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Electronic Document & Electronic Signatures


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Joint International Doctoral degree in Law, Science and Technology

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Electronic Document & Electronic Signatures

  1. 1. Electronic Document & Signatures Joint International Doctoral degree in Law, Science and Technology Michele Martoni Contract Professor at the University of Bologna Ph.D. in IT Law | Lawyer December 10, 2012, Bologna
  2. 2. 0. Roadmap1) Electronic Identification2) Identity theft and Data Value (Social Engineering, OSINT, Phishing, Uncorrected sharing of personal data - email, social network, cloud computing services, etc.)3) Technical Introduction4) Document and Signing5-6) Regulatory Framework (UE and Italian) slide 2
  3. 3. 1. Electronic Identification• Is there a way for remote certification of our identity ? Yes !• Is there a way to certify the integrity of an electronic document ? Yes !• We have technologies. We have norms. But we need to be aware of the correct use !• the risk is to use and to share our informations in a way that allow the “abuse” of these by third person slide 3
  4. 4. 2. Identity theft & Identity fraud• Identity theft is a form of stealing someones identity in which someone pretends to be someone else by assuming that persons identity.• Identity theft is not always detectable by the individual victims, according to a report done for the FTC. Identity fraud is often but not necessarily the consequence of identity theft.(1) Federal Trade Commission, 2006, Identity Theft Survey Report slide 4
  5. 5. 2.1. Social Engineering• Social engineering, in the context of security, is understood to mean the art of manipulating people into performing actions or divulging confidential information (also personal).• All social engineering techniques are based on specific attributes of human decision-making known as cognitive biases. These biases, sometimes called bugs in the human hardware, are exploited in various combinations to create attack techniques.(1) slide 5
  6. 6. 2.2. Phishing• Phishing is a technique of fraudulently obtaining private information.• Typically, the phisher sends an e-mail that appears to come from a legitimate business—a bank, or credit card company—requesting "verification" of information and warning of some dire consequence if it is not provided.• The e-mail usually contains a link to a fraudulent web page that seems legitimate—with company logos and content—and has a form requesting everything from a home address to an ATM card’s PIN code. slide 6
  7. 7. 2.3. Personal data sharing Ex. Facebook’s Statement of Rights and Responsabilities Art. 2. Sharing Your Content and Information You own all of the content and information you post on Facebook, and you can control how it is shared through your privacy and application setting. In addition: For content that is covered by intellectual property rights, like photos and videos (IP content), you specifically give us the following permission, subject to your privacy and application settings: you grant us a non-exclusive, transferable, sub-licensable, royalty-free, worldwide license to use any IP content that you post on or in connection with Facebook (IP License). This IP License ends when you delete your IP content or your account unless your content has been shared with others, and they have not deleted it.(1) slide 7
  8. 8. 3. Technical Introduction• The correct classification of the electronic signatures institute requires to start its examination from the essence of this technology.• Electronic signatures could be complex and modern applications of cryptography slide 8
  9. 9. 3. Technical Introduction• We can distinguish: – Cryptography – Cryptanalysis• The run between cryptography and cryptanalysis has led to the development of increasingly sophisticated techniques.• We can distinguish: – Steganography – Cryptography slide 9
  10. 10. 3.1. Steganography• physical occultation of the message• the message is physically “invisible”• high risk of prejudice in case of interception slide 10
  11. 11. 3.2. Cryptography• semantic occultation of the content of the message• the message is “visible” but not “understandable”• key management become a priority slide 11
  12. 12. 3.3. Symmetric cryptography• The symmetric cryptography, also known as private key encryption or secret key, is that particular cryptographic technique that involves the use of a single key for the encryption operation and for the deciphering slide 12
  13. 13. 3.3. Symmetric cryptography• Ex. Transpositional method slide 13
  14. 14. 3.3.1. Key Exchange Diffie, Hellman, Merkle (Stanford, 1976) slide 14
