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Draft

Notfordissemination

Fortheusebyinvitedexpertsonly

GuidelinesontheLegislativeFrameworkforCivilRegistration,VitalStatisticsandIdentityManagement

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ThisdraftispreparedbyUnitedNationsStatisticsDivisionandVitalStrategieswithfinancialsupportfromtheBloombergDataforHealthInitiative.

UnitedNationsStatisticsDivisionEditor‐in‐Chief: SrdjanMrkić,UNStatisticsDivisionDrafters: Mary‐LynnSferrazza,VitalStrategies

AshleyD.Frederes,VitalStrategies AaronSchwid,VitalStrategiesThedraftwillbereviewedbytheUnitedNationsExpertGroupMeetingtakingplaceinUNHeadquarters,NewYork,from17‐19December2018,organizedbytheUnitedNationsStatisticsDivisionwithfullsupportofVitalStrategies.ConclusionsandrecommendationsfromthemeetingwillbeincorporatedinthefinalversionoftheseGuidelinesthatwillbesubmittedtotheUnitedNationsStatisticalCommissionforadoption.Thetexthasnotbeenformallyedited.NewYork,November2018

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Contents

I.  Introduction ........................................................................................ 6 

II.  OverviewofCivilRegistration,VitalStatisticsandIdentityManagementSystems .................................................................................................... 9 

A.  INTRODUCTION ................................................................................................................ 9 

B.  CONCEPTSANDDEFINITIONS ............................................................................................. 9 

C.  PRINCIPLESOFCIVILREGISTRATIONANDIDENTITYMANAGEMENT ........................................ 12 

D.  FUNCTIONSOFCIVILREGISTRATIONANDIDENTITYMANAGEMENT ........................................ 19 

E.  VITALEVENTS ............................................................................................................... 22 

F.  IDENTITYMANAGEMENT ................................................................................................. 24 

G.  INTEROPERABILITY ......................................................................................................... 27 

H.  ACCOUNTABILITYANDGOVERNANCE ................................................................................ 30 

III.  HumanRightsandCivilRegistration,VitalStatisticsandIdentityManagementSystems .................................................................................................. 33 

A.  RIGHTS‐BASEDAPPROACHTOCRVSIDLEGALFRAMEWORKS ................................................ 33 

B.  RIGHTTOREGISTERVITALEVENTS .................................................................................. 35 

C.  HUMANRIGHTSTHATMAYDEPENDONTHEREGISTRATIONOFVITALEVENTS ......................... 37 

D.  PROTECTIONOFVULNERABLEPOPULATIONS ...................................................................... 44 

IV.  InstitutionalArrangementsforCivilRegistration,VitalStatisticsandIdentityManagementSystems ............................................................................... 49 

A.  CENTRALIZEDVERSUSDECENTRALIZEDSYSTEMS ............................................................... 49 

B.  SINGLEVERSUSMULTIPLELEADAGENCIES ......................................................................... 50 

C.  MINISTRYVERSUSAUTONOMOUSAGENCY .......................................................................... 52 

D.  POWERTOISSUEREGULATIONSANDTODELEGATEAUTHORITY ............................................. 53 

E.  THEROLEOFTHEHEALTHSECTOR .................................................................................. 55 

F.  THEROLEOFTHEPOLICE,CORONERANDEMERGENCYSERVICES .......................................... 58 

G.  THEROLEOFCUSTODIANSOFFUNERAL,BURIALANDCREMATIONFACILITIES ....................... 59 

H.  THEROLEOFTHECOURTS ............................................................................................... 59 

I.  INTER‐AGENCYCOOPERATION .......................................................................................... 60 

J.  FINANCIALRESOURCES ................................................................................................... 62 

V.  Legislative Framework ................................................................ 63 

Introduction ....................................................................................................................... 63 

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SECTION1.GENERALPROVISIONSANDADMINISTRATIVEINFRASTRUCTURE ................................... 65 

A.  GENERALPROVISIONS ..................................................................................................... 65 

B.  CIVILREGISTRATION,VITALSTATISTICSANDIDENTITYMANAGEMENTINFRASTRUCTURE .......... 68 

SECTION2.CIVILREGISTRATION ................................................................................................. 73 

A.  REGISTRATIONOFBIRTH ................................................................................................. 73 

B.  REGISTRATIONOFFOETALDEATH .................................................................................... 85 

C.  REGISTRATIONOFDEATH ................................................................................................ 86 

