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This email relates to an Agenda topic for discussion on our teleconference this Thursday, April 5.<o:p></o:p></p>
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<o:p> </o:p></p>
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In recent discussion of a CA membership application, there was disagreement on whether the “audit” that a CA applicant must present needs to be a Period of Time (POT) audit, also called a “performance” audit, or whether it is sufficient for the CA applicant
to have only a Point in Time (PIT) audit, also called a “readiness” audit. (This issue was not critical to the application being considered by the Forum.)<o:p></o:p></p>
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<o:p> </o:p></p>
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As a practical matter these days, CAs generally start their first POT audit for a specific root on the date of their successful PIT audit, and then maintain POT audits continuously thereafter. Under WebTrust, the minimum initial time period for a POT audit
is two months, so it can be completed relatively quickly (I’m not sure about ETSI minimum time period for the initial POT audit).
<o:p></o:p></p>
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<o:p> </o:p></p>
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Other forms of auditor reports, such as a “migration audit report”, is not considered a WebTrust for CAs Audit but rather an Agreed Upon Procedures report which is for management use only, and so would not qualify for CA membership purposes.<o:p></o:p></p>
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<o:p> </o:p></p>
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I have inserted a copy of excerpts from Bylaw 2.1 below, parsed to make the separate requirements to be a CA member clearer.<o:p></o:p></p>
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<o:p> </o:p></p>
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It’s true that our Bylaw 2.1 only refers to an “audit report” without specifying whether this is a POT or PIT audit, or either. However, I do note that Bylaw 2.1(b)(6) which lists information a CA applicant must provide in connection with its membership application
requires the “<span lang="EN" style="color:black">URL of the current qualifying <u>
performance</u> audit report” – the term “performance audit report” typically means a POT audit, so that may be a clue that only a successful POT audit is acceptable under Bylaw 2.1(a).<o:p></o:p></span></p>
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<span lang="EN" style="color:black"><o:p> </o:p></span></p>
<p class="MsoNormal" style="margin-bottom:0in;margin-bottom:.0001pt;line-height:normal">
<span lang="EN" style="color:black">On our Thursday call, let’s not argue about what current Bylaw 2.1(a) means, but instead let’s talk about what we think Bylaw 2.1 should require for a new CA applicant – a POT audit, a PIT audit, or either. If needed, I
can set up a Doodle poll so people can vote on the question. After full discussion, let’s then amend Bylaw 2.1(a) so it’s clear on that point. I personally am in favor of accepting a POT audit only (even for a minimum two month period), as I think that shows
the CA is “real” and operating successfully, but I want to hear what the advocates of accepting a PIT audit think.</span><o:p></o:p></p>
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<o:p> </o:p></p>
<p class="MsoNormal" style="margin-bottom:0in;margin-bottom:.0001pt;line-height:normal">
<b><span lang="EN" style="color:black">Bylaw 2.1 Qualifying for Forum Membership</span></b><span lang="EN" style="color:black"><o:p></o:p></span></p>
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<span lang="EN" style="color:black"><o:p> </o:p></span></p>
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<span lang="EN" style="color:black">(a) CA/Browser Forum members shall meet at least one of the following criteria. ***<o:p></o:p></span></p>
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<span lang="EN" style="color:black"><o:p></o:p></span></p>
<p class="MsoNormal" style="mso-margin-top-alt:0in;margin-right:0in;margin-bottom:0in;margin-left:.75in;margin-bottom:.0001pt;text-indent:-.25in;line-height:normal">