  15. 15. 3.4. RSA Algorithm Shamir, Rivest, Adleman (Boston, MIT, 1977) slide 15
  16. 16. 3.4.1. Asymmetric cryptography• The asymmetric encryption (public-key cryptography) instead contemplates the use of a pair of keys, a public key and a private key. The principle of this technique requires that what is encrypted with one key can only be decrypted with the other key of the pair slide 16
  17. 17. 3.4.2. Cryptographic keys• One key (Kpriv) to encrypt• One other key (Kpub) to decrypt• Two different key but interconnected• Private key (Kpriv) known only by holder• Public key (Kpub) known by everyone slide 17
  18. 18. 3.4.3. Chypertext ( KPUBBob) Alice Bob (KPUBAlice) ( KPUBBob) (KPRIVAlice) ( KPRIVBob)• Secrecy of content yes• Authentication no slide 18
  19. 19. 3.4.4. Signed text ( KPRIVAlice) Alice Bob (KPUBAlice) Dear Bob, ( KPUBBob) (KPRIVAlice) I love you … ( KPRIVBob) Alice• Secrecy of content no• Authentication yes slide 19
  20. 20. 3.4.5. Signed Cyphertext ( KPRIVAlice) ( KPUBBob) Alice Bob (KPUBAlice) Dear Bob, ( KPUBBob) (KPRIVAlice) I love you … ( KPRIVBob) Alice• Secrecy of content yes• Authentication yes slide 20
  21. 21. 3.4.6. Hash Function• The problem of encryption by public key infrastructure is the time necessary for mathematic operations of encryptions• Hash Function is an algorithm that turns a variable-sized amount of text into a fixed-sized output (hash value or digest). slide 21
  22. 22. 4. Document and Signing• Original concept of document• Original concept of signing(1) Martoni M., in Cyber Law, Suppl. 17 (december 2008), Italy, p. 138, Kluwer Law International slide 22
  23. 23. slide 23
  24. 24. 5. U.E. Regulatory Framework• Directive 1999/93/EC of the European Parliament and of the Council of 13 December 1999 on a Community framework for electronic signatures slide 24
  25. 25. 5.1. Directive Scope• to facilitate the use of electronic signatures• to contribute to their legal recognition• to ensure the proper functioning of the internal market• It does not cover aspects related to the conclusion and validity of contracts or other legal obligations slide 25
  26. 26. 5.2. Definitions|Electronic Signatures• data in electronic form which are attached to or logically associated with other electronic data and which serve as a method of authentication slide 26
  27. 27. 5.2. Definitions|Advanced E.S.• an electronic signature which meets the following requirements: – (a) it is uniquely linked to the signatory; – (b) it is capable of identifying the signatory; – (c) it is created using means that the signatory can maintain under his sole control; and – (d) it is linked to the data to which it relates in such a manner that any subsequent change of the data is detectable slide 27
  28. 28. 5.2. Definitions|Signatory• a person who holds a signature- creation device and acts either on his own behalf or on behalf of the natural or legal person or entity he represents slide 28
  29. 29. 5.2. Definitions|Sign.-creation data• unique data, such as codes or private cryptographic keys, which are used by the signatory to create an electronic signature slide 29
  30. 30. 5.2. Definitions|Sign.-creation device• means configured software or hardware used to implement the signature-creation data slide 30
  31. 31. 5.2. Definitions|Secure ... device• a signature-creation device which meets the requirements laid down in Annex III slide 31
  32. 32. 5.2. Definitions|Secure ... deviceAnnex III1. Secure signature-creation devices must, by appropriate technical and procedural means, ensure at the least that:(a) the signature-creation-data used for signature generation can practically occur only once, and that their secrecy is reasonably assured;(b) the signature-creation-data used for signature generation cannot, with reasonable assurance, be derived and the signature is protected against forgery using currently available technology;(c) the signature-creation-data used for signature generation can be reliably protected by the legitimate signatory against the use of others.2. Secure signature-creation devices must not alter the data to be signed or prevent such data from being presented to the signatory prior to the signature process. slide 32
  33. 33. 5.2. Definitions|Certificate• an electronic attestation which links signature-verification data to a person and confirms the identity of that person slide 33
  34. 34. 5.2. Definitions|Qualified Certificate• a certificate which meets the requirements laid down in Annex I and is provided by a certification-service- provider who fulfils the requirements laid down in Annex II slide 34
