All,

I will greatly appreciate your thoughtful and constructive feedback on the following proposal to add a section to the Common CCADB Policy, https://www.ccadb.org/policy

Proposal: Add section 5.1 to the Common CCADB Policy, as follows.
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5.1 Audit Statement Content

CCADB uses an Audit Letter Validation (ALV) tool to automatically parse and validate audit statements. This system eliminates manual processing, but it requires audit statements to follow some basic rules in order to function properly. If the audit statement fails to meet any of the following requirements, the CA will be asked to work with their auditor to provide an audit statement that passes ALV.

Audit statements listed in the CCADB must contain at least the following clearly-labelled information in English:

1. Name of the organization performing the audit;
2. Full name of the CA that was audited;
3. SHA-256 fingerprint of each root and intermediate certificate that was in scope of the audit (see format specifications below); 4. List of the CA policy documents (with version numbers) referenced during the audit;
5. Whether the audit is for a period of time or a point in time;
6. Date the audit statement was written (see date format specifications below); 7. Start date and end date of the period that was audited, for those that cover a period of time (this is not the period the auditor was on-site);
8. Point-in-time date, for those that are for a point in time;
9. Full names and version numbers of the audit standards that were used during the audit; and 10. For ETSI, a statement to indicate if the audit was a full audit, and which parts of the criteria were applied, e.g. DVCP, OVCP, NCP, NCP+, LCP, EVCP, EVCP+, QCP-w, Part1 (General Requirements), and/or Part 2 (Requirements for trust service providers).

ETSI Audits: Audits conducted by certified ETSI auditors must have their audit statement uploaded to their auditor’s website. CAs provide the URL to the audit statements on the auditor’s website, and ALV will verify those URLs against a known list of audit locations.

WebTrust Audits: Audits conducted by certified WebTrust auditors must have a WebTrust Seal. CAs enter the URL to the WebTrust Seal into the CCADB, and upon saving of the record, the CCADB automatically converts the URL to point to the corresponding PDF file via integration with CPA Canada. - For qualified WebTrust audits, CAs may attach the audit statement to a Bugzilla Bug and provide that URL. Additionally, the CA needs to provide an explanation about the findings and timeframe for resolution of the findings.

Format Specifications for SHA-256 Fingerprints:
- MUST: No colons, no spaces, and no linefeeds
- MUST: Uppercase letters
- SHOULD: be encoded in the document (PDF) as “selectable” text, not an image

Format Specifications for Dates: The following formats are accepted by ALV
- Month DD, YYYY example: May 7, 2016
- DD Month YYYY example: 7 May 2016
- YYYY-MM-DD example: 2016-05-07
- Month names in English
- No extra text within the date, such as “7th” or “the”

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Thanks,
Kathleen

Relevant links:
- https://github.com/mozilla/www.ccadb.org/issues/33
- https://www.mozilla.org/en-US/about/governance/policies/security-group/certs/policy#314-public-audit-information - https://social.technet.microsoft.com/wiki/contents/articles/31635.microsoft-trusted-root-certificate-program-audit-requirements.aspx#E_Audit_Attestation
- https://www.ccadb.org/cas/fields#uploading-documents



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