Scenarios for the electronic apostille certificate Present and future of the international...

Scenarios for the Scenarios for the electronic apostille electronic apostille

certificatecertificatePresent and future of the Present and future of the

international circulation of public international circulation of public documentsdocuments

Michele NastriConsiglio Nazionale del Notariato - Italy

International Forum on e-Notarization and e-Apostilles(Las Vegas, 30 and 31 May 2005)

Definition of the logic and the Definition of the logic and the rolerole of the Apostilleof the Apostille

The Apostille is a standard form defined in the The Apostille is a standard form defined in the Convention and transposed into national Convention and transposed into national legislations for legislations for the the mutual recognition of public mutual recognition of public documentsdocuments

Its Its rolerole is to simplify the circulation of public is to simplify the circulation of public documents in secure conditions from a legal and documents in secure conditions from a legal and practical point of view practical point of view

The advantages it produces are reduced cost and The advantages it produces are reduced cost and higher higher speed for all transactions carried out with speed for all transactions carried out with ApostilleApostilless

This presentation aims at demonstrating the This presentation aims at demonstrating the possibility of adopting thpossibility of adopting thisis model in the electronic model in the electronic document processing context, on the basis of a document processing context, on the basis of a national level experience. national level experience.

A possible way to the e-apostilleA possible way to the e-apostille

Identification of the logical and legal Identification of the logical and legal process process forfor paper documents paper documents

Identification of the peculiarities of Identification of the peculiarities of electronic documentelectronic documentss

Verification of applicability to the Verification of applicability to the process process forfor electronic documents electronic documents

Assessment of the various Assessment of the various opportunities offered by electronic opportunities offered by electronic documentdocumentss

Michele Nastri - notaio

The current general modelThe current general model

List ofCompetent Authorities

Public Official

Public Document

Ministry of Foreign Affairs of the Netherlands

Apostille

National Authority

List of Apostilles

Final User


Main elements of the processMain elements of the processPParties arties iinvolvednvolved : :

The public The public official who emanated the documentofficial who emanated the document The national authority who placed the ApostilleThe national authority who placed the Apostille, ,

designated designated by the State of origin by the State of origin The list of Authorities competent to place the The list of Authorities competent to place the

Apostille (Ministry of Foreign Affairs of the Apostille (Ministry of Foreign Affairs of the Netherlands)Netherlands)

The The final usersfinal users in the receiving country in the receiving country

Objects:Objects: The public documentThe public document The Apostille The Apostille LList of Apostilles placed by each single ist of Apostilles placed by each single

AuthorityAuthority


Features of the procedureFeatures of the procedure

What it does:What it does: it recognises the competent Authorities it recognises the competent Authorities

in each Countryin each Country it it verifiesverifies the apparent origin of the the apparent origin of the

competent Authorities competent Authorities it uses standards to reduce the need for it uses standards to reduce the need for

checks on single documentschecks on single documents it is able to check each single documentit is able to check each single document


The Convention of the HagueThe Convention of the Hague Main rulesMain rules

Article 3 Article 3 La seule formalité qui puisse être exigée pour attester la La seule formalité qui puisse être exigée pour attester la

véracité de la signature, la qualité en laquelle le véracité de la signature, la qualité en laquelle le signataire de l'acte a agi et, le cas échéant, l'identité du signataire de l'acte a agi et, le cas échéant, l'identité du sceau ou timbre dont cet acte est revêtu, est sceau ou timbre dont cet acte est revêtu, est l'apposition de l'apostille définie à l'article 4, délivrée par l'apposition de l'apostille définie à l'article 4, délivrée par l'autorité compétente de l'Etat d'où émane le document. 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 L'apostille prevue à l'article 3, alinéa premier, est

apposée sur l'acte lui-même ou sur une allonge; elle doit apposée sur l'acte lui-même ou sur une allonge; elle doit être conforme au modèle annexé à la présente être conforme au modèle annexé à la présente Convention. Convention.

Article 6 Article 6 Chaque Etat contractant désignera les autorités prises Chaque Etat contractant désignera les autorités prises

ès qualités, auxquelles est attribuée compétence pour ès qualités, auxquelles est attribuée compétence pour délivrer l'apostille prévue à l'article 3, alinéa premier. délivrer l'apostille prévue à l'article 3, alinéa premier.


