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Scenarios for the electronic apostille certificate

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Presentation on theme: "Scenarios for the electronic apostille certificate"— Presentation transcript:

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

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 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 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 peculiarities of electronic documents Verification of applicability to the process for electronic documents Assessment of the various opportunities offered by electronic documents

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

5 Main elements of the process
Parties involved : The public official who emanated the document 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 final users in the receiving country Objects: The public document The Apostille List of Apostilles placed by each single Authority Michele Nastri - notaio

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

7 The Convention of the Hague
Main rules 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. 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. 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. Michele Nastri - notaio

8 The Convention of the Hague
Convention of the Hague 5 October 1961 The apostille certifies: Authenticity of the signature Capacity Stamps and seals 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. Michele Nastri - notaio

9 The Convention of the Hague
Main rules Article 5 (3) La signature, le sceau ou timbre qui figurent sur l'apostille sont dispensés de toute attestation. 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: 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. 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. Michele Nastri - notaio

10 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) Anyone may request the national authority to carry out a verification ex post (art. 7) Michele Nastri - notaio

11 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 The constraints of legislation designed for paper documents New opportunities by using electronic documents (multimedia files etc.) The different legal security strategy in the field of electronic documents. Signature authentication systems for electronic documents and electronic signatures. Michele Nastri - notaio

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

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

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

16 Common Problems in all possible scenarios
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 national authority subjects The need for multiple and indissoluble signatures (document and apostille) Michele Nastri - notaio

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

18 THE BASIC FUNCTIONAL REQUIREMENTS
Basic process components A system based on mutual recognition of electronic signatures A storage system 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 The Italian experience with electronic documents
Digital signatures (1997) Electronic signatures (2002) Roles and authority expressing signatures ( ) Time dating ( ) Transmission of electronic documents and certified (2005) Storage of electronic documents ( ?) Michele Nastri - notaio

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 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) Consultation of public real estate and commercial registers (1998) Digital signatures ( ) The Italian notary certification Authority: certification of the role of the notary (2002) Interoperability (2002) The transmission of notarial deeds to public administrations ( ) Time dating ( ) New transmission systems for electronic documents and certified (2005) Storage of electronic documents ( ) Michele Nastri - notaio

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

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

24 Models for Role Certification
The “flat” model: limitations The model based on the use of extensions Assocertificatori’s proposal The attribute certificate The notary possibility Michele Nastri - notaio 24

25 The Italian notaries’ public Key Infrastructure (PKI)
The Notary Model Legislative and notarial law constraints 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) Michele Nastri - notaio

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

27 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 Michele Nastri - notaio

28 Electronic apostille possibility 1. Unchanged legislation
Michele Nastri - notaio

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

30 Michele Nastri - notaio
2. Legal constraints The “paper” description of the apostille Possible reproduction in electronic form One interpretation and solution 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 Cross Certification among involved certification Authorities Michele Nastri - notaio

31 3. Technological solutions
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 Michele Nastri - notaio

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

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

34 Building and signing the XML envelope
List of National Authorities CRL of National Authorities

35 Michele Nastri - notaio
Electronic apostille possibility 2. Certification of National Authorities Michele Nastri - notaio

36 1. Requirements and features
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 Cross Certification among involved certification Authorities Document storage system Michele Nastri - notaio

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

38 3. Technological solutions
A common technology for electronic signatures and certification: international standards and their application 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 Michele Nastri - notaio

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

40 Building and signing the XML envelope
List of National Authorities CRL of National Authorities

41 Electronic apostille possibility 3. Certification of Public Officials
Michele Nastri - notaio

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

43 Michele Nastri - notaio
2. Legal constraints Modifications to the Convention 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. The need for different national legitimacy checks upon individual document issues The need for national legislation to recognise electronic signatures Cross Certification among involved certification Authorities Individual states’ guarantee of the Certification Authority’s entitlement to attest the roles and the titles Michele Nastri - notaio

44 3. Technological solutions
A common technology for electronic signatures and certification: international standards and their application Need for cross-certification 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 Michele Nastri - notaio

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

46 Building and signing the XML envelope

47 For further information email to: mnastri@notariato.it
Scenarios for the electronic apostille The present and the future of the international movement of public documents


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