p>
1020 <p>
1021 <b><a name="drel" id="drel">CAcert Relying Party</a></b>.
1022 CAcert Members who make decisions based in part or in whole
1023 on a certificate issued by CAcert.
1024 Only CAcert Members are permitted to Rely on CAcert certificates,
1025 subject to the CAcert Community Agreement.
1026 </p>
1027 <p>
1028 <b><a name="ddst" id="ddst">Vendors</a></b>.
1029 Non-members who distribute CAcert's root or intermediate certificates
1030 in any way, including but not limited to delivering these
1031 certificates with their products, e.g. browsers, mailers or servers.
1032 Vendors are covered under a separate licence.
1033 <span class="q"> As of the moment, this licence is not written.</span>
1034 </p>
1035 <p>
1036 <b><a name="d_ccs" id="d_ccs">Configuration-Control Specification</a></b> "CCS".
1037 The audit criteria that controls this CPS.
1038 The CCS is documented in COD2, itself a controlled document under CCS.
1039 </p>
1040 <p>
1041 <p>
1042 <b><a name="d_cod" id="d_cod">CAcert Official Document</a></b> (COD).
1043 Controlled Documents that are part of the CCS.
1044 </p>
1045
1046
1047
1048 <!-- *************************************************************** -->
1049 <h2><a name="p2" id="p2">2. PUBLICATION AND REPOSITORY RESPONSIBILITIES</a></h2>
1050
1051
1052 <h3><a name="p2.1" id="p2.1">2.1. Repositories</a></h3>
1053
1054 <p>
1055 CAcert operates no repositories in the sense
1056 of lookup for non-certificate-related information
1057 for the general public.
1058 </p>
1059
1060 <p>
1061 Under the Assurance Policy (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>),
1062 there are means for Members to search, retrieve
1063 and verify certain data about themselves and others.
1064 </p>
1065
1066 <h3><a name="p2.2" id="p2.2">2.2. Publication of certification information</a></h3>
1067
1068 <p>
1069 CAcert publishes:
1070 </p>
1071
1072 <ul>
1073 <li>A repository of CRLs. An OCSP responder is in operation.</li>
1074 <li>The root certificate and intermediate certificates.</li>
1075 </ul>
1076
1077 <p>
1078 CAcert does not expressly publish information on issued certificates.
1079 However, due to the purpose of certificates, and the essential
1080 public nature of Names and email addresses, all information within
1081 certificates is presumed to be public and published, once
1082 issued and delivered to the Member.
1083 </p>
1084
1085 <h3><a name="p2.3" id="p2.3">2.3. Time or frequency of publication</a></h3>
1086
1087 <p>
1088 Root and Intermediate Certificates and CRLs are
1089 made available on issuance.
1090 </p>
1091
1092 <h3><a name="p2.4" id="p2.4">2.4. Access controls on repositories</a></h3>
1093 <p> No stipulation. </p>
1094
1095
1096
1097 <!-- *************************************************************** -->
1098 <h2><a name="p3" id="p3">3. IDENTIFICATION AND AUTHENTICATION</a></h2>
1099
1100 <h3><a name="p3.1" id="p3.1">3.1. Naming</a></h3>
1101
1102 <h4><a name="p3.1.1" id="p3.1.1">3.1.1. Types of names</a></h4>
1103
1104 <p>
1105 <b>Client Certificates.</b>
1106 The Subscriber Naming consists of:
1107 </p>
1108 <ul>
1109 <li><tt>subjectAltName=</tt>
1110 One, or more, of the Subscriber's verified email addresses,
1111 in rfc822Name format.
1112
1113 <ul class="q">
1114 <li>SSO in subjectAltName?.</li>
1115 </ul>
1116 <li><tt>EmailAddress=</tt>
1117 One, or more, of the Subscriber's verified email addresses.
1118 This is deprecated under
1119 RFC5280 <a href="http://tools.ietf.org/html/rfc5280#section-4.2.1.6">4
1120 .1.2.6</a>
1121 and is to be phased out. Also includes a SHA1 hash of a random number if
1122 the member selects SSO (Single Sign On ID) during submission of CSR.
1123 </li>
1124 <li><tt>CN=</tt> The common name takes its value from one of:
1125 <ul><li>
1126 For all Members,
1127 the string "<tt>CAcert WoT Member</tt>" may be used for
1128 anonymous certificates.
1129 </li><li>
1130 For individual Members,
1131 a Name of the Subscriber,
1132 as Assured under AP.
1133 </li><li>
1134 For Organisation Members,
1135 an organisation-chosen name,
1136 as verified under OAP.
1137 </li></ul>
1138 </ul>
1139
1140 <ul class="q">
1141 <li> <a href="http://bugs.cacert.org/view.php?id=672"> bug 672</a> filed on subjectAltName.</li>
1142 <li> O-Admin must verify as per <a href="http://wiki.cacert.org/wiki/PolicyDecisions">p20081016</a>. </li>
1143 <li> it is a wip for OAP to state how this is done. </li>
1144 <li> curiously, (RFC5280) verification is only mandated for subjectAltName not subject field. </li>
1145 <li> what Directory String is used in above? UTF8String is specified by RFC52804.1.2.6? is this important for the CPS to state?</li>
1146 </ul>
1147
1148 <p>
1149 <b>Individual Server Certificates.</b>
1150 The Subscriber Naming consists of:
1151 </p>
1152 <ul>
1153 <li><tt>CN=</tt>
1154 The common name is the host name out of a domain
1155 for which the Member is a domain master.
1156 </li> <li>
1157 <tt>subjectAltName=</tt>
1158 Additional host names for which the Member
1159 is a domain master may be added to permit the
1160 certificate to serve multiple domains on one IP number.
1161 </li> <li>
1162 All other fields are optional and must either match
1163 the CN or they must be empty
1164 </li> </ul>
1165
1166 <p>
1167 <b>Certificates for Organisations.</b>
1168 In addition to the above, the following applies:
1169 </p>
1170
1171 <ul>
1172 <li><tt>OU=</tt>
1173 organizationalUnitName (set by O-Admin, must be verified by O-Admin).</li>
1174 <li><tt>O=</tt>
1175 organizationName is the fixed name of the Organisation.</li>
1176 <li><tt>L=</tt>
1177 localityName</li>
1178 <li><tt>ST=</tt>
1179 stateOrProvinceName</li>
1180 <li><tt>C=</tt>
1181 countryName</li>
1182 <li><tt>contact=</tt>
1183 EMail Address of Contact.
1184 <!-- not included in RFC5280 4.1.2.4 list, but list is not restricted -->
1185 </li>
1186 </ul>
1187
1188 <p>
1189 Except for the OU and CN, fields are taken from the Member's
1190 account and are as verified by the Organisation Assurance process.
1191 Other Subscriber information that is collected and/or retained
1192 does not go into the certificate.
1193 </p>
1194
1195 <h4><a name="p3.1.2" id="p3.1.2">3.1.2. Need for names to be meaningful</a></h4>
1196
1197 <p>
1198 Each Member's Name (<tt>CN=</tt> field)
1199 is assured under the Assurance Policy (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>)
1200 or subsidiary policies (such as Organisation Assurance Policy).
1201 Refer to those documents for meanings and variations.
1202 </p>
1203
1204 <p>
1205 Anonymous certificates have the same <code>subject</code>
1206 field common name.
1207 See <a href="#p1.4.5">&sect;1.4.5.</a>.
1208 </p>
1209
1210 <p>
1211 Email addresses are verified according to
1212 <a href="#p4.2.2">&sect;4.2.2.</a>
1213 </p>
1214
1215 <!-- <center><a href="http://xkcd.com/327/"> <img src="http://imgs.xkcd.com/comics/exploits_of_a_mom.png"> </a> </center> -->
1216
1217 <h4><a name="p3.1.3" id="p3.1.3">3.1.3. Anonymity or pseudonymity of subscribers</a></h4>
1218
1219 <p>
1220 See <a href="#p1.4.5">&sect;1.4.5</a>.
1221 </p>
1222
1223 <h4><a name="p3.1.4" id="p3.1.4">3.1.4. Rules for interpreting various name forms</a></h4>
1224 <p>
1225 Interpretation of Names is controlled by the Assurance Policy,
1226 is administered by means of the Member's account,
1227 and is subject to change by the Arbitrator.
1228 Changes to the interpretation by means of Arbitration
1229 should be expected as fraud (e.g., phishing)
1230 may move too quickly for policies to fully document rules.
1231 </p>
1232
1233 <h4><a name="p3.1.5" id="p3.1.5">3.1.5. Uniqueness of names</a></h4>
1234
1235 <p>
1236 Uniqueness of Names within certificates is not guaranteed.
1237 Each certificate has a unique serial number which maps
1238 to a unique account, and thus maps to a unique Member.
1239 See the Assurance Statement within Assurance Policy
1240 (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>).
1241 </p>
1242
1243 <p>
1244 Domain names and email address
1245 can only be registered to one Member.
1246 </p>
1247
1248 <h4><a name="p3.1.6" id="p3.1.6">3.1.6. Recognition, authentication, and role of trademarks</a></h4>
1249
1250 <p>
1251 Organisation Assurance Policy
1252 (<a href="http://www.cacert.org/policy/OrganisationAssurancePolicy.php">COD11</a>)
1253 controls issues such as trademarks where applicable.
1254 A trademark can be disputed by filing a dispute.
1255 See
1256 <a href="#adr">&sect;9.13</a>.
1257 </p>
1258
1259 <h4><a name="p3.1.7" id="p3.1.7">3.1.7. International Domain Names</a></h4>
1260
1261 <p>
1262 Certificates containing International Domain Names, being those containing a
1263 ACE prefix (<a href="http://www.ietf.org/rfc/rfc3490#section-5">RFC3490
1264 Section 5</a>), will only be issued to domains satisfying one or more
1265 of the following conditions:
1266 <ul>
1267 <li>The Top Level Domain (TLD) Registrar associated with the domain has a policy
1268 that has taken measures to prevent two homographic domains being registered to
1269 different entities down to an accepted level.
1270 </li>
1271 <li>Domains contain only code points from a single unicode character script,
1272 excluding the "Common" script, with the additionally allowed numberic
1273 characters [0-9], and an ACSII hyphen '-'.
1274 </li>
1275 </ul>
1276 </p>
1277
1278 <p>Email address containing International Domain Names in the domain portion of
1279 the email address will also be required to satisfy one of the above conditions.
