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Scenarios for the electronic apostille certificate Present and future of the international circulation of public documents Michele Nastri Consiglio Nazionale.

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Presentation on theme: "Scenarios for the electronic apostille certificate Present and future of the international circulation of public documents Michele Nastri Consiglio Nazionale."— Presentation transcript:

1 Scenarios for the electronic apostille certificate Present and future of the international circulation of public documents Michele Nastri Consiglio Nazionale del Notariato - Italy International Forum on e-Notarization and e-Apostilles (Las Vegas, 30 and 31 May 2005)

2 Definition of the logic and the role of the Apostille The Apostille is a standard form defined in the Convention and transposed into national legislations for the mutual recognition of public documents The Apostille is a standard form defined in the Convention and transposed into national legislations for the mutual recognition of public documents Its role is to simplify the circulation of public documents in secure conditions from a legal and practical point of view Its role is to simplify the circulation of public documents in secure conditions from a legal and practical point of view The advantages it produces are reduced cost and higher speed for all transactions carried out with Apostilles The advantages it produces are reduced cost and higher speed for all transactions carried out with Apostilles This presentation aims at demonstrating the possibility of adopting this model in the electronic document processing context, on the basis of a national level experience. This presentation aims at demonstrating the possibility of adopting this model in the electronic document processing context, on the basis of a national level experience.

3 A possible way to the e-apostille Identification of the logical and legal process for paper documents Identification of the logical and legal process for paper documents Identification of the peculiarities of electronic documents Identification of the peculiarities of electronic documents Verification of applicability to the process for electronic documents Verification of applicability to the process for electronic documents Assessment of the various opportunities offered by electronic documents Assessment of the various opportunities offered by electronic documents

4 Michele Nastri - notaio The current general model List of Competent Authorities Public Official Public Document Ministry of Foreign Affairs of the Netherlands Apostille National Authority List of Apostilles Final User

5 Michele Nastri - notaio Main elements of the process Parties involved : The public official who emanated the document The public official who emanated the document The national authority who placed the Apostille, designated by the State of origin The national authority who placed the Apostille, designated by the State of origin The list of Authorities competent to place the Apostille (Ministry of Foreign Affairs of the Netherlands) The list of Authorities competent to place the Apostille (Ministry of Foreign Affairs of the Netherlands) The final users in the receiving country The final users in the receiving countryObjects: The public document The public document The Apostille The Apostille List of Apostilles placed by each single Authority List of Apostilles placed by each single Authority

6 Michele Nastri - notaio Features of the procedure What it does: What it does: it recognises the competent Authorities in each Country it recognises the competent Authorities in each Country it verifies the apparent origin of the competent Authorities it verifies the apparent origin of the competent Authorities it uses standards to reduce the need for checks on single documents it uses standards to reduce the need for checks on single documents it is able to check each single document it is able to check each single document

7 Michele Nastri - notaio The Convention of the Hague Main rules Main rules Article 3 Article 3 La seule formalité qui puisse être exigée pour attester la véracité de la signature, la qualité en laquelle le signataire de l'acte a agi et, le cas échéant, l'identité du sceau ou timbre dont cet acte est revêtu, est l'apposition de l'apostille définie à l'article 4, délivrée par l'autorité compétente de l'Etat d'où émane le document. La seule formalité qui puisse être exigée pour attester la véracité de la signature, la qualité en laquelle le signataire de l'acte a agi et, le cas échéant, l'identité du sceau ou timbre dont cet acte est revêtu, est l'apposition de l'apostille définie à l'article 4, délivrée par l'autorité compétente de l'Etat d'où émane le document. Article 4 Article 4 L'apostille prevue à l'article 3, alinéa premier, est apposée sur l'acte lui-même ou sur une allonge; elle doit être conforme au modèle annexé à la présente Convention. L'apostille prevue à l'article 3, alinéa premier, est apposée sur l'acte lui-même ou sur une allonge; elle doit être conforme au modèle annexé à la présente Convention. Article 6 Article 6 Chaque Etat contractant désignera les autorités prises ès qualités, auxquelles est attribuée compétence pour délivrer l'apostille prévue à l'article 3, alinéa premier. Chaque Etat contractant désignera les autorités prises ès qualités, auxquelles est attribuée compétence pour délivrer l'apostille prévue à l'article 3, alinéa premier.