The Convention of the HagueThe Convention of the Hague CConvention of the Hague 5 October 1961onvention of the Hague 5 October 1961

The apostille certifies:The apostille certifies: AAuthenticity of the signatureuthenticity of the signature CCapacityapacity Stamps and sealsStamps and seals

This form has predefined contents and This form has predefined contents and formatformat (a square with a minimum length of nine (a square with a minimum length of nine centimetres) centimetres)

The designation and modification of the The designation and modification of the

national authorities who can issue the apostille national authorities who can issue the apostille is done outside the convention, through is done outside the convention, through communications from each foreign ministry to communications from each foreign ministry to the ministry of foreign affairs of the the ministry of foreign affairs of the Netherlands. Netherlands.


The Convention of the Hague The Convention of the Hague Main rulesMain rules

Article 5 (3) La signature, le sceau ou timbre qui Article 5 (3) La signature, le sceau ou timbre qui figurent sur l'apostille sont dispensés de toute figurent sur l'apostille sont dispensés de toute attestation. attestation.

Article 7 Article 7 Chacune des autorités désignées conformément à Chacune des autorités désignées conformément à

l'article 6 doit tenir un registre ou fichier dans lequel elle l'article 6 doit tenir un registre ou fichier dans lequel elle prend note des apostilles délivrées en indiquant: 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 b) le nom du signataire de l'acte public et la qualité en

laquelle il a agi, ou, pour les actes non signés, laquelle il a agi, ou, pour les actes non signés, l'indication de l'autorité qui a apposé le sceau ou timbre. l'indication de l'autorité qui a apposé le sceau ou timbre.

A la demande de tout intéressé l'autorité qui a délivré A la demande de tout intéressé l'autorité qui a délivré l'apostille est tenue de vérifier si les inscriptions portées l'apostille est tenue de vérifier si les inscriptions portées sur l'apostille correspondent à celles du registre ou du sur l'apostille correspondent à celles du registre ou du fichier. fichier.


The Convention of the HagueThe Convention of the Hague

The signature and the distinguishing The signature and the distinguishing signs on the apostille are exempt signs on the apostille are exempt from all forms of from all forms of certificationcertification and and legalisation (art. 5)legalisation (art. 5)

Anyone may request the national Anyone may request the national authority to carry out a verification authority to carry out a verification ex postex post (art. 7) (art. 7)


Legal and technological Legal and technological prospectsprospects f foror the the electronic Apostilleelectronic Apostille

How tHow the electronic Apostille he electronic Apostille cancan improve improve the usefulness of the Apostille and allow the usefulness of the Apostille and allow the immediate transmission of documents the immediate transmission of documents to publishto publish

The constraints of The constraints of legislation legislation designed for designed for paper documents paper documents

New New opportunities opportunities byby using electronic using electronic documentdocumentss (multimedia files etc.) (multimedia files etc.)

The different legal security strategy in the The different legal security strategy in the field of electronic documents.field of electronic documents.

Signature authentication systems for Signature authentication systems for electronic documents and electronic electronic documents and electronic signatures.signatures.


Advantages of the apostille: Advantages of the apostille: speed and secuspeed and securitrityy

SPEEDSPEED StandardisationStandardisation FewFew parties and parties and

subjectssubjects involved involved No moreNo more

preventive checkspreventive checks Lower costsLower costs

LEGAL SECURITYLEGAL SECURITY StandardisationStandardisation CCommon and ommon and

rreliable ruleseliable rules Mutual Mutual

authentication of authentication of involved parties involved parties

Possibility to carry Possibility to carry out verificationout verifications ex s ex postpost with a with a predetermined predetermined procedureprocedure

Advantages and disadvantages of Advantages and disadvantages of electronic documentelectronic documentss

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


Legal constraints of the electronic Legal constraints of the electronic ApostilleApostille

The logical priority of a legal-political-The logical priority of a legal-political-organisational modelorganisational model

Legislation modification choices. Legislation modification choices. What can be done without legislation What can be done without legislation

modificationsmodifications Assessment of minimum impact Assessment of minimum impact

legislation modificationslegislation modifications


Legal constraints of the electronic Legal constraints of the electronic ApostilleApostille