1280 </p>
1281
1282 <p>
1283 The following is a list of accepted TLD Registrars:
1284 <table>
1285
1286 <tr>
1287 <td>.ac</td>
1288 <td><a href="http://www.nic.ac/">Registry</a></td>
1289 <td><a href="http://www.nic.ac/pdf/AC-IDN-Policy.pdf">Policy</a></td>
1290 </tr>
1291 <tr>
1292 <td>.ar</td>
1293
1294 <td><a href="http://www.nic.ar/">Registry</a></td>
1295 <td><a href="http://www.nic.ar/616.html">Policy</a></td>
1296 </tr>
1297 <tr>
1298 <td>.at</td>
1299 <td><a href="http://www.nic.at/">Registry</a></td>
1300 <td><a href="http://www.nic.at/en/service/legal_information/registration_guidelines/">Policy</a> (<a href="http://www.nic.at/en/service/technical_information/idn/charset_converter/">character list</a>)</td>
1301
1302 </tr>
1303 <tr>
1304 <td>.biz</td>
1305 <td><a href="http://www.neustarregistry.biz/">Registry</a></td>
1306 <td><a href="http://www.neustarregistry.biz/products/idns">Policy</a></td>
1307 </tr>
1308 <tr>
1309
1310 <td>.br</td>
1311 <td><a href="http://registro.br/">Registry</a></td>
1312 <td><a href="http://registro.br/faq/faq6.html">Policy</a></td>
1313 </tr>
1314 <tr>
1315 <td>.cat</td>
1316 <td><a href="http://www.domini.cat/">Registry</a></td>
1317
1318 <td><a href="http://www.domini.cat/normativa/en_normativa_registre.html">Policy</a></td>
1319 </tr>
1320 <tr>
1321 <td>.ch</td>
1322 <td><a href="http://www.switch.ch/id/">Registry</a></td>
1323 <td><a href="http://www.switch.ch/id/terms/agb.html#anhang1">Policy</a></td>
1324 </tr>
1325
1326 <tr>
1327 <td>.cl</td>
1328 <td><a href="http://www.nic.cl/">Registry</a></td>
1329 <td><a href="http://www.nic.cl/CL-IDN-policy.html">Policy</a></td>
1330 </tr>
1331 <tr>
1332 <td>.cn</td>
1333
1334 <td><a href="http://www.cnnic.net.cn/">Registry</a></td>
1335 <td><a href="http://www.faqs.org/rfcs/rfc3743.html">Policy</a> (JET Guidelines)</td>
1336 </tr>
1337 <tr>
1338 <td>.de</td>
1339 <td><a href="http://www.denic.de/">Registry</a></td>
1340
1341 <td><a href="http://www.denic.de/en/richtlinien.html">Policy</a></td>
1342 </tr>
1343 <tr>
1344 <td>.dk</td>
1345 <td><a href="http://www.dk-hostmaster.dk/">Registry</a></td>
1346 <td><a href="http://www.dk-hostmaster.dk/index.php?id=151">Policy</a></td>
1347 </tr>
1348
1349 <tr>
1350 <td>.es</td>
1351 <td><a href="https://www.nic.es/">Registry</a></td>
1352 <td><a href="https://www.nic.es/media/2008-12/1228818323935.pdf">Policy</a></td>
1353 </tr>
1354 <tr>
1355 <td>.fi</td>
1356
1357 <td><a href="http://www.ficora.fi/">Registry</a></td>
1358 <td><a href="http://www.ficora.fi/en/index/palvelut/fiverkkotunnukset/aakkostenkaytto.html">Policy</a></td>
1359 </tr>
1360 <tr>
1361 <td>.gr</td>
1362 <td><a href="https://grweb.ics.forth.gr/english/index.html">Registry</a></td>
1363 <td><a href="https://grweb.ics.forth.gr/english/ENCharacterTable1.jsp">Policy</a></td>
1364
1365 </tr>
1366 <tr>
1367 <td>.hu</td>
1368 <td><a href="http://www.domain.hu/domain/">Registry</a></td>
1369 <td><a href="http://www.domain.hu/domain/English/szabalyzat.html">Policy</a> (section 2.1.2)</td>
1370 </tr>
1371
1372 <tr>
1373 <td>.info</td>
1374 <td><a href="http://www.afilias.info/">Registry</a></td>
1375 <td><a href="http://www.afilias.info/register/idn/">Policy</a></td>
1376 </tr>
1377 <tr>
1378 <td>.io</td>
1379
1380 <td><a href="http://www.nic.io">Registry</a></td>
1381 <td><a href="http://www.nic.io/IO-IDN-Policy.pdf">Policy</a></td>
1382 </tr>
1383 <tr>
1384 <td>.ir</td>
1385 <td><a href="https://www.nic.ir/">Registry</a></td>
1386 <td><a href="https://www.nic.ir/IDN">Policy</a></td>
1387
1388 </tr>
1389 <tr>
1390 <td>.is</td>
1391 <td><a href="http://www.isnic.is/">Registry</a></td>
1392 <td><a href="http://www.isnic.is/english/domain/rules.php">Policy</a></td>
1393 </tr>
1394 <tr>
1395
1396 <td>.jp</td>
1397 <td><a href="http://jprs.co.jp/">Registry</a></td>
1398 <td><a href="http://www.iana.org/assignments/idn/jp-japanese.html">Policy</a></td>
1399 </tr>
1400 <tr>
1401 <td>.kr</td>
1402 <td><a href="http://domain.nic.or.kr/">Registry</a></td>
1403
1404 <td><a href="http://www.faqs.org/rfcs/rfc3743.html">Policy</a> (JET Guidelines)</td>
1405 </tr>
1406 <tr>
1407 <td>.li</td>
1408 <td><a href="http://www.switch.ch/id/">Registry</a></td>
1409 <td><a href="http://www.switch.ch/id/terms/agb.html#anhang1">Policy</a> (managed by .ch registry)</td>
1410
1411 </tr>
1412 <tr>
1413 <td>.lt</td>
1414 <td><a href="http://www.domreg.lt/public?pg=&sp=&loc=en">Registry</a></td>
1415 <td><a href="http://www.domreg.lt/public?pg=8A7FB6&sp=idn&loc=en">Policy</a> (<a href="http://www.domreg.lt/static/doc/public/idn_symbols-en.pdf">character list</a>)</td>
1416
1417 </tr>
1418 <tr>
1419 <td>.museum</td>
1420 <td><a href="http://about.museum/">Registry</a></td>
1421 <td><a href="http://about.museum/idn/idnpolicy.html">Policy</a></td>
1422 </tr>
1423 <tr>
1424
1425 <td>.no</td>
1426 <td><a href="http://www.norid.no/">Registry</a></td>
1427 <td><a href="http://www.norid.no/domeneregistrering/veiviser.en.html">Policy</a> (section 4)</td>
1428 </tr>
1429 <tr>
1430 <td>.org</td>
1431
1432 <td><a href="http://www.pir.org/">Registry</a></td>
1433 <td><a href="http://pir.org/PDFs/ORG-Extended-Characters-22-Jan-07.pdf">Policy</a></td>
1434 </tr>
1435 <tr>
1436 <td>.pl</td>
1437 <td><a href="http://www.nask.pl/">Registry</a></td>
1438 <td><a href="http://www.dns.pl/IDN/idn-registration-policy.txt">Policy</a></td>
1439
1440 </tr>
1441 <tr>
1442 <td>.pr</td>
1443 <td><a href="https://www.nic.pr/">Registry</a></td>
1444 <td><a href="https://www.nic.pr/idn_rules.asp">Policy</a></td>
1445 </tr>
1446 <tr>
1447
1448 <td>.se</td>
1449 <td><a href="http://www.nic-se.se/">Registry</a></td>
1450 <td><a href="http://www.iis.se/en/domaner/internationaliserad-doman-idn/">Policy</a> (<a href="http://www.iis.se/docs/teckentabell-03.pdf">character list</a>)</td>
1451 </tr>
1452 <tr>
1453
1454 <td>.sh</td>
1455 <td><a href="http://www.nic.sh">Registry</a></td>
1456 <td><a href="http://www.nic.sh/SH-IDN-Policy.pdf">Policy</a></td>
1457 </tr>
1458 <tr>
1459 <td>.th</td>
1460 <td><a href="http://www.thnic.or.th/">Registry</a></td>
1461
1462 <td><a href="http://www.iana.org/assignments/idn/th-thai.html">Policy</a></td>
1463 </tr>
1464 <tr>
1465 <td>.tm</td>
1466 <td><a href="http://www.nic.tm">Registry</a></td>
1467 <td><a href="http://www.nic.tm/TM-IDN-Policy.pdf">Policy</a></td>
1468 </tr>
1469
1470 <tr>
1471 <td>.tw</td>
1472 <td><a href="http://www.twnic.net.tw/">Registry</a></td>
1473 <td><a href="http://www.faqs.org/rfcs/rfc3743.html">Policy</a> (JET Guidelines)</td>
1474 </tr>
1475 <tr>
1476
1477 <td>.vn</td>
1478 <td><a href="http://www.vnnic.net.vn/">Registry</a></td>
1479 <td><a href="http://www.vnnic.vn/english/5-6-300-2-2-04-20071115.htm">Policy</a> (<a href="http://vietunicode.sourceforge.net/tcvn6909.pdf">character list</a>)</td>
1480 </tr>
1481 </table>
1482 </p>
1483
1484 <p>
1485 This criteria will apply to the email address and server host name fields for all certificate types.
1486 </p>
1487
1488 <p>
1489 The CAcert Inc. Board has the authority to decide to add or remove accepted TLD Registrars on this list.
1490 </p>
1491
1492 <h3><a name="p3.2" id="p3.2">3.2. Initial Identity Verification</a></h3>
1493
1494 <p>
1495 Identity verification is controlled by the
1496 <a href="http://svn.cacert.org/CAcert/Policies/AssurancePolicy.html">
1497 Assurance Policy</a> (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>).
1498 The reader is refered to the Assurance Policy,
1499 the following is representative and brief only.
1500 </p>
1501
1502
1503 <h4><a name="p3.2.1" id="p3.2.1">3.2.1. Method to prove possession of private key</a></h4>
1504
1505 <p>
1506 CAcert uses industry-standard techniques to
1507 prove the possession of the private key.
1508 </p>
1509
1510 <p>
1511 For X.509 server certificates,
1512 the stale digital signature of the CSR is verified.
1513 For X.509 client certificates for "Netscape" browsers,
1514 SPKAC uses a challenge-response protocol
1515 to check the private key dynamically.
1516 For X.509 client certificates for "explorer" browsers,
1517 ActiveX uses a challenge-response protocol
1518 to check the private key dynamically.
1519 </p>
1520
1521 <h4><a name="p3.2.2" id="p3.2.2">3.2.2. Authentication of Individual Identity</a></h4>
1522
1523 <p>
1524 <b>Agreement.</b>
1525 An Internet user becomes a Member by agreeing to the
1526 CAcert Community Agreement
1527 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>)
1528 and registering an account on the online website.
1529 During the registration process Members are asked to
1530 supply information about themselves:
1531 </p>
1532 <ul>
1533 <li>A valid working email.
1534 </li>
1535 <li>Full Name and Date of Birth such as is
1536 found on Identity documents.
1537 </li>
1538 <li>Personal Questions used only for Password Retrieval.</li>
1539 </ul>
1540
1541 <p>
1542 The online account establishes the method of authentication
1543 for all service requests such as certificates.
1544 </p>
1545
1546 <p>
1547 <b>Assurance.</b>
1548 Each Member is assured according to Assurance Policy
1549 (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>).
1550 </p>
1551
1552 <!-- <center><a href="http://xkcd.com/364/"> <img src="http://imgs.xkcd.com/comics/responsible_behavior.png"> </a> </center> -->
1553
1554
1555
1556 <p>
1557 <b>Certificates.</b>
1558 Based on the total number of Assurance Points
1559 that a Member (Name) has, the Member
1560 can get different levels of certificates.
1561 See <a href="#p1.4.5">&sect;1.4.5</a>.
1562 See Table 3.2.b.
1563 When Members have 50 or more points, they
1564 become <i>Assured Members</i> and may then request
1565 certificates that state their Assured Name(s).
1566 </p>
1567
1568
1569 <br><br>
1570 <center>
1571
1572 <table border="1" cellpadding="5">
1573 <tr>
1574 <th>Assurance Points</th>
1575 <th>Level</th>
1576 <th>Service</th>
1577 <th>Comments</th>
1578 </tr>
1579 <tr>
1580 <td>0</td>
1581 <td>Unassured Member</td>
1582 <td>Anonymous</td>
1583 <td>Certificates with no Name, under Class 1 Root. Limited to 6 months expiry.</td>
1584 </tr>
1585 <tr>
1586 <td>1-49</td>
1587 <td>Unassured Member</td>
1588 <td>Anonymous</td>
1589 <td>Certificates with no Name under Member SubRoot. Limited to 6 months expiry.</td>
1590 </tr>
1591 <tr>
1592 <td rowspan="1">50-99</td>
1593 <td>Assured Member</td>
1594 <td>Verified</td>
1595 <td>Certificates with Verified Name for S/MIME, web servers, "digital signing."
1596 Expiry after 24 months is available.</td>
1597 </tr>
1598 <tr>
1599 <td rowspan="2">100++</td>
1600 <td rowspan="2">Assurer</td>
1601 <td>Code-signing</td>
1602 <td>Can create Code-signing certificates </td>
1603 </tr>
1604 </table>
1605
1606 <span class="figure">Table 3.2.b - How Assurance Points are used in Certificates</span>
1607
1608 </center>
1609 <br>
1610
1611
1612
1613 <h4><a name="p3.2.3" id="p3.2.3">3.2.3. Authentication of organization identity</a></h4>
1614
1615
1616 <p>
1617 Verification of organisations is delegated by
1618 the Assurance Policy to the
1619 Organisation Assurance Policy
1620 (<a href="http://www.cacert.org/policy/OrganisationAssurancePolicy.php">COD11</a>).