8 Michele Nastri - notaio The Convention of the Hague Convention of the Hague 5 October 1961 Convention of the Hague 5 October 1961 The apostille certifies: The apostille certifies: Authenticity of the signature Authenticity of the signature Capacity Capacity Stamps and seals Stamps and seals This form has predefined contents and format (a square with a minimum length of nine centimetres) This form has predefined contents and format (a square with a minimum length of nine centimetres) The designation and modification of the national authorities who can issue the apostille is done outside the convention, through communications from each foreign ministry to the ministry of foreign affairs of the Netherlands. The designation and modification of the national authorities who can issue the apostille is done outside the convention, through communications from each foreign ministry to the ministry of foreign affairs of the Netherlands.

9 Michele Nastri - notaio The Convention of the Hague Main rules Main rules Article 5 (3) La signature, le sceau ou timbre qui figurent sur l'apostille sont dispensés de toute attestation. Article 5 (3) La signature, le sceau ou timbre qui figurent sur l'apostille sont dispensés de toute attestation. Article 7 Article 7 Chacune des autorités désignées conformément à l'article 6 doit tenir un registre ou fichier dans lequel elle prend note des apostilles délivrées en indiquant: Chacune des autorités désignées conformément à l'article 6 doit tenir un registre ou fichier dans lequel elle prend note des apostilles délivrées en indiquant: a) le numéro d'ordre et la date de l'apostille; a) le numéro d'ordre et la date de l'apostille; b) le nom du signataire de l'acte public et la qualité en laquelle il a agi, ou, pour les actes non signés, l'indication de l'autorité qui a apposé le sceau ou timbre. b) le nom du signataire de l'acte public et la qualité en laquelle il a agi, ou, pour les actes non signés, l'indication de l'autorité qui a apposé le sceau ou timbre. A la demande de tout intéressé l'autorité qui a délivré l'apostille est tenue de vérifier si les inscriptions portées sur l'apostille correspondent à celles du registre ou du fichier. A la demande de tout intéressé l'autorité qui a délivré l'apostille est tenue de vérifier si les inscriptions portées sur l'apostille correspondent à celles du registre ou du fichier.

10 Michele Nastri - notaio The Convention of the Hague The signature and the distinguishing signs on the apostille are exempt from all forms of certification and legalisation (art. 5) The signature and the distinguishing signs on the apostille are exempt from all forms of certification and legalisation (art. 5) Anyone may request the national authority to carry out a verification ex post (art. 7) Anyone may request the national authority to carry out a verification ex post (art. 7)

11 Michele Nastri - notaio Legal and technological prospects for the electronic Apostille How the electronic Apostille can improve the usefulness of the Apostille and allow the immediate transmission of documents to publish How the electronic Apostille can improve the usefulness of the Apostille and allow the immediate transmission of documents to publish The constraints of legislation designed for paper documents The constraints of legislation designed for paper documents New opportunities by using electronic documents (multimedia files etc.) New opportunities by using electronic documents (multimedia files etc.) The different legal security strategy in the field of electronic documents. The different legal security strategy in the field of electronic documents. Signature authentication systems for electronic documents and electronic signatures. Signature authentication systems for electronic documents and electronic signatures.

12 Michele Nastri - notaio Advantages of the apostille: speed and security SPEED Standardisation Standardisation Few parties and subjects involved Few parties and subjects involved No more preventive checks No more preventive checks Lower costs Lower costs LEGAL SECURITY Standardisation Standardisation Common and reliable rules Common and reliable rules Mutual authentication of involved parties Mutual authentication of involved parties Possibility to carry out verifications ex post with a predetermined procedure Possibility to carry out verifications ex post with a predetermined procedure

13 Advantages and disadvantages of electronic documents ADVANTAGES Speed of creation and communication Multimediality Easy management DISADVANTAGES New signature authentication methods (digital signature) Changes in legislation New techniques for transmission and archiving

14 Michele Nastri - notaio Legal constraints of the electronic Apostille The logical priority of a legal-political- organisational model The logical priority of a legal-political- organisational model Legislation modification choices. Legislation modification choices. What can be done without legislation modifications What can be done without legislation modifications Assessment of minimum impact legislation modifications Assessment of minimum impact legislation modifications

15 Michele Nastri - notaio Legal constraints of the electronic Apostille Legal constraints are less flexible than technological ones Legal constraints are less flexible than technological ones There is the need of: There is the need of: a technologically neutral choice a technologically neutral choice standard technologies and system interoperability standard technologies and system interoperability