  35. 35. 5.2. Definitions|Annex IQualified certificates must contain:(a) an indication that the certificate is issued as a qualified certificate;(b) the identification of the certification-service- provider and the State in which it is established;(c) the name of the signatory or a pseudonym, which shall be identified as such;(d) provision for a specific attribute of the signatory to be included if relevant, depending on the purpose for which the certificate is intended; slide 35
  36. 36. 5.2. Definitions|Annex I(e) signature-verification data which correspond to signature-creation data under the control of the signatory;(f) an indication of the beginning and end of the period of validity of the certificate;(g) the identity code of the certificate;(h) the advanced electronic signature of the certification-service-provider issuing it;(i) limitations on the scope of use of the certificate, if applicable; and(j) limits on the value of transactions for which the certificate can be used, if applicable. slide 36
  37. 37. 5.2. Definitions|Annex IICertification-service-providers must:(a) demonstrate the reliability necessary for providing certification services;(b) ensure the operation of a prompt and secure directory and a secure and immediate revocation service;(c) ensure that the date and time when a certificate is issued or revoked can be determined precisely; slide 37
  38. 38. 5.2. Definitions|Annex II(d) verify, by appropriate means in accordance with national law, the identity and, if applicable, any specific attributes of the person to which a qualified certificate is issued;(e) employ personnel who possess the expert knowledge, experience, and qualifications necessary for the services provided, in particular competence at managerial level, expertise in electronic signature techology and familiarity with proper security procedures; they must also apply administrative and management procedures which are adequate and correspond to recognised standards; slide 38
  39. 39. 5.2. Definitions|Annex II(f) use trustworthy systems and products which are protected against modification and ensure the technical and cryptographic security of the process supported by them;(g) take measures against forgery of certificates, and, in cases where the certification-service-provider generates signature-creation data, guarantee confidentiality during the process of generating such data; slide 39
  40. 40. 5.2. Definitions|Annex II(h) maintain sufficient financial resources to operate in conformity with the requirements laid down in the Directive, in particular to bear the risk of liability for damages, for example, by obtaining appropriate insurance;(i) record all relevant information concerning a qualified certificate for an appropriate period of time, in particular for the purpose of providing evidence of certification for the purposes of legal proceedings. Such recording may be done electronically;(j) not store or copy signature-creation data of the person to whom the certification-service-provider provided key management services;(k) before entering into a contractual relationship with a person seeking a certificate to support his electronic signature inform that person by a durable means of communication of the precise terms and conditions regarding the use of the certificate, including any limitations on its use, the existence of a voluntary accreditation scheme and procedures for complaints and dispute settlement. Such information, which may be transmitted electronically, must be in writing and in redily understandable language. Relevant parts of this information must also be made available on request to third-parties relying on the certificate; slide 40
  41. 41. 5.2. Definitions|Annex II(l) use trustworthy systems to store certificates in a verifiable form so that:- only authorised persons can make entries and changes,- information can be checked for authenticity,- certificates are publicly available for retrieval in only those cases for which the certificate- holders consent has been obtained, and- any technical changes compromising these security requirements are apparent to the operator. slide 41
  42. 42. 5.2. Definitions|Annex IVRecommendations for secure signature verificationDuring the signature-verification process it should be ensured with reasonable certainty that:(a) the data used for verifying the signature correspond to the data displayed to the verifier;(b) the signature is reliably verified and the result of that verification is correctly displayed; slide 42
  43. 43. 5.2. Definitions|Annex IV(c) the verifier can, as necessary, reliably establish the contents of the signed data;(d) the authenticity and validity of the certificate required at the time of signature verification are reliably verified;(e) the result of verification and the signatorys identity are correctly displayed;(f) the use of a pseudonym is clearly indicated; and(g) any security-relevant changes can be detected. slide 43