1621 The reader is refered to the Organisation Assurance Policy,
1622 the following is representative and brief only.
1623 </p>
1624
1625 <p>
1626 Organisations present special challenges.
1627 The Assurance process for Organisations is
1628 intended to permit the organisational Name to
1629 appear in certificates.
1630 The process relies heavily on the Individual
1631 process described above.
1632 </p>
1633
1634 <p>
1635 Organisation Assurance achieves the standard
1636 stated in the OAP, briefly presented here:
1637 </p>
1638
1639 <ol type="a"><li>
1640 the organisation exists,
1641 </li><li>
1642 the organisation name is correct and consistent,
1643 </li><li>
1644 signing rights: requestor can sign on behalf of the organisation, and
1645 </li><li>
1646 the organisation has agreed to the terms of the
1647 CAcert Community Agreement
1648 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>),
1649 and is therefore subject to Arbitration.
1650 </li></ol>
1651
1652 <ul class="error">
1653 <li> As of the current time of writing, OA lacks critical documentation and there are bugs identified with no response.</li>
1654 <li> <a href="http://wiki.cacert.org/wiki/PolicyDrafts/OrganisationAssurance">documented bugs</a>. </li>
1655 <li> Therefore Organisations will not participate in the current audit cycle of roots. </li>
1656 <li> See <a href="http://wiki.cacert.org/wiki/OrganisationAssurance">wiki</a> for any progress on this. </li>
1657 </ul>
1658
1659
1660 <h4><a name="p3.2.4" id="p3.2.4">3.2.4. Non-verified subscriber information</a></h4>
1661
1662 <p>
1663 All information in the certificate is verified,
1664 see Relying Party Statement, &sect;4.5.2.
1665 </p>
1666
1667
1668 <h4><a name="p3.2.5" id="p3.2.5">3.2.5. Validation of authority</a></h4>
1669
1670 <p>
1671 The authorisation to obtain a certificate is established as follows:
1672 </p>
1673
1674 <p>
1675 <b>Addresses.</b>
1676 The member claims authority over a domain or email address
1677 when adding the address, <a href="#p4.1.2">&sect;4.1.2</a>.
1678 (Control is tested by means described in <a href="#p4.2.2">&sect;4.2.2</a>.)
1679 </p>
1680
1681 <p>
1682 <b>Individuals.</b>
1683 The authority to participate as a Member is established
1684 by the CAcert Community Agreement
1685 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>).
1686 Assurances are requested by means of the signed CAP form.
1687 </p>
1688
1689 <p>
1690 <b>Organisations.</b>
1691 The authority for Organisation Assurance is established
1692 in the COAP form, as signed by an authorised representative
1693 of the organisation.
1694 The authority for the
1695 Organisation Administrator
1696 (O-Admin) is also established on the
1697 COAP form.
1698 See Organisation Assurance Policy.
1699 </p>
1700
1701
1702 <h4><a name="p3.2.6" id="p3.2.6">3.2.6. Criteria for interoperation</a></h4>
1703
1704 <p>
1705 CAcert does not currently issue certificates to subordinate CAs
1706 or other PKIs.
1707 Other CAs may become Members, and are then subject to the
1708 same reliance provisions as all Members.
1709 </p>
1710
1711 <h3><a name="p3.3" id="p3.3">3.3. Re-key Requests</a></h3>
1712
1713 <p>
1714 Via the Member's account.
1715 </p>
1716
1717 <h3><a name="p3.4" id="p3.4">3.4. Revocations Requests</a></h3>
1718
1719 <p>
1720 Via the Member's account.
1721 In the event that the Member has lost the password,
1722 or similar, the Member emails the support team who
1723 either work through the lost-password questions
1724 process or file a dispute.
1725 </p>
1726
1727
1728
1729 <!-- *************************************************************** -->
1730 <h2><a name="p4" id="p4">4. CERTIFICATE LIFE-CYCLE OPERATIONAL REQUIREMENTS</a></h2>
1731
1732 <p>
1733 The general life-cycle for a new certificate for an Individual Member is:
1734
1735 <ol><li>
1736 Member adds claim to an address (domain/email).
1737 </li><li>
1738 System probes address for control.
1739 </li><li>
1740 Member creates key pair.
1741 </li><li>
1742 Member submits CSR with desired options (Anonymous Certificate, SSO, Root Certificate) .
1743 </li><li>
1744 System validates and accepts CSR based on
1745 known information: claims, assurance, controls, technicalities.
1746 </li><li>
1747 System signs certificate.
1748 </li><li>
1749 System makes signed certificate available to Member.
1750 </li><li>
1751 Member accepts certificate.
1752 </li></ol>
1753
1754 </p>
1755
1756 <p>
1757 (Some steps are not applicable, such as anonymous certificates.)
1758 </p>
1759
1760
1761 <h3><a name="p4.1" id="p4.1">4.1. Certificate Application</a></h3>
1762
1763 <h4><a name="p4.1.1" id="p4.1.1">4.1.1. Who can submit a certificate application</a></h4>
1764
1765 <p>
1766 Members may submit certificate applications.
1767 On issuance of certificates, Members become Subscribers.
1768 </p>
1769
1770 <h4><a name="p4.1.2" id="p4.1.2">4.1.2. Adding Addresses</a></h4>
1771
1772 <p>
1773 The Member can claim ownership or authorised control of
1774 a domain or email address on the online system.
1775 This is a necessary step towards issuing a certificate.
1776 There are these controls:
1777 <ul><li>
1778 The claim of ownership or control is legally significant
1779 and may be referred to dispute resolution.
1780 </li><li>
1781 Each unique address can be handled by one account only.
1782 </li><li>
1783 When the Member makes the claim,
1784 the certificate application system automatically initiates the
1785 check of control, as below.
1786 </li></ul>
1787 </p>
1788
1789 <h4><a name="p4.1.3" id="p4.1.3">4.1.3. Preparing CSR </a></h4>
1790
1791 <p>
1792 Members generate their own key-pairs.
1793 The CAcert Community Agreement
1794 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>)
1795 obliges the Member as responsible for security.
1796 See CCA2.5, &sect;9.6.
1797 </p>
1798
1799 <p>
1800 The Certificate Signing Request (CSR) is prepared by the
1801 Member for presentation to the automated system.
1802 </p>
1803
1804 <h3><a name="p4.2" id="p4.2">4.2. Certificate application processing</a></h3>
1805
1806 <!-- states what a CA does on receipt of the request -->
1807
1808 <p>
1809 The CA's certificate application process is completely automated.
1810 Requests, approvals and rejections are handled by the website system.
1811 Each application should be processed in less than a minute.
1812 </p>
1813 <p>
1814 Where certificates are requested for more than one
1815 purpose, the requirements for each purpose must be
1816 fulfilled.
1817 </p>
1818
1819 <!-- all sub headings in 4.2 are local, not from Chokhani. -->
1820
1821 <h4><a name="p4.2.1" id="p4.2.1">4.2.1. Authentication </a></h4>
1822
1823 <p>
1824 The Member logs in to her account on the CAcert website
1825 and thereby authenticates herself with username
1826 and passphrase or with her CAcert client-side digital certificate.
1827 </p>
1828
1829 <h4><a name="p4.2.2" id="p4.2.2">4.2.2. Verifying Control</a></h4>
1830
1831 <p>
1832 In principle, at least two controls are placed on each address.
1833 </p>
1834
1835 <p>
1836 <b><a name="ping">Email-Ping</a>.</b>
1837 Email addresses are verified by means of an
1838 <i><a name="ping">Email-Ping test</a></i>:
1839 </p>
1840
1841 <ul><li>
1842 The system generates a cookie
1843 (a random, hard-to-guess code)
1844 and formats it as a string.
1845 </li><li>
1846 The system sends the cookie
1847 to the Member in an email.
1848 </li><li>
1849 Once the Member receives the email,
1850 she enters the cookie into the website.
1851 </li><li>
1852 The entry of the code verifies
1853 control of that email account.
1854 </li></ul>
1855
1856 <p>
1857 <b><a name="email">Email Control</a>.</b>
1858 Email addresses for client certificates are verified by passing the
1859 following checks:
1860 </p>
1861 <ol>
1862 <li>An Email-ping test
1863 is done on the email address.
1864 </li>
1865 <li>The Member must have signed a CAP form or equivalent,
1866 and been awarded at least one Assurance point.
1867 </li>
1868 </ol>
1869
1870 <p>
1871 <b><a name="domain">Domain Control</a>.</b>
1872 Domains addresses for server certificates are verified by passing two of the
1873 following checks:
1874 </p>
1875 <ol> <li>
1876 An Email-ping test
1877 is done on an email address chosen from <i>whois</i>
1878 or interpolated from the domain name.
1879 </li> <li>
1880 The system generates a cookie
1881 which is then placed in DNS
1882 by the Member.
1883 </li> <li>
1884 The system generates a cookie
1885 which is then placed in HTTP headers or a text file on the website
1886 by the Member.
1887 </li> <li>
1888 Statement by at least 2 Assurers about
1889 ownership/control of the domain name.
1890 </li> <li>
1891 The system generates a cookie
1892 which is then placed in whois registry information
1893 by the Member.
1894 </li> </ol>
1895
1896 <p>
1897 Notes.
1898 <ul><li>
1899 Other methods can be added from time to time by CAcert.
1900 </li><li>
1901 Static cookies should remain for the duration of a certificate
1902 for occasional re-testing.
1903 </li><li>
1904 Dynamic tests can be repeated at a later time of CAcert's choosing.
1905 </li><li>
1906 Domain control checks may be extended to apply to email control
1907 in the future.
1908 </li></ul>
1909 </p>
1910
1911 <ul class="q">
1912 <li> As of the time of writing, only a singular Email-ping is implemented in the technical system. </li>
1913 <li> A further approved check is the 1 pt Assurance. </li>
1914 <li> Practically, this would mean that certificates can only be issued under Audit Roots to Members with 1 point. </li>
1915 <li> Criteria DRC C.7.f, A.2.q, A.2.i indicate registry whois reading. Also A.2.h. </li>
1916 <li> Current view is that this will be resolved in BirdShack. </li>
1917 </ul>
1918
1919 <h4><a name="p4.2.3" id="p4.2.3">4.2.3. Options Available</a></h4>
1920
1921 <p>
1922 The Member has options available:
1923 </p>
1924
1925 <ul>
1926 <li>Each Email address that is verified
1927 is available for Client Certificates.
1928 </li>
1929 <li>Each Domain address that is verified
1930 is available for Server Certificates.
1931 </li>
1932 <li>If the Member is unassured then only the Member SubRoot is available.
1933 </li>
1934 <li>If the Member is Assured then both Assured Member and Member SubRoots
1935 are available.
1936 </li>
1937 <li>If a Name is Assured then it may be
1938 put in a client certificate or an OpenPGP signature.
1939 </li>
1940 </ul>
1941
1942 <h4><a name="p4.2.4" id="p4.2.4">4.2.4. Client Certificate Procedures</a></h4>
1943
1944 <p>
1945 For an individual client certificate, the following is required.
1946 <ul>
1947 <li>The email address is claimed and added. </li>
1948 <li>The email address is ping-tested. </li>
1949 <li>For the Member Subroot, the Member must have
1950 at least one point of Assurance and have signed a CAP form.</li>
1951 <li>For the Assured Subroot, the Member must have
1952 at least fifty points of Assurance. </li>
1953 <li>To include a Name, the Name must be assured to at least fifty points. </li>
1954
1955 </ul>
1956 </p>
1957
1958 <h4><a name="p4.2.5" id="p4.2.5">4.2.5. Server Certificate Procedures</a></h4>
1959
1960 <p>
1961 For a server certificate, the following is required:
1962 <ul>
1963 <li>The domain is claimed and added. </li>
1964 <li>The domain is checked twice as above. </li>
1965 <li>For the Member SubRoot, the Member must have
1966 at least one point of Assurance and have signed a CAP form.</li>
1967 <li>For the Assured SubRoot, the Member must have
1968 at least fifty points of Assurance. </li>
1969 </ul>
1970
1971 </p>
1972
1973 <h4><a name="p4.2.6" id="p4.2.6">4.2.6. Code-signing Certificate Procedures</a></h4>
1974
1975 <p>
1976 Code-signing certificates are made available to Assurers only.
1977 They are processed in a similar manner to client certificates.
1978 </p>
1979
1980 <h4><a name="p4.2.7" id="p4.2.7">4.2.7. Organisation Domain Verification</a></h4>
1981
1982 <p>
1983 Organisation Domains are handled under the Organisation Assurance Policy
1984 and the Organisation Handbook.