D.  REGISTRATIONOFMARRIAGE ......................................................................................... 100 

E.  REGISTRATIONOFDISSOLUTIONOFMARRIAGEORCIVILUNION ........................................... 103 

F.  CORRECTIONSANDAMENDMENTSTOTHERECORD ............................................................ 105 

G.  SUBMISSIONOFLOCALREGISTRARRECORDSTONATIONALREGISTRAR ................................. 108 

H.  FEES ........................................................................................................................... 109 

SECTION3.IDENTITYMANAGEMENT .......................................................................................... 110 

A.  IDENTITYMANAGEMENTPRINCIPLESANDLIFECYCLE .........................................................111 

B.  FEES ............................................................................................................................ 117 

SECTION4.THEPOPULATIONREGISTER .................................................................................... 117 

A.  INFORMATIONTOBESUBMITTEDTOTHEPOPULATIONREGISTER ......................................... 118 

B.  TRANSMISSIONPROCEDURES .......................................................................................... 119 

C.  TRANSMISSIONFREQUENCY ........................................................................................... 120 

D.  DATAPROTECTIONANDPRIVACYDURINGTRANSMISSIONTOANDSTORAGEINTHEPOPULATION

REGISTER ............................................................................................................................ 120 

E.  POPULATIONREGISTERSUMMARY .................................................................................. 120 

SECTION5.VITALSTATISTICS ...................................................................................................120 

A.  VITALSTATISTICSTOBEDERIVEDFROMCIVILREGISTRATIONDATA ..................................... 120 

B.  SUBMISSIONOFSTATISTICALINFORMATIONTOSTATISTICSAUTHORITY................................ 121 

C.  COMPILATIONOFVITALSTATISTICS ................................................................................. 121 

D.  PUBLICATIONANDDISSEMINATIONOFVITALSTATISTICSREPORTS ....................................... 122 

E.  VITALSTATISTICSSUMMARY .......................................................................................... 123 

SECTION6.DATAPROTECTION,PRIVACYANDSECURITY ............................................................. 123 

A.  COLLECTIONANDUPDATING:COLLECTIONLIMITATION,DATAQUALITYANDPURPOSE

SPECIFICATIONPRINCIPLES ..................................................................................................... 125 

B.  ACCESSANDUSE:PURPOSESPECIFICATION,USELIMITATION,ANDSECURITYSAFEGUARDS ..... 125 

C.  STORAGE,TRANSMISSIONANDARCHIVING:SECURITYSAFEGUARDS ..................................... 127 

D.  PROTECTIONOFINDIVIDUALRIGHTS............................................................................... 128 

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E.  DATAPROTECTION,PRIVACYANDSECURITYSUMMARY ..................................................... 128 

SECTION7.COMPLIANCE,ENFORCEMENT,RIGHTSANDREMEDIES ............................................... 129 

A.  MONITORINGANDINSPECTION ........................................................................................129 

B.  ADMINISTRATIVEANDJUDICIALREVIEW ......................................................................... 130 

C.  OFFENSESANDPENALTIES ............................................................................................ 130 

D.  REVENUETOFUNDTHESYSTEM ...................................................................................... 131 

E.  COMPLIANCE,ENFORCEMENT,RIGHTSANDREMEDIESSUMMARY ........................................ 131 

SECTION8.TRANSITIONALPROVISIONS ..................................................................................... 132 

VI.  OTHERLAWSANDPOLICIESTHATSUPPORTCRVSIDSYSTEMS:INCENTIVES,MEDICALPROFESSIONTRAINING,ANDTECHNOLOGY .................................. 134 

A.  INCENTIVESFORINSTITUTIONALCOMPLIANCE .................................................................. 134 

B.  CREATINGINDIVIDUALDEMANDFORIDENTITYCREDENTIALS ............................................. 135 

C.  CREATINGINDIVIDUALDEMANDFORCIVILREGISTRATION ................................................. 136 

D.  IMPROVINGCAUSEOFDEATHINFORMATION .................................................................... 140 

E.  FACILITATINGUSEOFTECHNOLOGY ................................................................................ 141 

AnnexA‐RecommendedInformationforbirth,deathandfoetaldeathregistration ........................................................................................... 142 

Annex B - Recommended Information for marriage and divorce registration ......................................................................................... 144 

 

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I. Introduction

1. TheUnitedNationsStatisticsDivision(UNSD)hasbeenmandatedwiththedevelopmentofthemethodologicalframeworkforcivilregistrationandvitalstatisticssincetheinceptionoftheUnitedNationsasanintergovernmentalorganization.Infurtheranceofthismandate,aseriesofinternationalstandards,guidelines,principlesandrecommendationsweredevelopedandadoptedbytherelevantUnitedNationsbodies–theUnitedNationsStatisticalCommissionandtheEconomicandSocialCouncil(ECOSOC).Themostrecentrevisionoftheseguidelineswasadoptedin2014intheformofthePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3(UnitedNationspublicationsalesno.E.13.XVII.10).