Legal constraints are less Legal constraints are less flexible than technological flexible than technological onesones

There is the need of:There is the need of: a technologically neutral choicea technologically neutral choice standard technologies and standard technologies and

system interoperabilitysystem interoperability


Common Problems in all possible Common Problems in all possible scenariosscenarios

The need for electronic signatures The need for electronic signatures with mutual authenticationwith mutual authentication

The need for electronic signatures The need for electronic signatures that certify the that certify the rolerole of the public of the public officialofficial

The need for electronic signatures The need for electronic signatures that certify the that certify the rolerole of the national of the national authority subjectsauthority subjects

The need for The need for multiple and multiple and indissoluble signaturesindissoluble signatures (document (document and apostille) and apostille)


Common Problems in all possible Common Problems in all possible scenarios (continued)scenarios (continued)

The need to certify the time of The need to certify the time of document document creationcreation

The need to certify document The need to certify document integrityintegrity

The need for a secure storage The need for a secure storage system of electronic documents and system of electronic documents and registersregisters

The need to automatize the whole The need to automatize the whole process including verification and process including verification and control phasescontrol phases

THE BASIC FUNCTIONAL THE BASIC FUNCTIONAL REQUIREMENTSREQUIREMENTS

BasicBasic process components process componentsA system based on mutual recognition of A system based on mutual recognition of electronic signatureselectronic signatures

A storage system A storage system Network infrastructure operating securelyNetwork infrastructure operating securely

The infrastructures must The infrastructures must turnturn electronic electronic document managedocument management intoment into an integrated an integrated cycle irrespective of the model chosen. cycle irrespective of the model chosen.

Common choices are Common choices are requiredrequired for for infrastructure interoperabilityinfrastructure interoperability


The Italian experience with The Italian experience with electronic documentselectronic documents

Digital signatures (1997)Digital signatures (1997) Electronic signatures (2002)Electronic signatures (2002) Roles and Roles and authority expressingauthority expressing

signaturesignaturess (1999-2002) (1999-2002) Time dating (1997-2002)Time dating (1997-2002) Transmission of electronic Transmission of electronic

documents and certified e-mail documents and certified e-mail (2005)(2005)

Storage of electronic documents Storage of electronic documents (1994 - ?)(1994 - ?)

The experience of the Italian The experience of the Italian notarnotariies es

The experience of the Italian notaries The experience of the Italian notaries is is about about aann infrastructure model for infrastructure model for the integrated management of the integrated management of electronic documents in a system electronic documents in a system characterized by many external characterized by many external constraints (legislation)constraints (legislation)

The approach to these practices The approach to these practices must be very flexible, based on must be very flexible, based on criteria that fit the evolution of criteria that fit the evolution of applications, technology and applications, technology and legislation legislation


And in detailAnd in detail The Unified notarial network – Intranet (1997)The Unified notarial network – Intranet (1997) Consultation of public real estate and Consultation of public real estate and

commercial registers (1998)commercial registers (1998) Digital signatures (1997-2001)Digital signatures (1997-2001) The Italian notary certification Authority: The Italian notary certification Authority:

certification of the certification of the rolerole of the notary (2002) of the notary (2002) Interoperability (2002)Interoperability (2002) The transmission of notarial deeds to public The transmission of notarial deeds to public

administrations (2002-2003) administrations (2002-2003) Time dating (2002-2003)Time dating (2002-2003) New tNew transmission ransmission systems systems fforor electronic electronic

documents and certified e-mail (2005)documents and certified e-mail (2005) Storage of electronic documents (2005-2006)Storage of electronic documents (2005-2006)


ApplicationsApplications

Unified Real Estate ProcedureUnified Real Estate Procedure: : SState of implementation and extensions;tate of implementation and extensions; Introduction of the signature: time and Introduction of the signature: time and

modality;modality;

Telematic real estate publicity:Telematic real estate publicity: Legislative constraints; Problems to be solved; Legislative constraints; Problems to be solved;

RelRelaations with Public Administrationtions with Public Administrationss;;

The company register:The company register: A fully operational system; Signatures, Fe.Dra.

and Telemaco;


The dThe digital signature: igital signature: the the pprresent and the futureesent and the future

The experience of the Italian notarThe experience of the Italian notariieses The certifying Authority: reasons The certifying Authority: reasons behindbehind

thethe choice choice The main applications: The main applications:

The The single single formalityformality and document and document registrationregistration

The company register:The company register:A figure: 4.500 notaries, 3,000,000 A figure: 4.500 notaries, 3,000,000 signatures in one year.signatures in one year.