1985 </p>
1986
1987 <ul class="q">
1988 <li> As of time of writing, there is no Handbook for Organisation Assurers or for the Organisation, and the policy needs rework; so (audit) roots will not have OA certs .... </li>
1989 <li> <a href="http://wiki.cacert.org/wiki/PolicyDrafts/OrganisationAssurance"> Drafts </a> for ongoing story. </li>
1990 </ul>
1991
1992 <h3><a name="p4.3" id="p4.3">4.3. Certificate issuance</a></h3>
1993
1994
1995 <!-- <a href="http://xkcd.com/153/"> <img align="right" src="http://imgs.xkcd.com/comics/cryptography.png"> </a> -->
1996 <h4><a name="p4.3.1" id="p4.3.1">4.3.1. CA actions during certificate issuance</a></h4>
1997
1998 <p>
1999 <b>Key Sizes.</b>
2000 Members may request keys of any size permitted by the key algorithm.
2001 Many older hardware devices require small keys.
2002 </p>
2003
2004 <p>
2005 <b>Algorithms.</b>
2006 CAcert currently only supports the RSA algorithm for X.509 keys.
2007 X.509 signing uses the SHA-1 message digest algorithm.
2008 OpenPGP Signing uses RSA signing over RSA and DSA keys.
2009
2010 </p>
2011
2012 <p>
2013 <b>Process for Certificates:</b>
2014 All details in each certificate are verified
2015 by the website issuance system.
2016 Issuance is based on a 'template' system that selects
2017 profiles for certificate lifetime, size, algorithm.
2018 </p>
2019
2020
2021 <ol><li>
2022 The CSR is verified.
2023 </li><li>
2024 Data is extracted from CSR and verified:
2025 <ul>
2026 <li> Name &sect;3.1, </li>
2027 <li> Email address <a href="#p4.2.2">&sect;4.2.2</a>, </li>
2028 <li> Domain address <a href="#p4.2.2">&sect;4.2.2</a>. </li>
2029 </ul>
2030 </li><li>
2031 Certificate is generated from template.
2032 </li><li>
2033 Data is copied from CSR.
2034 </li><li>
2035 Certificate is signed.
2036 </li><li>
2037 Certificate is stored as well as mailed.
2038 </li></ol>
2039
2040
2041 <p>
2042 <b>Process for OpenPGP key signatures:</b>
2043 All details in each Sub-ID are verified
2044 by the website issuance system.
2045 Issuance is based on the configuration that selects
2046 the profile for signature lifetime, size,
2047 algorithm following the process:
2048 </p>
2049
2050 <ol><li>
2051 The public key is verified.
2052 </li><li>
2053 Data is extracted from the key and verified (Name, Emails).
2054 Only the combinations of data in Table 4.3.1 are permitted.
2055 </li><li>
2056 OpenPGP Key Signature is generated.
2057 </li><li>
2058 Key Signature is applied to the key.
2059 </li><li>
2060 The signed key is stored as well as mailed.
2061 </li></ol>
2062
2063 <center>
2064 <table border="1" align="center" valign="top" cellpadding="5"><tbody>
2065 <tr>
2066 <td><br></td>
2067 <td>Verified Name</td>
2068 <td valign="top">Unverified Name<br></td>
2069 <td>Empty Name<br></td>
2070 </tr>
2071 <tr>
2072 <td>Verified email<br></td>
2073 <td><center> <font title="pass." color="green" size="+3"> &#10004; </font> </center></td>
2074 <td valign="top"><center> <font title="pass." color="red" size="+3"> &#10008; </font> </center></td>
2075 <td><center> <font title="pass." color="green" size="+3"> &#10004; </font> </center></td>
2076 </tr>
2077 <tr>
2078 <td>Unverified email</td>
2079 <td><center> <font title="pass." color="red" size="+3"> &#10008; </font> </center></td>
2080 <td valign="top"><center> <font title="pass." color="red" size="+3"> &#10008; </font> </center></td>
2081 <td><center> <font title="pass." color="red" size="+3"> &#10008; </font> </center></td></tr><tr><td valign="top">Empty email<br></td>
2082 <td valign="top"><center> <font title="pass." color="green" size="+3"> &#10004; </font> </center></td>
2083 <td valign="top"><center> <font title="pass." color="red" size="+3"> &#10008; </font> </center></td>
2084 <td valign="top"><center> <font title="pass." color="red" size="+3"> &#10008; </font> </center></td>
2085 </tr>
2086 </tbody></table><br>
2087
2088 <span class="figure">Table 4.3.1. Permitted Data in Signed OpenPgp Keys</span>
2089 </center>
2090
2091 <h4><a name="p4.3.2" id="p4.3.2">4.3.2. Notification to subscriber by the CA of issuance of certificate</a></h4>
2092
2093 <p>
2094 Once signed, the certificate is
2095 made available via the Member's account,
2096 and emailed to the Member.
2097 It is also archived internally.
2098 </p>
2099
2100 <h3><a name="p4.4" id="p4.4">4.4. Certificate acceptance</a></h3>
2101
2102 <h4><a name="p4.4.1" id="p4.4.1">4.4.1. Conduct constituting certificate acceptance</a></h4>
2103
2104 <p>
2105 There is no need for the Member to explicitly accept the certificate.
2106 In case the Member does not accept the certificate,
2107 the certificate has to be revoked and made again.
2108 </p>
2109
2110 <h4><a name="p4.4.2" id="p4.4.2">4.4.2. Publication of the certificate by the CA</a></h4>
2111
2112 <p>
2113 CAcert does not currently publish the issued certificates
2114 in any repository.
2115 In the event that CAcert will run a repository,
2116 the publication of certificates and signatures
2117 there will be at the Member's options.
2118 However note that certificates that are issued
2119 and delivered to the Member are presumed to be
2120 published. See &sect;2.2.
2121 </p>
2122
2123 <h4><a name="p4.4.3" id="p4.4.3">4.4.3. Notification of certificate issuance by the CA to other entities</a></h4>
2124
2125 <p>
2126 There are no external entities that are notified about issued certificates.
2127 </p>
2128
2129 <h3><a name="p4.5" id="p4.5">4.5. Key pair and certificate usage</a></h3>
2130
2131 <p>
2132 All Members (subscribers and relying parties)
2133 are obliged according to the
2134 CAcert Community Agreement
2135 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>)
2136 See especially 2.3 through 2.5.
2137 </p>
2138 <h4><a name="p4.5.1" id="p4.5.1">4.5.1. Subscriber Usage and Responsibilities</a></h4>
2139
2140 <p>
2141 Subscribers should use keys only for their proper purpose,
2142 as indicated by the certificate, or by wider agreement with
2143 others.
2144 </p>
2145
2146 <h4><a name="p4.5.2" id="p4.5.2">4.5.2. Relying Party Usage and Responsibilities</a></h4>
2147
2148
2149 <p>
2150 Relying parties (Members) may rely on the following.
2151 </p>
2152
2153 <center>
2154 <table border="1" cellpadding="25"><tr><td>
2155 <p align="center">
2156 <big><b>Relying Party Statement</b></big>
2157 <p>
2158 Certificates are issued to Members only.<br><br>
2159 All information in a certificate is verified.
2160 </p>
2161 </td></tr></table>
2162 </center>
2163
2164
2165 <p>
2166 The following notes are in addition to the Relying Party Statement,
2167 and can be seen as limitations on it.
2168 </p>
2169
2170 <h5>4.5.2.a Methods of Verification </h5>
2171 <p>
2172 The term Verification as used in the Relying Party Statement means one of
2173 </p>
2174 <table border="1" cellpadding="5"><tr>
2175 <th>Type</th><th>How</th><th>Authority</th><th>remarks</th>
2176 </tr><tr>
2177 <th>Assurance</th><td>under CAcert Assurance Programme (CAP)</td>
2178 <td>Assurance Policy</td>
2179 <td>only information assured to 50 points under CAP is placed in the certificate </td>
2180 </tr><tr>
2181 <th>Evaluation</th><td>under automated domain and email checks </td>
2182 <td>this CPS</td>
2183 <td>see &sect;4.2.2</td>
2184 </tr><tr>
2185 <th>Controlled</th><td>programs or "profiles" that check the information within the CSR </td>
2186 <td>this CPS</td>
2187 <td>see &sect;7.1</td>
2188 </tr></table>
2189
2190 <h5>4.5.2.b Who may rely</h5>
2191 <p>
2192 <b>Members may rely.</b>
2193 Relying parties are Members,
2194 and as such are bound by this CPS and the
2195 CAcert Community Agreement
2196 (<a href="http://www.cacert.org/policy/CAcertCommunityAgreement.php">COD9</a>).
2197 The licence and permission to rely is not assignable.
2198 </p>
2199
2200 <p>
2201 <b>Suppliers of Software.</b>
2202 CAcert roots may be distributed in software,
2203 and those providers may
2204 enter into agreement with CAcert by means of the
2205 Third Party Vendor - Disclaimer and Licence
2206 (wip).
2207 This licence brings the supplier in to the Community
2208 to the extent that <span class="q"> ...WIP comment:</span>
2209 they agree to dispute resolution
2210 within CAcert's forum.
2211 </p>
2212
2213 <ul class="q">
2214 <li> Just exactly what the 3PV-DaL says is unclear.</li>
2215 <li> The document itself is more a collection of ideas.</li>
2216 </ul>
2217
2218
2219 <p>
2220 <b>NRPs may not rely.</b>
2221 If not related to CAcert by means of an agreement
2222 that binds the parties to dispute resolution within CAcert's forum,
2223 a person is a Non-Related-Person (NRP).
2224 An NRP is not permitted to rely and is not a Relying Party.
2225 For more details, see the
2226 NRP - Disclaimer and Licence (<a href="http://www.cacert.org/policy/NRPDisclaimerAndLicence.php">COD4</a>).
2227 </p>
2228
2229 <h5>4.5.2.c The Act of Reliance </h5>
2230
2231 <p>
2232 <b>Decision making.</b>
2233 Reliance means taking a decision that is in part or in whole
2234 based on the information in the certificate.
2235
2236 A Relying Party may incorporate
2237 the information in the certificate,
2238 and the implied information such as Membership,
2239 into her decision-making.
2240 In making a decision,
2241 a Relying Party should also:
2242 </p>
2243
2244 <ul><li>
2245 include her own overall risk equation,
2246 </li><li>
2247 include the general limitations of the Assurance process,
2248 certificates, and wider security considerations,
2249 </li><li>
2250 make additional checks to provide more information,
2251 </li><li>
2252 consider any wider agreement with the other Member, and
2253 </li><li>
2254 use an appropriate protocol or custom of reliance (below).
2255 </li></ul>
2256
2257 <p>
2258 <b>Examining the Certificate.</b>
2259 A Relying Party must make her own decision in using
2260 each certificate. She must examine the certificate,
2261 a process called <i>validation</i>.
2262 Certificate-related information includes,
2263 but is not limited to:
2264 </p>
2265 <ul><li>
2266 Name,
2267 </li><li>
2268 expiry time of certificate,
2269 </li><li>
2270 current certificate revocation list (CRL),
2271 </li><li>
2272 certificate chain and
2273 the validity check of the certificates in the chain,
2274 </li><li>
2275 issuer of certificate (CAcert),
2276 </li><li>
2277 SubRoot is intended for reliance (Assured, Organisation and Class 3)
2278 </li><li>
2279 purpose of certificate.