  44. 44. Summary Electronic AdvancedSignature Signature Electronic Signature Signature Secure Signature Device Creation Device Creation Device QualifiedCertificate Certificate Certificate slide 44
  45. 45. 5.3. Market Access1. Member States shall not make the provision of certification services subject to prior authorisation. slide 45
  46. 46. 5.3. Market Access2. Without prejudice to the provisions of paragraph 1, Member States may introduce or maintain voluntary accreditation schemes aiming at enhanced levels of certification-service provision. All conditions related to such schemes must be objective, transparent, proportionate and non-discriminatory. Member States may not limit the number of accredited certification-service-providers for reasons which fall within the scope of this Directive.3. Each Member State shall ensure the establishment of an appropriate system that allows for supervision of certification-service-providers which are established on its territory and issue qualified certificates to the public. slide 46
  47. 47. 5.3. Market Access[...]7. Member States may make the use of electronic signatures in the public sector subject to possible additional requirements. Such requirements shall be objective, transparent, proportionate and non- discriminatory and shall relate only to the specific characteristics of the application concerned. Such requirements may not constitute an obstacle to cross-border services for citizens. slide 47
  48. 48. 5.4. Legal Effects1. Member States shall ensure that advanced electronic signatures which are based on a qualified certificate and which are created by a secure-signature-creation device:(a) satisfy the legal requirements of a signature in relation to data in electronic form in the same manner as a handwritten signature satisfies those requirements in relation to paper-based data; and(b) are admissible as evidence in legal proceedings. slide 48
  49. 49. 5.4. Legal Effects2. Member States shall ensure that an electronic signature is not denied legal effectiveness and admissibility as evidence in legal proceedings solely on the grounds that it is:- in electronic form, or- not based upon a qualified certificate, or- not based upon a qualified certificate issued by an accredited certification-service-provider, or- not created by a secure signature-creation device. slide 49
  50. 50. 5.5. Liability1. As a minimum, Member States shall ensure that by issuing a certificate as a qualified certificate to the public or by guaranteeing such a certificate to the public a certification-service-provider is liable for damage caused to any entity or legal or natural person who reasonably relies on that certificate:(a) as regards the accuracy at the time of issuance of all information contained in the qualified certificate and as regards the fact that the certificate contains all the details prescribed for a qualified certificate;(b) for assurance that at the time of the issuance of the certificate, the signatory identified in the qualified certificate held the signature- creation data corresponding to the signature-verification data given or identified in the certificate;(c) for assurance that the signature-creation data and the signature- verification data can be used in a complementary manner in cases where the certification-service-provider generates them both;(d) unless the certification-service-provider proves that he has not acted negligently. slide 50
  51. 51. 5.5. Liability2. As a minimum Member States shall ensure that a certification-service- provider who has issued a certificate as a qualified certificate to the public is liable for damage caused to any entity or legal or natural person who reasonably relies on the certificate for failure to register revocation of the certificate unless the certification-service-provider proves that he has not acted negligently.3. Member States shall ensure that a certification-service-provider may indicate in a qualified certificate limitations on the use of that certificate. provided that the limitations are recognisable to third parties. The certification-service-provider shall not be liable for damage arising from use of a qualified certificate which exceeds the limitations placed on it.4. Member States shall ensure that a certification-service-provider may indicate in the qualified certificate a limit on the value of transactions for which the certificate can be used, provided that the limit is recognisable to third parties.The certification-service-provider shall not be liable for damage resulting from this maximum limit being exceeded. slide 51