For For the the exclusive use of the exclusive use of the “native" electronic “native" electronic documentdocument


Models for Models for RoleRole CertificationCertification

The “flat” model: limitations The “flat” model: limitations The model based on the use of The model based on the use of

extensionsextensionsAssocertificatori’s proposalAssocertificatori’s proposal

The attrThe attriibute certificatebute certificateThe notary possibility The notary possibility

www.assocertificatori.orgwww.assocertificatori.org


The Notary ModelThe Notary Model

Legislative and notarial law constraints Legislative and notarial law constraints The model based on role certification by the The model based on role certification by the

District Notarial CouncilsDistrict Notarial Councils

The Italian notaries’ public Key Infrastructure (PKI)

CERTIFICATIONConsiglio Nazionale del Notariato (Certification Authority)

CNN

CND

CNDCND

R.U.N.

REGISTRATIONConsigli notarili distrettuali (Registration Authority)


Constant factors in electronic Constant factors in electronic document managementdocument management

1.1. NaNatture of a document and its ure of a document and its creationcreation2.2. Life cycle of electronic documentLife cycle of electronic documentss (from (from

creation to storage)creation to storage)3.3. Document management and legal validity Document management and legal validity

of the documentsof the documents4.4. Technical aspects of the electronic Technical aspects of the electronic

documents related to:documents related to:Format - Signature - ManagementFormat - Signature - Management

5.5. Storage;Storage;6.6. DurationDuration7.7. Transmission;Transmission;8.8. Access;Access;9.9. SecuritySecurity;;

An infrastructure model An infrastructure model that can be used for the that can be used for the

ApostilleApostille


ApostilleApostilleThe paper procedureThe paper procedure

INCLUSION OF THE APOSTILLE ON THE LISTS KEPT BY THE NATIONAL AUTHORITY

AND POSSIBLE VERIFICATION

APOSTILLE KEPT BY THE NATIONAL AUTHORITY

PUBLIC OFFICIALSIGNS

SEALS ARE PLACED

DRAFTING OF THE DOCUMENT


Electronic apostille possibilityElectronic apostille possibility1. Unchanged legislation 1. Unchanged legislation

(possible)Verification of the apostille on the lists

Kept by the national authority

The authority expressing electronicSignature is placed on the Apostille

Apostille kept byNational authority

Verification of electronicsignature

Public official placesElectronic signature

Drafting of document


1. Requirements and features1. Requirements and features

Technical support to tie together Technical support to tie together different electronic documents different electronic documents (document and apostille) (document and apostille)

Certification authority to attest the Certification authority to attest the rolerole of the national authority of the national authority

Cross Certification among involved Cross Certification among involved certification certification AAuthorituthoritiesies

Document storage system Document storage system


2. Legal constraints2. Legal constraints

The “paper” description of the apostilleThe “paper” description of the apostille Possible reproduction in electronic formPossible reproduction in electronic form One interpretation and solution One interpretation and solution The possibility for single States to indicate The possibility for single States to indicate

new National Authorities to meet new new National Authorities to meet new requirements without modifying the requirements without modifying the ConventionConvention

The need for national legislation to The need for national legislation to recognise electronic signaturesrecognise electronic signatures

Cross Certification among involvedCross Certification among involved certification certification AAuthorituthoritiesies


3. Technological solutions3. Technological solutions

Technological – legislative Technological – legislative contributioncontribution

Birth of the envelope concept to Birth of the envelope concept to tie tie the documents (formalities, signed the documents (formalities, signed documents, etc.). The legal solution documents, etc.). The legal solution hashas to define the exchange formats to define the exchange formats in the law in the law by using a standard XMLby using a standard XML


3. Technological solutions 3. Technological solutions (continued)(continued)

A common technology for electronic A common technology for electronic signatures and certification: signatures and certification: international standards and their international standards and their applicationapplication

Storage: possibility of having national Storage: possibility of having national solutions and minimum sharsolutions and minimum shareabilityeability requirementsrequirements

The content of XML envelopeThe 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 ................ 6. le ...............................