2280 </li></ul>
2281
2282 <p>
2283 <b>Keeping Records.</b>
2284 Records should be kept, appropriate to the import of the decision.
2285 The certificate should be preserved.
2286 This should include sufficient
2287 evidence to establish who the parties are
2288 (especially, the certificate relied upon),
2289 to establish the transaction in question,
2290 and to establish the wider agreement that
2291 defines the act.
2292 </p>
2293
2294 <p>
2295 <b>Wider Protocol.</b>
2296 In principle, reliance will be part of a wider protocol
2297 (customary method in reaching and preserving agreement)
2298 that presents and preserves sufficient of the evidence
2299 for dispute resolution under CAcert's forum of Arbitration.
2300 The protocol should be agreed amongst the parties,
2301 and tuned to the needs.
2302 This CPS does not define any such protocol.
2303 In the absence of such a protocol, reliance will be weakened;
2304 a dispute without sufficient evidence may be dismissed by an Arbitrator.
2305 </p>
2306
2307 <p>
2308 <b>As Compared to Usage</b>.
2309 Reliance goes beyond Usage. The latter is limited to
2310 letting the software act as the total and only Validation
2311 Authority. When relying, the Member also augments
2312 the algorithmic processing of the software with her own
2313 checks of the business, technical and certificate aspect.
2314 </p>
2315
2316 <h5>4.5.2.d Risks and Limitations of Reliance </h5>
2317 <p>
2318 <b>Roots and Naming.</b>
2319 Where the Class 1 root is used,
2320 this Subscriber may be a new Member
2321 including one with zero points.
2322 Where the Name is not provided,
2323 this indicates it is not available.
2324 In these circumstances,
2325 reliance is not defined,
2326 and Relying parties should take more care.
2327 See Table 4.5.2.
2328 </p>
2329
2330 <center>
2331 <table border="1" cellpadding="5">
2332 <tr>
2333 <td></td>
2334 <td colspan="4"><center><i>Statements of Reliance for Members</center></i></td>
2335 </tr>
2336 <tr>
2337 <td><i>Class of Root</i></td>
2338 <td><center><b>Anonymous</b><br>(all Members)</center></td>
2339 <td><center><b>Named</b><br>(Assured Members only)</center></td>
2340 </tr>
2341 <tr>
2342 <td><center>Class<br><big><b>1</b></big></center></td>
2343 <td rowspan="2" bgcolor="red">
2344 <b>Do not rely.</b><BR>
2345 Relying party must use other methods to check. </td>
2346 <td rowspan="2" bgcolor="orange">
2347 Do not rely.
2348 Although the named Member has been Assured by CAcert,
2349 reliance is not defined with Class 1 root.<BR>
2350 (issued for compatibility only).</td>
2351 </tr>
2352 <tr>
2353 <td><center><big><b>Member</b></big><br>SubRoot</center></td>
2354 </tr>
2355 <tr>
2356 <td><center>Class<br><big><b>3</b></big></center></td>
2357 <td rowspan="2" bgcolor="orange">
2358 Do not rely on the Name (being available).
2359 The Member has been Assured by CAcert,
2360 but reliance is undefined.</td>
2361 <td rowspan="2">
2362 The Member named in the certificate has been Assured by CAcert.</td>
2363 </tr>
2364 <tr>
2365 <td><center><big><b>Assured</b></big><br>SubRoot</center></td>
2366 </tr>
2367 </table>
2368
2369 <span class="figure">Table 4.5.2. Statements of Reliance</span>
2370 </center>
2371
2372 <p>
2373 <b>Software Agent.</b>
2374 When relying on a certificate, relying parties should
2375 note that your software is responsible for the way it
2376 shows you the information in a certificate.
2377 If your software agent hides parts of the information,
2378 your sole remedy may be to choose another software agent.
2379 </p>
2380
2381 <p>
2382 <b>Malware.</b>
2383 When relying on a certificate, relying parties should
2384 note that platforms that are vulnerable to viruses or
2385 trojans or other weaknesses may not process any certificates
2386 properly and may give deceptive or fraudulent results.
2387 It is your responsibility to ensure you are using a platform
2388 that is secured according to the needs of the application.
2389 </p>
2390
2391 <h5>4.5.2.e When something goes wrong </h5>
2392 <p>
2393 In the event that an issue arises out of the Member's reliance,
2394 her sole avenue is <b>to file dispute under DRP</b>.
2395 See <a href="#p9.13">&sect;9.13</a>.
2396 <!-- DRC_A&sect;A.4.d -->
2397 For this purpose, the certificate (and other evidence) should be preserved.
2398 </p>
2399
2400 <p>
2401 <b>Which person?</b>
2402 Members may install certificates for other individuals or in servers,
2403 but the Member to whom the certificate is issued
2404 remains the responsible person.
2405 E.g., under Organisation Assurance, an organisation is issued
2406 a certificate for the use by individuals
2407 or servers within that organisation,
2408 but the Organisation is the responsible person.
2409 </p>
2410
2411 <!-- <a href="http://xkcd.com/424/"> <img align="right" src="http://imgs.xkcd.com/comics/security_holes.png"> </a> -->
2412 <p>
2413 <b>Software Agent.</b>
2414 If a Member is relying on a CAcert root embedded in
2415 the software as supplied by a vendor,
2416 the risks, liabilities and obligations of the Member
2417 do not automatically transfer to the vendor.
2418 </p>
2419
2420 <h3><a name="p4.6" id="p4.6">4.6. Certificate renewal</a></h3>
2421
2422 <p>
2423 A certificate can be renewed at any time.
2424 The procedure of certificate renewal is the same
2425 as for the initial certificate issuance.
2426 </p>
2427
2428 <h3><a name="p4.7" id="p4.7">4.7. Certificate re-key</a></h3>
2429
2430 <p>
2431 Certificate "re-keyings" are not offered nor supported.
2432 A new certificate with a new key has to be requested and issued instead,
2433 and the old one revoked.
2434 </p>
2435
2436 <h3><a name="p4.8" id="p4.8">4.8. Certificate modification</a></h3>
2437
2438 <p>
2439 Certificate "modifications" are not offered nor supported.
2440 A new certificate has to be requested and issued instead.
2441 </p>
2442
2443 <h3><a name="p4.9" id="p4.9">4.9. Certificate revocation and suspension</a></h3>
2444
2445 <h4><a name="p4.9.1" id="p4.9.1">4.9.1. Circumstances for revocation</a></h4>
2446 <p>
2447 Certificates may be revoked under the following circumstances:
2448 </p>
2449
2450 <ol><li>
2451 As initiated by the Subscriber through her online account.
2452 </li><li>
2453 As initiated in an emergency action by a
2454 support team member.
2455 Such action will immediately be referred to dispute resolution
2456 for ratification.
2457 </li><li>
2458 Under direction from the Arbitrator in a duly ordered ruling
2459 from a filed dispute.
2460 </li></ol>
2461
2462 <p>
2463 These are the only three circumstances under which a
2464 revocation occurs.
2465 </p>
2466
2467 <h4><a name="p4.9.2" id="p4.9.2">4.9.2. Who can request revocation</a></h4>
2468
2469 <p>
2470 As above.
2471 </p>
2472
2473 <h4><a name="p4.9.3" id="p4.9.3">4.9.3. Procedure for revocation request</a></h4>
2474 <p>
2475 The Subscriber logs in to her online account through
2476 the website at http://www.cacert.org/ .
2477 </p>
2478
2479 <p>
2480 In any other event such as lost passwords or fraud,
2481 a dispute should be filed
2482 by email at
2483 &lt; support AT cacert DOT org &gt;
2484 </p>
2485
2486 <h4><a name="p4.9.4" id="p4.9.4">4.9.4. Revocation request grace period</a></h4>
2487
2488 <p>No stipulation.</p>
2489
2490 <h4><a name="p4.9.5" id="p4.9.5">4.9.5. Time within which CA must process the revocation request</a></h4>
2491
2492 <p>
2493 The revocation automated in the Web Interface for subscribers,
2494 and is handled generally in less than a minute.
2495 </p>
2496
2497 <p>
2498 A filed dispute that requests a revocation should be handled
2499 within a five business days, however the Arbitrator has discretion.
2500 </p>
2501
2502 <h4><a name="p4.9.6" id="p4.9.6">4.9.6. Revocation checking requirement for relying parties</a></h4>
2503
2504 <p>
2505 Each revoked certificate is recorded in the
2506 certificate revocation list (CRL).
2507 Relying Parties must check a certificate against
2508 the most recent CRL issued, in order to validate
2509 the certificate for the intended reliance.
2510 </p>
2511
2512 <h4><a name="p4.9.7" id="p4.9.7">4.9.7. CRL issuance frequency (if applicable)</a></h4>
2513
2514 <p>
2515 A new CRL is issued after every certificate revocation.
2516 </p>
2517
2518 <h4><a name="p4.9.8" id="p4.9.8">4.9.8. Maximum latency for CRLs (if applicable)</a></h4>
2519
2520 <p>
2521 The maximum latency between revocation and issuance of the CRL is 1 hour.
2522 </p>
2523
2524 <h4><a name="p4.9.9" id="p4.9.9">4.9.9. On-line revocation/status checking availability</a></h4>
2525
2526 <p>
2527 OCSP is available at
2528 http://ocsp.cacert.org/ .
2529 </p>
2530
2531 <h4><a name="p4.9.10" id="p4.9.10">4.9.10. On-line revocation checking requirements</a></h4>
2532 <p>
2533 Relying parties must check up-to-date status before relying.
2534 </p>
2535
2536 <h4><a name="p4.9.11" id="p4.9.11">4.9.11. Other forms of revocation advertisements available</a></h4>
2537 <p>
2538 None.
2539 </p>
2540
2541 <h4><a name="p4.9.12" id="p4.9.12">4.9.12. Special requirements re key compromise</a></h4>
2542 <p>
2543 Subscribers are obliged to revoke certificates at the earliest opportunity.
2544 </p>
2545
2546 <h4><a name="p4.9.13" id="p4.9.13">4.9.13. Circumstances for suspension</a></h4>
2547
2548 <p>
2549 Suspension of certificates is not available.
2550 </p>
2551
2552 <h4><a name="p4.9.14" id="p4.9.14">4.9.14. Who can request suspension</a></h4>
2553 <p>
2554 Not applicable.
2555 </p>
2556
2557 <h4><a name="p4.9.15" id="p4.9.15">4.9.15. Procedure for suspension request</a></h4>
2558 <p>
2559 Not applicable.
2560 </p>
2561
2562 <h4><a name="p4.9.16" id="p4.9.16">4.9.16. Limits on suspension period</a></h4>
2563 <p>
2564 Not applicable.
2565 </p>
2566
2567
2568
2569 <h3><a name="p4.10" id="p4.10">4.10. Certificate status services</a></h3>
2570
2571 <h4><a name="p4.10.1" id="p4.10.1">4.10.1. Operational characteristics</a></h4>
2572 <p>
2573 OCSP is available
2574 at http://ocsp.cacert.org/ .