  52. 52. 5.6. International Aspects1. Member States shall ensure that certificates which are issued as qualified certificates to the public by a certification-service-provider established in a third country are recognised as legally equivalent to certificates issued by a certification- service-provider established within the Community if some conditions are realized. slide 52
  53. 53. 6. Italian Regulatory Framework• D.Lgs. 82/2005, Codice dell’Amministrazione Digitale (CAD)• D.P.C.M. 30/03/2009, Regole tecniche in materia di generazione, apposizione e verifica delle firme digitali e validazione temporale dei documenti informatici slide 53
  54. 54. 6.1. Definitions|Electronic Document• The informatics representation of acts, fact or data, legally relevant• i.e. file slide 54
  55. 55. 6.2. Definitions|Analogical Document• The “non” informatics representation of acts, fact or data, legally relevant• i.e. paper document slide 55
  56. 56. 6.3. Definitions|Copy and Duplicate1. informatics copy of analogical document: the electronic document with contents identical to the analogical document that inspired• for example transcription with word processor of paper (hand-written) notes or oral notes slide 56
  57. 57. 6.3. Definitions|Copy and Duplicate2. informatics copy image of analogical document: the electronic document with contents and forms identical to the analogical document that inspired• for example scan of paper document slide 57
  58. 58. 6.3. Definitions|Copy and Duplicate3. informatics copy of electronic documents: the electronic document with content identical to that of the document from which it is drawn on computer with different sequence of binary values• for example file translated in a different format (from .doc to .pdf) slide 58
  59. 59. 6.3. Definitions|Copy and Duplicate4. duplicate: the electronic document obtained by storing, on the same device or on different devices, the same sequence of binary values of the original document• for example “cut & paste” slide 59
  60. 60. 6.4. Definitions|Electronic Signature• linsieme dei dati in forma elettronica, allegati oppure connessi tramite associazione logica ad altri dati elettronici, utilizzati come metodo di identificazione informatica• the set of data in electronic form attached to or logically associated with other electronic data, used as a method of informatics identification (authentication) slide 60
  61. 61. 6.5. Definitions|Advanced E.S.• insieme di dati in forma elettronica allegati oppure connessi a un documento informatico che consentono l’identificazione del firmatario del documento e garantiscono la connessione univoca al firmatario, creati con mezzi sui quali il firmatario può conservare un controllo esclusivo, collegati ai dati ai quali detta firma si riferisce in modo da consentire di rilevare se i dati stessi siano stati successivamente modificati• set of data in electronic form attached to or associated with an electronic document that enable identification of the signatory of the document and provide the unique connection to the signatory, created using means that the signatory can maintain exclusive control, linked to the data to which that signature refers to allow to detect whether the data have been subsequently modified slide 61
  62. 62. 6.6. Definitions|Qualified E.S.• un particolare tipo di firma elettronica avanzata che sia basata su un certificato qualificato e realizzata mediante un dispositivo sicuro per la creazione della firma• a particular type of advanced electronic signature that is based on a qualified certificate and created by a secure device for the creation of signature slide 62
  63. 63. 6.6.1. Certification Authority• The digital signature technology ensure that in the process of sign was used the private key connected to the public key used for verification.• The certification of the key has the different function to connect the public key to an identified person.• The certification, in the case of the digital signature, is the result of the informatics procedure, applied to the public key and detectable by the validation systems, that ensures the correspondence between public key and subject holder to whom it belongs, it identifies the period of validity of that key and the expiry date of the certificate slide 63
  64. 64. 6.6.1. Certification Authority• Simple C.A.• Qualified C.A.• Accredited C.A. – Different qualities – Different procedures to become C.A. – Different level of the certification services slide 64
  65. 65. 6.6.2. Electronic Certificate• Electronic Certificates – electronic certificates are now defined such as electronic certificates that connect the identity of the holder to the data used to verify electronic signatures• Qualified Certificates – qualified certificates are electronic certificates comply with the requirements envisaged in Annex I of the Directive and issued by certification meets the requirements provided in Annex II of the Directive slide 65