16 Michele Nastri - notaio Common Problems in all possible scenarios The need for electronic signatures with mutual authentication The need for electronic signatures with mutual authentication The need for electronic signatures that certify the role of the public official The need for electronic signatures that certify the role of the public official The need for electronic signatures that certify the role of the national authority subjects The need for electronic signatures that certify the role of the national authority subjects The need for multiple and indissoluble signatures (document and apostille) The need for multiple and indissoluble signatures (document and apostille)

17 Michele Nastri - notaio Common Problems in all possible scenarios (continued) The need to certify the time of document creation The need to certify the time of document creation The need to certify document integrity The need to certify document integrity The need for a secure storage system of electronic documents and registers The need for a secure storage system of electronic documents and registers The need to automatize the whole process including verification and control phases The need to automatize the whole process including verification and control phases

18 THE BASIC FUNCTIONAL REQUIREMENTS Basic process components A system based on mutual recognition of electronic signatures A system based on mutual recognition of electronic signatures A storage system A storage system Network infrastructure operating securely Network infrastructure operating securely The infrastructures must turn electronic document management into an integrated cycle irrespective of the model chosen. Common choices are required for infrastructure interoperability

19 Michele Nastri - notaio The Italian experience with electronic documents Digital signatures (1997) Digital signatures (1997) Electronic signatures (2002) Electronic signatures (2002) Roles and authority expressing signatures (1999-2002) Roles and authority expressing signatures (1999-2002) Time dating (1997-2002) Time dating (1997-2002) Transmission of electronic documents and certified e-mail (2005) Transmission of electronic documents and certified e-mail (2005) Storage of electronic documents (1994 - ?) Storage of electronic documents (1994 - ?)

20 The experience of the Italian notaries The experience of the Italian notaries is about an infrastructure model for the integrated management of electronic documents in a system characterized by many external constraints (legislation) The experience of the Italian notaries is about an infrastructure model for the integrated management of electronic documents in a system characterized by many external constraints (legislation) The approach to these practices must be very flexible, based on criteria that fit the evolution of applications, technology and legislation The approach to these practices must be very flexible, based on criteria that fit the evolution of applications, technology and legislation

21 Michele Nastri - notaio And in detail The Unified notarial network – Intranet (1997) The Unified notarial network – Intranet (1997) Consultation of public real estate and commercial registers (1998) Consultation of public real estate and commercial registers (1998) Digital signatures (1997-2001) Digital signatures (1997-2001) The Italian notary certification Authority: certification of the role of the notary (2002) The Italian notary certification Authority: certification of the role of the notary (2002) Interoperability (2002) Interoperability (2002) The transmission of notarial deeds to public administrations (2002-2003) The transmission of notarial deeds to public administrations (2002-2003) Time dating (2002-2003) Time dating (2002-2003) New transmission systems for electronic documents and certified e-mail (2005) New transmission systems for electronic documents and certified e-mail (2005) Storage of electronic documents (2005-2006) Storage of electronic documents (2005-2006)

22 Michele Nastri - notaio Applications Unified Real Estate Procedure: Unified Real Estate Procedure: State of implementation and extensions; State of implementation and extensions; Introduction of the signature: time and modality; Introduction of the signature: time and modality; Telematic real estate publicity: Telematic real estate publicity: Legislative constraints; Problems to be solved; Relations with Public Administrations; Legislative constraints; Problems to be solved; Relations with Public Administrations; The company register: The company register: A fully operational system; Signatures, Fe.Dra. and Telemaco;

23 Michele Nastri - notaio The digital signature: the present and the future The experience of the Italian notaries The experience of the Italian notaries The certifying Authority: reasons behind the choice The certifying Authority: reasons behind the choice The main applications: The main applications: The single formality and document registration The single formality and document registration The company register: The company register: A figure: 4.500 notaries, 3,000,000 signatures in one year. A figure: 4.500 notaries, 3,000,000 signatures in one year. For the exclusive use of the native" electronic document

24 Michele Nastri - notaio Models for Role Certification The flat model: limitations The flat model: limitations The model based on the use of extensions The model based on the use of extensions Assocertificatoris proposal The attribute certificate The attribute certificate The notary possibility www.assocertificatori.org