2575 </p>
2576
2577 <h4><a name="p4.10.2" id="p4.10.2">4.10.2. Service availability</a></h4>
2578
2579 <p>
2580 OCSP is made available on an experimental basis.
2581 </p>
2582
2583 <h4><a name="p4.10.3" id="p4.10.3">4.10.3. Optional features</a></h4>
2584
2585 <p>
2586 No stipulation.
2587 </p>
2588
2589 <h3><a name="p4.11" id="p4.11">4.11. End of subscription</a></h3>
2590
2591 <p>
2592 Certificates include expiry dates.
2593 </p>
2594
2595 <h3><a name="p4.12" id="p4.12">4.12. Key escrow and recovery</a></h3>
2596
2597 <h4><a name="p4.12.1" id="p4.12.1">4.12.1. Key escrow and recovery policy and practices</a></h4>
2598
2599 <p>
2600 CAcert does not generate nor escrow subscriber keys.
2601 </p>
2602
2603 <h4><a name="p4.12.2" id="p4.12.2">4.12.2. Session key encapsulation and recovery policy and practices</a></h4>
2604
2605 <p>
2606 No stipulation.
2607 </p>
2608
2609
2610
2611 <!-- *************************************************************** -->
2612 <h2><a name="p5" id="p5">5. FACILITY, MANAGEMENT, AND OPERATIONAL CONTROLS</a></h2>
2613
2614 <!-- <a href="http://xkcd.com/87/"> <img align="right" src="http://imgs.xkcd.com/comics/velociraptors.jpg"> </a> -->
2615
2616 <h3><a name="p5.1" id="p5.1">5.1. Physical controls</a></h3>
2617
2618 <p>
2619 Refer to Security Policy (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>)
2620 <ul><li>
2621 Site location and construction - SP2.1
2622 </li><li>
2623 Physical access - SP2.3
2624 </li></ul>
2625 </p>
2626
2627
2628 <h4><a name="p5.1.3" id="p5.1.3">5.1.3. Power and air conditioning</a></h4>
2629 <p>
2630 Refer to Security Policy 2.1.2 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>)
2631 </p>
2632 <h4><a name="p5.1.4" id="p5.1.4">5.1.4. Water exposures</a></h4>
2633 <p>
2634 Refer to Security Policy 2.1.4 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>)
2635 </p>
2636 <h4><a name="p5.1.5" id="p5.1.5">5.1.5. Fire prevention and protection</a></h4>
2637 <p>
2638 Refer to Security Policy 2.1.4 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>)
2639 </p>
2640 <h4><a name="p5.1.6" id="p5.1.6">5.1.6. Media storage</a></h4>
2641 <p>
2642 Refer to Security Policy 4.3 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>)
2643 </p>
2644 <h4><a name="p5.1.7" id="p5.1.7">5.1.7. Waste disposal</a></h4>
2645 <p>
2646 No stipulation.
2647 </p>
2648 <h4><a name="p5.1.8" id="p5.1.8">5.1.8. Off-site backup</a></h4>
2649 <p>
2650 Refer to Security Policy 4.3 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>)
2651 </p>
2652
2653 <h3><a name="p5.2" id="p5.2">5.2. Procedural controls</a></h3>
2654
2655 <h4><a name="p5.2.1" id="p5.2.1">5.2.1. Trusted roles</a></h4>
2656
2657 <ul>
2658 <li><b> Technical teams:</b>
2659 <ul>
2660 <li>User support personnel</li>
2661 <li>Systems Administrators -- critical and non-critical</li>
2662 <li>Softare Developers</li>
2663 <li>controllers of keys</li>
2664 </ul>
2665 Refer to Security Policy 9.1 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>)
2666
2667 </li>
2668
2669 <li><b>Assurance:</b>
2670 <ul>
2671 <li>Assurers</li>
2672 <li> Any others authorised under COD13 </li>
2673 </ul>
2674 Refer to Assurance Policy (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>)
2675 </li>
2676
2677 <li><b>Governance:</b>
2678 <ul>
2679 <li>Directors (members of the CAcert Inc. committee, or "Board") </li>
2680 <li>Internal Auditor</li>
2681 <li>Arbitrator</li>
2682 </ul>
2683 </li>
2684 </ul>
2685
2686
2687 <h4><a name="p5.2.2" id="p5.2.2">5.2.2. Number of persons required per task</a></h4>
2688 <p>
2689 CAcert operates to the principles of <i>four eyes</i> and <i>dual control</i>.
2690 All important roles require a minimum of two persons.
2691 The people may be tasked to operate
2692 with an additional person observing (<i>four eyes</i>),
2693 or with two persons controlling (<i>dual control</i>).
2694 </p>
2695
2696 <h4><a name="p5.2.3" id="p5.2.3">5.2.3. Identification and authentication for each role</a></h4>
2697
2698 <p>
2699 All important roles are generally required to be assured
2700 at least to the level of Assurer, as per AP.
2701 Refer to Assurance Policy (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>).
2702 </p>
2703
2704 <p>
2705 <b>Technical.</b>
2706 Refer to Security Policy 9.1 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>).
2707 </p>
2708
2709 <h4><a name="p5.2.4" id="p5.2.4">5.2.4. Roles requiring separation of duties</a></h4>
2710
2711 <p>
2712 Roles strive in general for separation of duties, either along the lines of
2713 <i>four eyes principle</i> or <i>dual control</i>.
2714 </p>
2715
2716 <h3><a name="p5.3" id="p5.3">5.3. Personnel controls</a></h3>
2717
2718 <h4><a name="p5.3.1" id="p5.3.1">5.3.1. Qualifications, experience, and clearance requirements</a></h4>
2719
2720 <center>
2721 <table border="1" cellpadding="5">
2722 <tr>
2723 <td><b>Role</b></td> <td><b>Policy</b></td> <td><b>Comments</b></td>
2724 </tr><tr>
2725 <td>Assurer</td>
2726 <td><a href="http://www.cacert.org/policy/AssurancePolicy.php"> COD13</td>
2727 <td>
2728 Passes Challenge, Assured to 100 points.
2729 </td>
2730 </tr><tr>
2731 <td>Organisation Assurer</td>
2732 <td><a href="http://www.cacert.org/policy/OrganisationAssurancePolicy.php">COD11</a></td>
2733 <td>
2734 Trained and tested by two supervising OAs.
2735 </td>
2736 </tr><tr>
2737 <td>Technical</td>
2738 <td>SM => COD08</td>
2739 <td>
2740 Teams responsible for testing.
2741 </td>
2742 </tr><tr>
2743 <td>Arbitrator</td>
2744 <td><a href="http://www.cacert.org/policy/DisputeResolutionPolicy.php">COD7</a></td>
2745 <td>
2746 Experienced Assurers.
2747 </td>
2748 </tr>
2749 </table>
2750
2751 <span class="figure">Table 5.3.1. Controls on Roles</span>
2752 </center>
2753
2754
2755 <h4><a name="p5.3.2" id="p5.3.2">5.3.2. Background check procedures</a></h4>
2756
2757 <p>
2758 Refer to Security Policy 9.1.3 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>).
2759 </p>
2760 <!-- <a href="http://xkcd.com/538/"> <img align="right" src="http://imgs.xkcd.com/comics/security.png"> </a> -->
2761
2762 <h4><a name="p5.3.3" id="p5.3.3">5.3.3. Training requirements</a></h4>
2763 <p>No stipulation.</p>
2764 <h4><a name="p5.3.4" id="p5.3.4">5.3.4. Retraining frequency and requirements</a></h4>
2765 <p>No stipulation.</p>
2766
2767 <h4><a name="p5.3.5" id="p5.3.5">5.3.5. Job rotation frequency and sequence</a></h4>
2768 <p>No stipulation.</p>
2769
2770 <h4><a name="p5.3.6" id="p5.3.6">5.3.6. Sanctions for unauthorized actions</a></h4>
2771 <p>
2772 Any actions that are questionable
2773 - whether uncertain or grossly negligent -
2774 may be filed as a dispute.
2775 The Arbitrator has wide discretion in
2776 ruling on loss of points, retraining,
2777 or termination of access or status.
2778 Refer to DRP.
2779 </p>
2780
2781 <h4><a name="p5.3.7" id="p5.3.7">5.3.7. Independent contractor requirements</a></h4>
2782 <p>No stipulation.</p>
2783
2784 <h4><a name="p5.3.8" id="p5.3.8">5.3.8. Documentation supplied to personnel</a></h4>
2785 <p>No stipulation.</p>
2786
2787 <h3><a name="p5.4" id="p5.4">5.4. Audit logging procedures</a></h3>
2788
2789 <p>
2790 Refer to Security Policy 4.2, 5 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>).
2791 </p>
2792
2793 <h3><a name="p5.5" id="p5.5">5.5. Records archival</a></h3>
2794 <p>
2795 The standard retention period is 7 years.
2796 Once archived, records can only be obtained and verified
2797 by means of a filed dispute.
2798 Following types of records are archived:
2799 </p>
2800
2801 <center>
2802 <table border="1" cellpadding="5">
2803 <tr>
2804 <td><b>Record</b></td>
2805 <td><b>Nature</b></td>
2806 <td><b>Exceptions</b></td>
2807 <td><b>Documentation</b></td>
2808 </tr>
2809 <tr>
2810 <td>Member</td>
2811 <td>username, primary and added addresses, security questions, Date of Birth</td>
2812 <td>resigned non-subscribers: 0 years.</td>
2813 <td>Security Policy and Privacy Policy</td>
2814 </tr>
2815 <tr>
2816 <td>Assurance</td>
2817 <td>CAP forms</td>
2818 <td>"at least 7 years."<br> as per subsidiary policies</td>
2819 <td>Assurance Policy 4.5</td>
2820 </tr>
2821 <tr>
2822 <td>Organisation Assurance</td>
2823 <td>COAP forms</td>
2824 <td>as per subsidiary policies</td>
2825 <td>Organisation Assurance Policy</td>
2826 </tr>
2827 <tr>
2828 <td>certificates and revocations</td>
2829 <td> for reliance </td>
2830 <td> 7 years after termination </td>
2831 <td>this CPS</td>
2832 </tr>
2833 <tr>
2834 <td>critical roles</td>
2835 <td>background check worksheets</td>
2836 <td>under direct Arbitrator control</td>
2837 <td>Security Policy 9.1.3</td>
2838 </tr>
2839 </table>
2840
2841 <span class="figure">Table 5.5. Documents and Retention </span>
2842 </center>
2843
2844
2845 <h3><a name="p5.6" id="p5.6">5.6. Key changeover</a></h3>
2846
2847 <p>
2848 Refer to Security Policy 9.2 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>).
2849 </p>
2850
2851 <h3><a name="p5.7" id="p5.7">5.7. Compromise and disaster recovery</a></h3>
2852
2853 <p>
2854 Refer to Security Policy 5, 6 (<a href="http://svn.cacert.org/CAcert/Policies/SecurityPolicy.html">COD8</a>).
2855 (Refer to <a href="#p1.4">&sect;1.4</a> for limitations to service.)
2856 </p>
2857
2858 </p>
2859
2860 <h3><a name="p5.8" id="p5.8">5.8. CA or RA termination</a></h3>
2861
2862 <h4><a name="p5.8.1" id="p5.8.1">5.8.1 CA termination</a></h4>
2863
2864
2865 <p>
2866 <s>
2867 If CAcert should terminate its operation or be
2868 taken over by another organisation, the actions
2869 will be conducted according to a plan approved
2870 by the CAcert Inc. Board.
2871 </s>
2872 </p>
2873
2874 <p>
2875 In the event of operational termination, the
2876 Roots (including SubRoots)
2877 and all private Member information will be secured.
2878 The Roots will be handed over to a responsible
2879 party for the sole purpose of issuing revocations.
2880 Member information will be securely destroyed.
2881 </p>
2882
2883 <span class="change">
2884 <p>
2885 The CA cannot be transferrred to another organisation.
2886 </p>
2887 </span>
2888
2889 <p>
2890 <s>
2891 In the event of takeover,
2892 the Board will decide if it is in the interest
2893 of the Members to be converted to the
2894 new organisation.
2895 Members will be notified about the conversion
2896 and transfer of the Member information.
2897 Such takeover, conversion or transfer may involve termination
2898 of this CPS and other documents.
2899 See &sect;9.10.2.
2900 Members will have reasonable time in which to file a related
2901 dispute after notification
2902 (at least one month).
2903 See &sect;9.13.
2904 </s>
2905 </p>
2906 <s>
2907 <ul class="error">
2908 <li> The ability to transfer is not given in any of CCA, PP or AP! </li>
2909 <li> The Board does not have the power to terminate a policy, that is the role of policy group! </li>
2910 <li> The right to transfer was against the principles of the CAcert? </li>
2911 <li> Check Association Statutes.... </li>
2912 </ul>
2913 </s>
2914
2915 <span class="change">
2916 <s>
2917 <p>
2918 New root keys and certificates will be made available
2919 by the new organisation as soon as reasonably practical.