  66. 66. 6.6.3. Signature Device• Signature Device• Secure Signature Device slide 66
  67. 67. 6.7. Definitions|Digital Signature• un particolare tipo di firma elettronica avanzata basata su un certificato qualificato e su un sistema di chiavi crittografiche, una pubblica e una privata, correlate tra loro, che consente al titolare tramite la chiave privata e al destinatario tramite la chiave pubblica, rispettivamente, di rendere manifesta e di verificare la provenienza e lintegrità di un documento informatico o di un insieme di documenti informatici• a particular type of advanced electronic signature based on a qualified certificate and a system of cryptographic keys, one public and one private, related to each other, which allows the holder using the private key and the recipient using the public key, respectively, to make manifest and verify the origin and integrity of an electronic document or a set of electronic documents slide 67
  68. 68. Summary• Electronic Signature – Electronic Signature • Advanced Electronic Signature – Qualified Electronic Signature » Digital Signature » [other] – [other] • [other]• Electronic Certificate – Electronic Certificate – Electronic Qualified Certificate – Certification Authority• Signature Device – Signature Device – Secure Signature Device• Certification Authority – Certification Authority – Qualified Certification Authority – Accredited Certification Authority slide 68
  69. 69. Summary slide 69
  70. 70. 6.8. Legal Effects• Art. 20.1 bis CAD – Lidoneità del documento informatico a soddisfare il requisito della forma scritta e il suo valore probatorio sono liberamente valutabili in giudizio, tenuto conto delle sue caratteristiche oggettive di qualità, sicurezza, integrità ed immodificabilità, fermo restando quanto disposto dall’articolo 21. – The suitability of the electronic document to satisfy the requirement of written form and its probative value can be freely evaluated in judgment, in view of its objective characteristics of quality, safety, integrity and immutability, subject to the provisions of Article 21. slide 70
  71. 71. 6.8. Legal Effects• Art. 21.1 CAD – Il documento informatico, cui è apposta una firma elettronica, sul piano probatorio è liberamente valutabile in giudizio, tenuto conto delle sue caratteristiche oggettive di qualità , sicurezza, integrità e immodificabilità. – The electronic document, which is signed with a electronic signature, in terms of evidence is freely estimated in judgment, in view of its objective characteristics of quality, safety, integrity and immutability. slide 71
  72. 72. 6.8. Legal Effects• Art. 21.2 CAD – Il documento informatico sottoscritto con firma elettronica avanzata, qualificata o digitale, formato nel rispetto delle regole tecniche di cui allarticolo 20, comma 3, che garantiscano lidentificabilità dellautore, lintegrità e limmodificabilità del documento, ha lefficacia prevista dallarticolo 2702 del codice civile. Lutilizzo del dispositivo di firma si presume riconducibile al titolare, salvo che questi dia prova contraria. – The electronic document signed with an advanced electronic signature, qualified or digital, format in compliance with the technical rules [...], to ensure the identification of the author, integrity and immutability of the paper, has the effectiveness of Article 2702 of the Italian Civil Code. The use of the signature device is assumed due to the owner, unless he proves otherwise. slide 72
  73. 73. 6.8. Legal Effects• Art. 21.2 bis CAD – Salvo quanto previsto dall’articolo 25, le scritture private di cui all’articolo 1350, primo comma, numeri da 1 a 12, del codice civile, se fatte con documento informatico, sono sottoscritte, a pena di nullità, con firma elettronica qualificata o con firma digitale. – Except as provided in Article 25, the private documents referred to in Article 1350, first paragraph numbers from 1 to 12, of the Civil Code, if done with electronic documents are signed, under penalty of nullity, with qualified electronic signature or with digital signature. slide 73
  74. 74. 6.9. Time Stamping• The result of the informatics procedure which is attributed to one or more electronic documents, a date and a time enforceable against third parties• The timestamp has another important function. It allows to extend the value of the certificate of digital signature beyond the normal period of validity. This is on condition that the signature is associated with a timestamp, enforceable against third parties, at an earlier time than the suspension, expiration or revocation of the certificate. slide 74
  75. 75. Thank youMichele MartoniContract Professor at the University of BolognaPh.D. In IT |