7. par ......................................................

8. sous N° ..................

9. Sceau/timbre: 10. Signature:

Public Document

(or copy)

Digital signature of

Public official


National Authority

Building and signing the XML Building and signing the XML envelopeenvelope

Digital Signature Digital Signature

of National Authorityof National Authority

XML Envelope

ApostilleApostille

Digital signature of public official

Public document

List of National Authorities

CRL of National Authorities


Electronic apostille possibilityElectronic apostille possibility2. Certification of National 2. Certification of National

AuthoritiesAuthorities

(possible)Verification of the apostille on the lists

Kept by the national authority

Electronic signature (espressing functions of national authority) is placed on the document

already signed by the public official

Verification of electronicsignature

Public official placesElectronic signature

Drafting of document



When When placed on aplaced on a previously previously signed signed documentdocument,, tthe signature that he signature that expressexpresses es the national authority the national authority conventionally replaces the apostille conventionally replaces the apostille

Certification authority who attests Certification authority who attests the the rolerole of the national authority of the national authority




2. Legal constraints2. Legal constraints

Modifications to the ConventionModifications to the Convention A provision that attributes a clear A provision that attributes a clear

meaning to the signature meaning to the signature expressinexpressingg authorityauthority

The need for national legislations to The need for national legislations to recognise electronic signaturesrecognise electronic signatures




A common technology for electronic A common technology for electronic signatures and certification: international signatures and certification: international standards and their applicationstandards and their application

The The advantageadvantage of of self-sufficientself-sufficient documents and OCSP technologiesdocuments and OCSP technologies

Storage: the need for a document storage Storage: the need for a document storage that that makesmakes verification possible and verification possible and accessible at international level accessible at international level




2. a été signé par ..........................................



..........................................................

Attesté

5. à ................ 6. le ...............................

7. par ......................................................

8. sous N° ..................


Public Document

(or copy)


Public official


National Authority


Digital Signature Digital Signature

of National Authorityof National Authority

XML Envelope


Public document

List of National Authorities

CRL of National Authorities


Electronic apostille possibilityElectronic apostille possibility3. Certification of Public Officials3. Certification of Public Officials

Verification of signature on lists of Certificates shared according to common

Tecnical and legal rules

Public officialPlaces electronic signature

Drafting ofThe document



Fully shared standards for electronic Fully shared standards for electronic signaturessignatures

Full technology interoperability at Full technology interoperability at international level for electronic signatures international level for electronic signatures

National certification authorities who National certification authorities who attest the attest the rolerole of public officials of public officials




2. Legal constraints2. Legal constraints Modifications to the ConventionModifications to the Convention Elimination of all types of certification of origin Elimination of all types of certification of origin

and content of documents by National Authoritiesand content of documents by National Authorities Use of specific signatures that express the Use of specific signatures that express the

authority of public officials.authority of public officials. The need for different national legitimacy checks The need for different national legitimacy checks

upon individual document issuesupon individual document issues The need for national legislation to recognise The need for national legislation to recognise

electronic signatureselectronic signatures Cross Certification among involved certification Cross Certification among involved certification

AAuthorituthoritiesies Individual states’ guarantee of the Certification Individual states’ guarantee of the Certification

Authority’s entitlement to attest the roles and the Authority’s entitlement to attest the roles and the titlestitles



A common technology for electronic A common technology for electronic signatures and certification: signatures and certification: international standards and their international standards and their applicationapplication

Need for cross-certificationNeed for cross-certification The The advantagesadvantages of self-sufficient of self-sufficient

documents and OCSP technologiesdocuments and OCSP technologies Storage: the need for a document Storage: the need for a document

storage that storage that makes verificationmakes verification possible and accessible at possible and accessible at international levelinternational level




2. a été signé par ..........................................



..........................................................

Attesté

5. à ................ 6. le ...............................

7. par ......................................................

8. sous N° ..................


Lists of Public Officials

Public Document

(or copy)


Public official

Digital signature of National Authority


International lists of public officials

(under control of national and

International authority)

XML Envelope (recognition system)


Public document

For further For further informationinformationemail to: email to:

mnastri@[email protected]

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