2920 </p>
2921 </s>
2922 </span>
2923
2924 <h4><a name="p5.8.2" id="p5.8.2">5.8.2 RA termination</a></h4>
2925
2926 <p>
2927 When an Assurer desires to voluntarily terminates
2928 her responsibilities, she does this by filing a dispute,
2929 and following the instructions of the Arbitrator.
2930 </p>
2931
2932 <p>
2933 In the case of involuntary termination, the process is
2934 the same, save for some other party filing the dispute.
2935 </p>
2936
2937
2938
2939
2940
2941 <!-- *************************************************************** -->
2942 <h2><a name="p6" id="p6">6. TECHNICAL SECURITY CONTROLS</a></h2>
2943
2944
2945 <!-- <a href="http://xkcd.com/221/"> <img align="right" src="http://imgs.xkcd.com/comics/random_number.png"> </a> -->
2946
2947 <h3><a name="p6.1" id="p6.1">6.1. Key Pair Generation and Installation</a></h3>
2948
2949 <h4><a name="p6.1.1" id="p6.1.1">6.1.1. Key Pair Generation</a></h4>
2950
2951 <p>
2952 Subscribers generate their own Key Pairs.
2953 </p>
2954
2955 <h4><a name="p6.1.2" id="p6.1.2">6.1.2. Subscriber Private key security</a></h4>
2956
2957 <p>
2958 There is no technical stipulation on how Subscribers generate
2959 and keep safe their private keys,
2960 however, CCA 2.5 provides for general security obligations.
2961 See <a href="#p9.6">&sect;9.6</a>.
2962 </p>
2963
2964 <h4><a name="p6.1.3" id="p6.1.3">6.1.3. Public Key Delivery to Certificate Issuer</a></h4>
2965
2966 <p>
2967 Members login to their online account.
2968 Public Keys are delivered by cut-and-pasting
2969 them into the appropriate window.
2970 Public Keys are delivered in signed-CSR form
2971 for X.509 and in self-signed form for OpenPGP.
2972 </p>
2973
2974 <h4><a name="p6.1.4" id="p6.1.4">6.1.4. CA Public Key delivery to Relying Parties</a></h4>
2975
2976 <p>
2977 The CA root certificates are distributed by these means:
2978 </p>
2979
2980 <ul><li>
2981 Published on the website of CAcert,
2982 in both HTTP and HTTPS.
2983 </li><li>
2984 Included in Third-Party Software such as
2985 Browsers, Email-Clients.
2986 Such suppliers are subject to the Third Party Vendor Agreement.
2987 </li></ul>
2988
2989 <p class="q"> Third Party Vendor Agreement is early wip, only </p>
2990
2991 <h4><a name="p6.1.5" id="p6.1.5">6.1.5. Key sizes</a></h4>
2992
2993 <p>
2994 No limitation is placed on Subscriber key sizes.
2995 </p>
2996
2997 <p>
2998 CAcert X.509 root and intermediate keys are currently 4096 bits.
2999 X.509 roots use RSA and sign with the SHA-1 message digest algorithm.
3000 See <a href="#p4.3.1">&sect;4.3.1</a>.
3001 </p>
3002
3003 <p>
3004 OpenPGP Signing uses both RSA and DSA (1024 bits).
3005 </p>
3006
3007 <p>
3008 CAcert adds larger keys and hashes
3009 in line with general cryptographic trends,
3010 and as supported by major software suppliers.
3011 </p>
3012
3013 <ul class="q">
3014 <li> old Class 3 SubRoot is signed with MD5 </li>
3015 <li> likely this will clash with future plans of vendors to drop acceptance of MD5</li>
3016 <li> Is this a concern? </li>
3017 <li> to users who have these certs, a lot? </li>
3018 <li> to audit, not much? </li>
3019 </ul>
3020
3021
3022 <h4><a name="p6.1.6" id="p6.1.6">6.1.6. Public key parameters generation and quality checking</a></h4>
3023
3024 <p>
3025 No stipulation.
3026 </p>
3027
3028 <h4><a name="p6.1.7" id="p6.1.7">6.1.7. Key Usage Purposes</a></h4>
3029
3030
3031 <ul class="q">
3032 <li> This section probably needs to detail the key usage bits in the certs. </li>
3033 </ul>
3034
3035
3036 <p>
3037 CAcert roots are general purpose.
3038 Each root key may sign all of the general purposes
3039 - client, server, code.
3040 </p>
3041
3042 <p>
3043 The website controls the usage purposes that may be signed.
3044 This is effected by means of the 'template' system.
3045 </p>
3046
3047
3048
3049 <!-- <a href="http://xkcd.com/257/"> <img align="right" src="http://imgs.xkcd.com/comics/code_talkers.png"> </a> -->
3050
3051 <h3><a name="p6.2" id="p6.2">6.2. Private Key Protection and Cryptographic Module Engineering Controls</a></h3>
3052
3053
3054
3055
3056 <h4><a name="p6.2.1" id="p6.2.1">6.2.1. Cryptographic module standards and controls</a></h4>
3057
3058 <p>
3059 SubRoot keys are stored on a single machine which acts
3060 as a Cryptographic Module, or <i>signing server</i>.
3061 It operates a single daemon for signing only.
3062 The signing server has these security features:
3063 </p>
3064
3065 <ul><li>
3066 It is connected only by one
3067 dedicated (serial USB) link
3068 to the online account server.
3069 It is not connected to the network,
3070 nor to any internal LAN (ethernet),
3071 nor to a console switch.
3072 </li><li>
3073 The protocol over the dedicated link is a custom, simple
3074 request protocol that only handles certificate signing requests.
3075 </li><li>
3076 The daemon is designed not to reveal the key.
3077 </li><li>
3078 The daemon incorporates a dead-man switch that monitors
3079 the one webserver machine that requests access.
3080 </li><li>
3081 The daemon shuts down if a bad request is detected.
3082 </li><li>
3083 The daemon resides on an encrypted partition.
3084 </li><li>
3085 The signing server can only be (re)started with direct
3086 systems administration access.
3087 </li><li>
3088 Physical Access to the signing server is under dual control.
3089 </li></ul>
3090
3091 <p>
3092 See &sect;5. and the Security Policy 9.3.1.
3093 </p>
3094
3095 <p>
3096 (Hardware-based, commercial and standards-based cryptographic
3097 modules have been tried and tested, and similar have been tested,
3098 but have been found wanting, e.g., for short key lengths and
3099 power restrictions.)
3100 </p>
3101
3102 <ol class="q"><li>
3103 What document is responsible for architecture? CPS? SM?
3104 <a href="http://www.cacert.org/help.php?id=7">website</a>?
3105 SM punts it to CPS, so above stays.
3106 </li><li>
3107 There is no criteria on Architecture.
3108 </li><li>
3109 Old questions moved to SM.
3110 </li><li>
3111 See
3112 <a href="http://www.cacert.org/help.php?id=7">
3113 CAcert Root key protection</a> which should be deprecated by this CPS.
3114 </li></ol>
3115
3116
3117 <h3><a name="p6.3" id="p6.3">6.3. Other aspects of key pair management</a></h3>
3118 <h4><a name="p6.3.1" id="p6.3.1">6.3.1. Public key archival</a></h4>
3119
3120 <p>
3121 Subscriber certificates, including public keys,
3122 are stored in the database backing the online system.
3123 They are not made available in a public- or subscriber-accessible
3124 archive, see &sect;2.
3125 They are backed-up by CAcert's normal backup procedure,
3126 but their availability is a subscriber responsibility.
3127 </p>
3128
3129 <h4><a name="p6.3.2" id="p6.3.2">6.3.2. Certificate operational periods and key pair usage periods</a></h4>
3130
3131 <p>
3132 The operational period of a certificate and its key pair
3133 depends on the Assurance status of the Member,
3134 see <a href="#p1.4.5">&sect;1.4.5</a> and Assurance Policy (<a href="http://www.cacert.org/policy/AssurancePolicy.php">COD13</a>).
3135 </p>
3136
3137 <p>
3138 The CAcert (top-level) Root certificate
3139 has a 30 year expiry.
3140 SubRoots have 10 years, and are to be rolled over more quickly.
3141 The keysize of the root certificates are chosen
3142 in order to ensure an optimum security to CAcert
3143 Members based on current recommendations from the
3144 <a href="http://www.keylength.com/">cryptographic community</a>
3145 and maximum limits in generally available software.
3146 At time of writing this is 4096 bits.
3147 </p>
3148
3149 <h3><a name="p6.4" id="p6.4">6.4. Activation data</a></h3>
3150 <p> No stipulation. </p>
3151
3152 <h3><a name="p6.5" id="p6.5">6.5. Computer security controls</a></h3>
3153 <p>
3154 Refer to Security Policy.
3155 </p>
3156
3157 <h3><a name="p6.6" id="p6.6">6.6. Life cycle technical controls</a></h3>
3158 <p>
3159 Refer to SM7 "Software Development".
3160 </p>
3161
3162 <h3><a name="p6.7" id="p6.7">6.7. Network security controls</a></h3>
3163 <p>
3164 Refer to SM3.1 "Logical Security - Network".
3165 </p>
3166
3167 <h3><a name="p6.8" id="p6.8">6.8. Time-stamping</a></h3>
3168 <p>
3169 Each server synchronises with NTP.
3170 No "timestamping" service is currently offered.
3171 </p>
3172
3173 <ul class="q">
3174 <li> How does the signing server syncronise if only connected over serial?</li>
3175 <li> How is timestamping done on records?</li>
3176 </ul>
3177
3178
3179
3180
3181 <!-- *************************************************************** -->
3182 <h2><a name="p7" id="p7">7. CERTIFICATE, CRL, AND OCSP PROFILES</a></h2>
3183
3184 <p>
3185 CAcert defines all the meanings, semantics and profiles
3186 applicable to issuance of certificates and signatures
3187 in its policies, handbooks and other documents.
3188 Meanings that may be written in external standards or documents
3189 or found in wider conventions are not
3190 incorporated, are not used by CAcert, and must not be implied
3191 by the Member or the Non-related Person.
3192 </p>
3193
3194 <h3><a name="p7.1" id="p7.1">7.1. Certificate profile</a></h3>
3195 <h4><a name="p7.1.1" id="p7.1.1">7.1.1. Version number(s)</a></h4>
3196 <p class="q"> What versions of PGP are signed? v3? v4? </p>
3197
3198 <p>
3199 Issued X.509 certificates are of v3 form.
3200 The form of the PGP signatures depends on several factors, therefore no stipulation.
3201 </p>
3202
3203 <h4><a name="p7.1.2" id="p7.1.2">7.1.2. Certificate extensions</a></h4>
3204
3205 <p>
3206 Client certificates include the following extensions:.
3207 </p>
3208 <ul><li>
3209 basicConstraints=CA:FALSE (critical)
3210 </li><li>
3211 keyUsage=digitalSignature,keyEncipherment,cRLSign
3212 </li><li>
3213 </li><li>
3214 extendedKeyUsage=emailProtection,clientAuth,serverAuth,msEFS,msSGC,nsSGC
3215 </li><li>
3216 authorityInfoAccess = OCSP;URI:http://ocsp.cacert.org
3217 </li><li>
3218 subjectAltName=(as per <a href="#p3.1.1">&sect;3.1.1.</a>).
3219 </li></ul>
3220 <ul class="q">
3221 <li> what about Client Certificates Adobe Signing extensions ?</li>
3222 <li> SubjectAltName should become critical if DN is removed http://tools.ietf.org/html/rfc5280#section-4.2.1.6</li>
3223 </ul>
3224
3225
3226 <p>
3227 Server certificates include the following extensions:
3228 </p>
3229 <ul><li>
3230 basicConstraints=CA:FALSE (critical)
3231 </li><li>
3232 keyUsage=digitalSignature,keyEncipherment
3233 </li><li>
3234 extendedKeyUsage=clientAuth,serverAuth,nsSGC,msSGC
3235 </li><li>
3236 authorityInfoAccess = OCSP;URI:http://ocsp.cacert.org
3237 </li><li>
3238 subjectAltName=(as per <a href="#p3.1.1">&sect;3.1.1.</a>).
