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Proposals for auditing

This proposal outlines the process of accrediting, certifying, and auditing authorities in grid technology. It covers criteria for auditing, audit processes, and the role of Peer Audit in ensuring CA compliance. The proposed audit items are based on established standards like WebTrust, with emphasis on CA Business Practices, Service Integrity, and Environmental Controls. Plans include auditing AIST GRID CA and production-level CAs according to the proposed criteria to establish common standards for Grid CAs. Feedback and discussions are encouraged.

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Proposals for auditing

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  1. Proposals for auditing Yoshio Tanaka (yoshio.tanaka@aist.go.jp) Grid Technology Research Center, AIST, Japan

  2. How do we accredit/certify/audit authorities? • A regional PMA should • accredit CAs • re-certify CAs • coordinate peer-review (peer-audit) of CAs • Questions • How a CA is audited? • criteria for audit • audit processes • Should PMA be audited? • how?

  3. Proposed audit items • NAREGI PKI WG has subjectively selected criteria for auditing Grid CAs. • based on • AICPA/CICA WebTrustSM/TM Program for Certification Authority • minimum CA requirements of APGrid PMA and EUGrid PMA • Web Trust • WebTrust is a seal awarded to web sites that consistently adhere to certain business standards established by the Canadian Institute of Chartered Accountants (CICA.ca) and the American Institute of Certified Public Accountants (AICPA). • In the program, “Web Trust Principles and Criteria for Certification Authorities” lists criteria for CAs. • may too much for Grid CAs.

  4. Criteria in the WebTrustSM/TM • Principle 1: CA Business Practices Disclosure • The certification authority discloses its key and certificate life cycle management business and information privacy practices and provides its services in accordance with its disclosed practices • Principle 2: Service Integrity • The certification authority maintains effective controls to provide reasonable assurance that: • Subscriber information was properly authenticated (for the registration activities performed by ABC-CA) and • The integrity of keys and certificates it manages is established and protected throughout their life cycles.

  5. Criteria in the WebTrustSM/TM (cont’d) • Principle 3: CA Environmental Controls • The certification authority maintains effective controls to provide reasonable assurance that: • Subscriber and relying party information is restricted to authorized individuals and protected from uses not specified in the CA's business practices disclosure; • The continuity of key and certificate life cycle management operations is maintained; and • CA systems development, maintenance, and operation are properly authorized and performed to maintain CA systems integrity.

  6. Plans and proposals • AIST GRID CA will be audited by NAREGI CA according to the proposed criteria for audit in March 29. • evaluate its appropriateness • APGrid PMA will audit production-level CAs based on the proposed criteria • The proposed criteria for audit can be a starting point to establish common criteria for Grid CAs. • will circulate the proposed criteria to the CAOPs ML • may provide documents if needed • comments and discussions are welcome

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