25 Michele Nastri - notaio The Notary Model Legislative and notarial law constraints Legislative and notarial law constraints The model based on role certification by the District Notarial Councils The model based on role certification by the District Notarial Councils The Italian notaries public Key Infrastructure (PKI) CERTIFICATION Consiglio Nazionale del Notariato (Certification Authority) CNN CND R.U.N. REGISTRATION Consigli notarili distrettuali (Registration Authority)

26 Michele Nastri - notaio Constant factors in electronic document management 1. Nature of a document and its creation 2. Life cycle of electronic documents (from creation to storage) 3. Document management and legal validity of the documents 4. Technical aspects of the electronic documents related to: Format - Signature - Management 5. Storage; 6. Duration 7. Transmission; 8. Access; 9. Security ; An infrastructure model that can be used for the Apostille that can be used for the Apostille

27 Michele Nastri - notaio Apostille The paper procedure INCLUSION OF THE APOSTILLE ON THE LISTS KEPT BY THE NATIONAL AUTHORITY AND POSSIBLE VERIFICATION APOSTILLE KEPT BY THE NATIONAL AUTHORITY PUBLIC OFFICIAL SIGNS SEALS ARE PLACED DRAFTING OF THE DOCUMENT

28 Michele Nastri - notaio Electronic apostille possibility 1. Unchanged legislation Drafting of document Public official places Electronic signature Verification of electronic signature Apostille kept by National authority The authority expressing electronic Signature is placed on the Apostille (possible) Verification of the apostille on the lists Kept by the national authority

29 Michele Nastri - notaio 1. Requirements and features Technical support to tie together different electronic documents (document and apostille) Technical support to tie together different electronic documents (document and apostille) Certification authority to attest the role of the national authority Certification authority to attest the role of the national authority Cross Certification among involved certification Authorities Cross Certification among involved certification Authorities Document storage system Document storage system

30 Michele Nastri - notaio 2. Legal constraints The paper description of the apostille The paper description of the apostille Possible reproduction in electronic form Possible reproduction in electronic form One interpretation and solution One interpretation and solution The possibility for single States to indicate new National Authorities to meet new requirements without modifying the Convention The possibility for single States to indicate new National Authorities to meet new requirements without modifying the Convention The need for national legislation to recognise electronic signatures The need for national legislation to recognise electronic signatures Cross Certification among involved certification Authorities Cross Certification among involved certification Authorities

31 Michele Nastri - notaio 3. Technological solutions Technological – legislative contribution Technological – legislative contribution Birth of the envelope concept to tie the documents (formalities, signed documents, etc.). The legal solution has to define the exchange formats in the law by using a standard XML Birth of the envelope concept to tie the documents (formalities, signed documents, etc.). The legal solution has to define the exchange formats in the law by using a standard XML

32 Michele Nastri - notaio 3. Technological solutions (continued) A common technology for electronic signatures and certification: international standards and their application A common technology for electronic signatures and certification: international standards and their application Storage: possibility of having national solutions and minimum shareability requirements Storage: possibility of having national solutions and minimum shareability requirements

33 The content of XML envelope APOSTILLE APOSTILLE (Convention de La Haye du 5 octobre 1961) 1. Pays:.................................................... 1. Pays:.................................................... Le présent acte public Le présent acte public 2. a été signé par.......................................... 2. a été signé par.......................................... 3. agissant en qualité de................................... 4. est revêtu du sceau/timbre de........................ 4. est revêtu du sceau/timbre de............................................................................................................................................ Attesté Attesté 5. à................ 6. le............................... 7. par...................................................... 8. sous N°.................. 9. Sceau/timbre: 10. Signature: Public Document (or copy) Digital signature of Public official Digital signature of National Authority

34 Building and signing the XML envelope Public document Digital signature of public official Apostille XML Envelope Digital Signature of National Authority List of National Authorities CRL of National Authorities

35 Michele Nastri - notaio Electronic apostille possibility 2. Certification of National Authorities Drafting of document Public official places Electronic signature Verification of electronic signature Electronic signature (espressing functions of national authority) is placed on the document already signed by the public official (possible) Verification of the apostille on the lists Kept by the national authority

36 Michele Nastri - notaio 1. Requirements and features When placed on a previously signed document, the signature that expresses the national authority conventionally replaces the apostille When placed on a previously signed document, the signature that expresses the national authority conventionally replaces the apostille Certification authority who attests the role of the national authority Certification authority who attests the role of the national authority Cross Certification among involved certification Authorities Cross Certification among involved certification Authorities Document storage system Document storage system