3239 </li></ul>
3240
3241 <p>
3242 Code-Signing certificates include the following extensions:
3243 </p>
3244
3245 <ul><li>
3246 basicConstraints=CA:FALSE (critical)
3247 </li><li>
3248 keyUsage=digitalSignature,keyEncipherment
3249 </li><li>
3250 extendedKeyUsage=emailProtection,clientAuth,codeSigning,msCodeInd,msCodeCom,msEFS,msSGC,nsSGC
3251 </li><li>
3252 authorityInfoAccess = OCSP;URI:http://ocsp.cacert.org
3253 </li></ul>
3254 <ul class="q">
3255 <li> what about subjectAltName for Code-signing</li>
3256 </ul>
3257
3258 <p>
3259 OpenPGP key signatures currently do not include extensions.
3260 In the future, a serial number might be included as an extension.
3261 </p>
3262
3263
3264 <h4><a name="p7.1.3" id="p7.1.3">7.1.3. Algorithm object identifiers</a></h4>
3265 <p>
3266 No stipulation.
3267 </p>
3268
3269 <h4><a name="p7.1.4" id="p7.1.4">7.1.4. Name forms</a></h4>
3270 <p>
3271 Refer to <a href="#p3.1.1">&sect;3.1.1</a>.
3272 </p>
3273
3274 <h4><a name="p7.1.5" id="p7.1.5">7.1.5. Name constraints</a></h4>
3275 <p>
3276 Refer to <a href="#p3.1.1">&sect;3.1.1</a>.
3277 </p>
3278
3279 <h4><a name="p7.1.6" id="p7.1.6">7.1.6. Certificate policy object identifier</a></h4>
3280 <p>
3281 The following OIDs are defined and should be incorporated
3282 into certificates:
3283 </p>
3284
3285 <table border="1" cellpadding="5">
3286 <tr>
3287 <td>
3288 OID
3289 </td>
3290 <td>
3291 Type/Meaning
3292 </td>
3293 <td>
3294 Comment
3295 </td>
3296 </tr>
3297 <tr>
3298 <td>
3299 1.3.6.1.4.1.18506.4.4
3300 </td>
3301 <td>
3302 Certification Practice Statement
3303 </td>
3304 <td>
3305 (this present document)
3306 </td>
3307 </tr>
3308 </table>
3309
3310 <p>
3311 Versions are defined by additional numbers appended such as .1.
3312 </p>
3313
3314 <h4><a name="p7.1.7" id="p7.1.7">7.1.7. Usage of Policy Constraints extension</a></h4>
3315 <p>
3316 No stipulation.
3317 </p>
3318
3319 <h4><a name="p7.1.8" id="p7.1.8">7.1.8. Policy qualifiers syntax and semantics</a></h4>
3320 <p>
3321 No stipulation.
3322 </p>
3323
3324 <h4><a name="p7.1.9" id="p7.1.9">7.1.9. Processing semantics for the critical Certificate Policies extension</a></h4>
3325 <p>
3326 No stipulation.
3327 </p>
3328
3329
3330 <h3><a name="p7.2" id="p7.2">7.2. CRL profile</a></h3>
3331 <h4><a name="p7.2.1" id="p7.2.1">7.2.1. Version number(s)</a></h4>
3332 <p>
3333 CRLs are created in X.509 v2 format.
3334 </p>
3335
3336 <h4><a name="p7.2.2" id="p7.2.2">7.2.2. CRL and CRL entry extensions</a></h4>
3337
3338 <p>
3339 No extensions.
3340 </p>
3341
3342 <h3><a name="p7.3" id="p7.3">7.3. OCSP profile</a></h3>
3343 <h4><a name="p7.3.1" id="p7.3.1">7.3.1. Version number(s)</a></h4>
3344 <p>
3345 The OCSP responder operates in Version 1.
3346 </p>
3347 <h4><a name="p7.3.2" id="p7.3.2">7.3.2. OCSP extensions</a></h4>
3348 <p>
3349 No stipulation.
3350 </p>
3351
3352
3353
3354 <!-- *************************************************************** -->
3355 <h2><a name="p8" id="p8">8. COMPLIANCE AUDIT AND OTHER ASSESSMENTS</a></h2>
3356
3357 <p>
3358 There are two major threads of assessment:
3359 </p>
3360
3361 <ul><li>
3362 <b>Systems Audit</b>.
3363 Analyses the CA for business and operations security.
3364 This is conducted in two phases: documents for compliance
3365 with criteria, and operations for compliance with documentation.
3366 </li><li>
3367 <b>Code Audit</b>.
3368 Analyses the source code.
3369 This is conducted at two levels:
3370 Security concepts at the web applications level,
3371 and source code security and bugs review.
3372 </li></ul>
3373
3374 <p>
3375 See the Audit page at
3376 <a href="http://wiki.cacert.org/wiki/Audit/">
3377 wiki.cacert.org/wiki/Audit/</a>
3378 for more information.
3379 </p>
3380
3381 <h3><a name="p8.1" id="p8.1">8.1. Frequency or circumstances of assessment</a></h3>
3382 <p>
3383 The first audits started in late 2005,
3384 and since then, assessments have been an
3385 ongoing task.
3386 Even when completed, they are expected to
3387 be permanent features.
3388 </p>
3389
3390 <ul><li>
3391 <b>Systems Audit</b>.
3392 <span class="q">
3393 The first phase of the first audit is nearing completion.
3394 The second phase starts in earnest when documentation is in
3395 effect, at lease as DRAFT under PoP.
3396 As the second phase is dependent on
3397 this CPS and the Security Policy, they will
3398 be in effect as DRAFT at least
3399 before the first audit is completed.
3400 Only prior and completed audits can be reported here.
3401 </span>
3402 </li><li>
3403 <b>Code Audit</b>.
3404 <span class="q">
3405 A complete review of entire source code has not yet been completed.
3406 </span>
3407 </li></ul>
3408
3409 <h3><a name="p8.2" id="p8.2">8.2. Identity/qualifications of assessor</a></h3>
3410
3411 <p>
3412 <b>Systems Auditors.</b>
3413 CAcert uses business systems auditors with broad experience
3414 across the full range of business, information systems
3415 and security fields.
3416 In selecting a business systems auditor, CAcert looks for
3417 experience that includes but is not limited to
3418 cryptography, PKI, governance, auditing,
3419 compliance and regulatory environments,
3420 business strategy, software engineering,
3421 networks, law (including multijurisdictional issues),
3422 identity systems, fraud, IT management.
3423 </p>
3424
3425 <!-- <center><a href="http://xkcd.com/511/"> <img src="http://imgs.xkcd.com/comics/sleet.png"> </a> </center> -->
3426
3427 <p>
3428 <b>Code Auditors.</b>
3429 See Security Policy, sections 7, 9.1.
3430 </p>
3431
3432 <h3><a name="p8.3" id="p8.3">8.3. Assessor's relationship to assessed entity</a></h3>
3433
3434 <p>
3435 Specific internal restrictions on audit personnel:
3436 </p>
3437
3438 <ul><li>
3439 Must be Assured by CAcert Assurers
3440 and must be background checked.
3441 </li><li>
3442 Must not have been active in any (other) role in CAcert.
3443 Specifically, must not be an Assurer, a member of the association,
3444 or in any other defined role or office.
3445 </li><li>
3446 Although the Auditor may be expected to undertake various
3447 of the activities (Assurance, Training)
3448 during the process of the audit, any results are frozen
3449 until resignation as auditor is effected.
3450 </li><li>
3451 The Auditor is required to declare to CAcert all
3452 potential conflicts of interest on an ongoing basis.
3453 </li></ul>
3454
3455 <p>
3456 Specific external restrictions on audit personnel:
3457 </p>
3458
3459 <ul><li>
3460 Should have a verifiable and lengthy history in
3461 user privacy and user security.
3462 </li><li>
3463 Must not have worked for a competitive organisation.
3464 </li><li>
3465 Must not have worked for national security, intelligence,
3466 LEO or similar agencies.
3467 </li></ul>
3468
3469 <p>
3470 An Auditor may convene an audit team.
3471 The same restrictions apply in general
3472 to all members of the team, but may be varied.
3473 Any deviations must be documented and approved
3474 by the CAcert Inc. Board.
3475 </p>
3476
3477 <h3><a name="p8.4" id="p8.4">8.4. Topics covered by assessment</a></h3>
3478
3479 <p>
3480 Systems Audits are generally conducted to criteria.
3481 CAcert requires that the criteria are open:
3482 </p>
3483
3484 <ul><li>
3485 Published.
3486 The criteria must be reviewable by all interested parties.
3487 </li><li>
3488 Understandable.
3489 They should be understandable, in that they provide the
3490 sufficient information in a readable form for interested
3491 parties to follow the gist and importance.
3492 (Arcane security criteria may stretch this requirement.)
3493 </li><li>
3494 Complete.
3495 There must be sufficent background information that the
3496 whole story is there. Especially, criteria that refer
3497 to undocumented practices or conventions deliberately
3498 kept secret must be avoided.
3499 </li><li>
3500 Applicable. The criteria should relate directly
3501 and unambiguously to a need of the identified interested parties
3502 (Members, Relying Parties, Subscribers, Assurers).
3503 </li></ul>
3504
3505 <p>
3506 See
3507 <a href="http://rossde.com/CA_review/">DRC</a>
3508 for the current criteria.
3509 If Auditor determines that a criteria fails to
3510 follow the meet the above requirements, then the criteria
3511 should be reworked to conform, or should be dropped
3512 (both with explanatory notes).
3513 </p>
3514
3515 <h3><a name="p8.5" id="p8.5">8.5. Actions taken as a result of deficiency</a></h3>
3516 <p>
3517 See the current
3518 <a href="http://wiki.cacert.org/wiki/Audit/Done">Audit Done list</a>
3519 for work completed, and
3520 <a href="http://wiki.cacert.org/wiki/AuditToDo">Audit Todo list</a>
3521 for work in progress.
3522 </p>
3523
3524 <p>
3525 Auditor may issue directives instructing changes,
3526 where essential to audit success or other extreme
3527 situations.
3528 Directives should be grounded on criteria,
3529 on established minimum or safe practices,
3530 or clearly described logic.
3531 Adequate discussion with Community
3532 (e.g., CAcert Inc. Board and with Policy Group)
3533 should precede any directive.
3534 They should be presented to the same standard
3535 as the criteria, above.
3536 </p>
3537
3538 <p>
3539 The
3540 <a href="http://wiki.cacert.org/wiki/AuditDirectives">
3541 wiki.cacert.org/wiki/AuditDirectives</a>
3542 documents issued directives and actions.
3543 </p>
3544
3545 <h3><a name="p8.6" id="p8.6">8.6. Communication of results</a></h3>
3546
3547 <p>
3548 Current and past Audit information is available at
3549 <a href="http://wiki.cacert.org/wiki/Audit/">wiki.CAcert.org/wiki/Audit/</a>.
3550 CAcert runs an open disclosure policy and
3551 Audit is no exception.
3552 </p>
3553
3554 <p>
3555 This CPS and other documents are subject to
3556 the process in Policy on Policy (<a href="http://www.cacert.org/policy/PolicyOnPolicy.php">COD1</a>).
3557 Audits cover the overall processes more
3558 than any one document, and documents may vary
3559 even as Audit reports are delivered.
3560 </p>
3561
3562
3563
3564
3565 <!-- *************************************************************** -->
3566 <h2><a name="p9" id="p9">9. OTHER BUSINESS AND LEGAL MATTERS</a></h2>
3567 <h3><a name="p9.1" id="p9.1">9.1. Fees</a></h3>
3568
3569
3570 <p>
3571 The current fees structure is posted at
3572 <a href="http://wiki.cacert.org/wiki/Price">wiki.cacert.org/wiki/Price</a>.
3573 Changes to the fees structure will be announced
3574 from time to time on the <a href="http://blog.cacert.org/">blog</a>.
3575 CAcert retains the right to charge fees for services.
3576 All fees are non-refundable.
3577 </p>
3578
3579
3580 <h3><a name="p9.2" id="p9.2">9.2. Financial responsibility</a></h3>
3581
3582 <p>
3583 Financial risks are dealt with primarily by