<span lang="EN" style="color:black">(2) <u>Root CA</u>: <o:p></o:p></span></p>
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<span lang="EN" style="color:black"><o:p> </o:p></span></p>
<p class="MsoListParagraphCxSpFirst" style="mso-margin-top-alt:0in;margin-right:0in;margin-bottom:0in;margin-left:.75in;margin-bottom:.0001pt;mso-add-space:auto;text-indent:-.25in;line-height:normal;mso-list:l0 level1 lfo1">
<![if !supportLists]><span lang="EN" style="color:black"><span style="mso-list:Ignore">1.<span style="font:7.0pt "Times New Roman"">
</span></span></span><![endif]><span lang="EN" style="color:black">The member organization operates a certification authority
<o:p></o:p></span></p>
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<![if !supportLists]><span lang="EN" style="color:black"><span style="mso-list:Ignore">2.<span style="font:7.0pt "Times New Roman"">
</span></span></span><![endif]><span lang="EN" style="color:black">that <u>has a current and successful
</u></span><u><span lang="EN" style="border:none windowtext 1.0pt;padding:0in">WebTrust</span></u><u><span lang="EN" style="color:black"> for CAs</span></u><span lang="EN" style="color:black">, or
<u>ETSI 102042 or ETSI 101456 audit report</u> prepared by a properly-qualified auditor, and
<o:p></o:p></span></p>
<p class="MsoListParagraphCxSpMiddle" style="mso-margin-top-alt:0in;margin-right:0in;margin-bottom:0in;margin-left:.75in;margin-bottom:.0001pt;mso-add-space:auto;text-indent:-.25in;line-height:normal;mso-list:l0 level1 lfo1">
<![if !supportLists]><span lang="EN" style="color:black"><span style="mso-list:Ignore">3.<span style="font:7.0pt "Times New Roman"">
</span></span></span><![endif]><span lang="EN" style="color:black">that actively issues certificates to subordinate CAs that, in turn, actively issue certificates to Web servers
<o:p></o:p></span></p>
<p class="MsoListParagraphCxSpMiddle" style="mso-margin-top-alt:0in;margin-right:0in;margin-bottom:0in;margin-left:.75in;margin-bottom:.0001pt;mso-add-space:auto;text-indent:-.25in;line-height:normal;mso-list:l0 level1 lfo1">
<![if !supportLists]><span lang="EN" style="color:black"><span style="mso-list:Ignore">4.<span style="font:7.0pt "Times New Roman"">
</span></span></span><![endif]><span lang="EN" style="color:black">that are openly accessible from the Internet,
<o:p></o:p></span></p>
<p class="MsoListParagraphCxSpLast" style="mso-margin-top-alt:0in;margin-right:0in;margin-bottom:0in;margin-left:.75in;margin-bottom:.0001pt;mso-add-space:auto;text-indent:-.25in;line-height:normal;mso-list:l0 level1 lfo1">
<![if !supportLists]><span lang="EN" style="color:black"><span style="mso-list:Ignore">5.<span style="font:7.0pt "Times New Roman"">
</span></span></span><![endif]><span lang="EN" style="color:black">such certificates being treated as valid when using a browser created by a Browser member.
<o:p></o:p></span></p>
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<span lang="EN" style="color:black"><o:p> </o:p></span></p>
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<span lang="EN" style="color:black">Applicants that are <u>not actively issuing certificates</u> but otherwise meet membership criteria may be granted Associate Member status under Bylaw Sec. 3.1 for a period of time to be designated by the Forum. ***<o:p></o:p></span></p>
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<span lang="EN" style="color:black"><o:p> </o:p></span></p>
<p class="MsoNormal" style="margin-bottom:0in;margin-bottom:.0001pt;text-indent:.25in;line-height:normal">
<span lang="EN" style="color:black">(b) Applicants should supply the following information: ***<o:p></o:p></span></p>
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<span lang="EN" style="color:black"><o:p> </o:p></span></p>
<p class="MsoNormal" style="mso-margin-top-alt:0in;margin-right:0in;margin-bottom:0in;margin-left:.75in;margin-bottom:.0001pt;text-indent:-.25in;line-height:normal">
<span lang="EN" style="color:black">(6) URL of the current qualifying <u>performance</u> audit report. ***<o:p></o:p></span></p>
<p class="MsoNormal"><o:p> </o:p></p>
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