37 Michele Nastri - notaio 2. Legal constraints Modifications to the Convention Modifications to the Convention A provision that attributes a clear meaning to the signature expressing authority A provision that attributes a clear meaning to the signature expressing authority The need for national legislations to recognise electronic signatures The need for national legislations to recognise electronic signatures Cross Certification among involved certification Authorities Cross Certification among involved certification Authorities

38 Michele Nastri - notaio 3. Technological solutions A common technology for electronic signatures and certification: international standards and their application A common technology for electronic signatures and certification: international standards and their application The advantage of self-sufficient documents and OCSP technologies The advantage of self-sufficient documents and OCSP technologies Storage: the need for a document storage that makes verification possible and accessible at international level Storage: the need for a document storage that makes verification possible and accessible at international level

39 The content of XML envelope APOSTILLE APOSTILLE (Convention de La Haye du 5 octobre 1961) 1. Pays:.................................................... 1. Pays:.................................................... Le présent acte public Le présent acte public 2. a été signé par.......................................... 2. a été signé par.......................................... 3. agissant en qualité de................................... 4. est revêtu du sceau/timbre de........................ 4. est revêtu du sceau/timbre de............................................................................................................................................ Attesté Attesté 5. à................ 6. le............................... 7. par...................................................... 8. sous N°.................. 9. Sceau/timbre: 10. Signature: Public Document (or copy) Digital signature of Public official Digital signature of National Authority

40 Building and signing the XML envelope Public document Digital signature of public official XML Envelope Digital Signature of National Authority List of National Authorities CRL of National Authorities

41 Michele Nastri - notaio Electronic apostille possibility 3. Certification of Public Officials Drafting of The document Public official Places electronic signature Verification of signature on lists of Certificates shared according to common Tecnical and legal rules

42 Michele Nastri - notaio 1. Requirements and features Fully shared standards for electronic signatures Fully shared standards for electronic signatures Full technology interoperability at international level for electronic signatures Full technology interoperability at international level for electronic signatures National certification authorities who attest the role of public officials National certification authorities who attest the role of public officials Cross Certification among involved certification Authorities Cross Certification among involved certification Authorities Document storage system Document storage system

43 Michele Nastri - notaio 2. Legal constraints Modifications to the Convention Modifications to the Convention Elimination of all types of certification of origin and content of documents by National Authorities Elimination of all types of certification of origin and content of documents by National Authorities Use of specific signatures that express the authority of public officials. Use of specific signatures that express the authority of public officials. The need for different national legitimacy checks upon individual document issues The need for different national legitimacy checks upon individual document issues The need for national legislation to recognise electronic signatures The need for national legislation to recognise electronic signatures Cross Certification among involved certification Authorities Cross Certification among involved certification Authorities Individual states guarantee of the Certification Authoritys entitlement to attest the roles and the titles Individual states guarantee of the Certification Authoritys entitlement to attest the roles and the titles

44 Michele Nastri - notaio 3. Technological solutions A common technology for electronic signatures and certification: international standards and their application A common technology for electronic signatures and certification: international standards and their application Need for cross-certification Need for cross-certification The advantages of self-sufficient documents and OCSP technologies The advantages of self-sufficient documents and OCSP technologies Storage: the need for a document storage that makes verification possible and accessible at international level Storage: the need for a document storage that makes verification possible and accessible at international level

45 The content of XML envelope APOSTILLE APOSTILLE (Convention de La Haye du 5 octobre 1961) 1. Pays:.................................................... 1. Pays:.................................................... Le présent acte public Le présent acte public 2. a été signé par.......................................... 2. a été signé par.......................................... 3. agissant en qualité de................................... 4. est revêtu du sceau/timbre de........................ 4. est revêtu du sceau/timbre de............................................................................................................................................ Attesté Attesté 5. à................ 6. le............................... 7. par...................................................... 8. sous N°.................. 9. Sceau/timbre: 10. Signature: Lists of Public Officials Public Document (or copy) Digital signature of Public official Digital signature of National Authority

46 Building and signing the XML envelope Public document Digital signature of public official XML Envelope (recognition system) International lists of public officials (under control of national and International authority)

47 For further information email to: mnastri@notariato.it


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