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## 8.7 Self-Audits During the period in which the CA issues Certificates, the CA SHALL monitor adherence to its Certificate Policy, Certification Practice Statement and these Requirements and strictly control its service quality by performing self audits on at least a quarterly basis against a randomly selected sample of the greater of one certificate or at least three percent of the Certificates issued by it during the period commencing immediately after the previous self-audit sample was taken. Except for Delegated Third Parties that undergo an annual audit that meets the criteria specified in [Section 8.4](#84-topics-covered-by-assessment), the CA SHALL strictly control the service quality of Certificates issued or containing information verified by a Delegated Third Party by having a Validation Specialist employed by the CA perform ongoing quarterly audits against a randomly selected sample of at least the greater of one certificate or three percent of the Certificates verified by the Delegated Third Party in the period beginning immediately after the last sample was taken. The CA SHALL review each Delegated Third Party's practices and procedures to ensure that the Delegated Third Party is in compliance with these Requirements and the relevant Certificate Policy and/or Certification Practice Statement. The CA SHALL internally audit each Delegated Third Party's compliance with these Requirements on an annual basis. During the period in which a Technically Constrained Subordinate CA issues Certificates, the CA which signed the Subordinate CA SHALL monitor adherence to the CA's Certificate Policy and the Subordinate CA's Certification Practice Statement. On at least a quarterly basis, against a randomly selected sample of the greater of one certificate or at least three percent of the Certificates issued by the Subordinate CA, during the period commencing immediately after the previous audit sample was taken, the CA shall ensure all applicable CP are met.

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## 8.7 Self-audits CAs must abide by the self-audit requirements of these Guidelines. During the period in which it issues Code Signing Certificates, the CA MUST strictly control its service quality by performing ongoing self-audits against a randomly selected sample of at least three percent of the Non-EV Code Signing Certificates and at least three percent of the EV Code Signing Certificates it has issued in the period beginning immediately after the last sample was taken. For all Code Signing Certificates where the final cross-correlation and due diligence requirements of Section 8 of these Guidelines is performed by an RA, the CA MUST strictly control its service quality by performing ongoing self-audits against a randomly selected sample of at least six percent of the Non-EV Code Signing Certificates and at least six percent of the EV Code Signing Certificates it has issued in the period beginning immediately after the last sample was taken.

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## 8.7 Pre-issuance Readiness Audit 1. If the CA has a currently valid WebTrust Seal of Assurance for CAs, then, before issuing EV Certificates, the CA and its Root CA MUST successfully complete a point-in-time readiness assessment audit against the WebTrust EV Program. 2. If the CA has a currently valid ETSI 102 042 audit, then, before issuing EV Certificates, the CA and its Root CA MUST successfully complete a point-in-time readiness assessment audit against ETSI TS 102 042. 3. If the CA has a currently valid ETSI EN 319 411-1 audit for EVCP policy, then, before issuing EV Certificates, the CA and its Root CA MUST successfully complete a point-in-time readiness assessment audit against ETSI EN 319 411-1 for EVCP. 4. If the CA does not have a currently valid WebTrust Seal of Assurance for CAs or an ETSI TS 102 042 EVCP audit or an ETSI EN 319 411-1 audit for EVCP policy, then, before issuing EV Certificates, the CA and its Root CA MUST successfully complete either: i. a point-in-time readiness assessment audit against the WebTrust for CA Program, or ii. a point-in-time readiness assessment audit against the WebTrust EV Program, the ETSI TS 102 042 EVCP, or the ETSI EN 319 411-1 for EVCP policy. The CA MUST complete any required point-in-time readiness assessment no earlier than twelve (12) months prior to issuing an EV Certificate. The CA MUST undergo a complete audit under such scheme within ninety (90) days of issuing the first EV Certificate.

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## 8.7 Self audits During the period in which the CA issues Certificates, the CA SHALL monitor adherence to its CP and/or CPS and these Requirements and control its service quality by performing self audits on at least a quarterly basis against a randomly selected sample including a minimum of the greater of thirty (30) Certificates or three percent (3%) of the Certificates issued by it during the period commencing immediately after the previous self-audit sample was taken.