2. AscompanionguidestothePrinciplesandRecommendationsforaVitalStatisticsSystem,theUnitedNationsStatisticsDivisionhasdevelopedaseriesofHandbooksonCivilRegistrationandVitalStatisticsSystems,whichdealwithimportantaspectsofcivilregistrationandvitalstatisticsimprovement.InadditiontotheseGuidelinesontheLegislativeFrameworkforCivilRegistration,VitalStatisticsandIdentityManagementSystems,theseriesincludesfourHandbooksonCivilRegistrationandVitalStatisticsSystems,respectivelycovering:

(a)Management,OperationandMaintenance,Revision1;(b)PoliciesandProtocolsfortheReleaseandArchivingofIndividualRecords;(c)DemandCreation

3. TheseGuidelinesareintendedtocomplementthePrinciplesandRecommendationsforVitalStatisticsSystem,Revision3andtheHandbooksonCivilRegistrationandVitalStatisticsSystems.TheseGuidelinesupdateandreplacethe1998HandbookonCivilRegistrationandVitalStatisticsSystems:PreparationofaLegalFramework(UnitedNationspublicationsalesno.E.98.XVII.7),whichwasbasedoffpreviousrevisionsofthePrinciplesandRecommendations.

4. ThepurposeoftheseGuidelinesontheLegislativeFrameworkforCivilRegistration,VitalStatisticsandIdentityManagementSystemsistoofferatoolfordevelopingastronglegalframeworkforcivilregistration,vitalstatisticsandidentitymanagement(CRVSID)systems.TheestablishmentofCRVSIDsystemsinthelawsofacountryserveanumberofimportantpurposes.Itmakesspecificagenciesresponsibleforcivilregistration,vitalstatistics,andidentitymanagementfunctions.Itspecifiesstandardsandqualitycontrolproceduresforthecollectionanduseoftherecordsandinformationcollectedthroughthesystemandguaranteestheprivacyandsecurityofthoserecords.Thelegislativeframeworkalsooffersaconsistentandstructuredbasisforperformingallthetasksassociatedwiththelegalusesoftherecordsofeventsandidentification.Inshort,thelegislativeframeworkgivesthesystemanessentialfoundationtobeabletooperatesuccessfullythroughoutthecountry.

5. TheseGuidelinesprovideoverarchingprinciplesaswellasdetailedelaborationonthelegislativeframeworkcriticalforimplementinginternationalrecommendations,withafocusonensuringinteroperabilityamongthecivilregistration,vitalstatisticsandidentitymanagementsystems.ThereisgreatdiversityinhowcountriesorganizeandstructuretheirCRVSIDsystemsduetodifferencesingovernmentstructures,cultureandtraditions,andsocioeconomicconditions.However,theprinciplesandconceptspresentedintheseGuidelinescanbeadaptedtotheculture,traditionsandlegalsystemsofallcountries,inamannerconsistentwithexistingandchosenstructures.ThroughouttheseGuidelines,examplesarepresenteddemonstratinghowtheconceptshavebeenputintopracticeincountrieswithdiversecultures,traditionsandlegalsystems.Thesenationalpracticesarepresentedtoprovideastartingpointfordiscussionamongpolicymakersonhowtoadapttheprinciplesandconceptstotheirowncountryconditions,ratherthanbeingputforwardasexamplestobecopiedwholesalebyothercountries.

6. TheseGuidelinespresentaframeworkforintegratedsystems,wherethecivilregistrationsystemprovidesinputintothevitalstatisticssystemandtheidentitymanagementsystem,as

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graphicallypresentedbelowinFigure1.However,theprinciplesandconceptsoncivilregistrationandvitalstatisticscanalsobeusedandfollowedbycountriesthatlackauniqueidentitymanagementsystem.Moreover,acountry'ssystemsneednotbeelectronicallylinkedtoapplytheseprinciples.Theprinciplescanbeadoptedincountriesthatmaintainmanualsystemswhichhavenotyetbeendigitized,orwherepartsofthecountrydonotyethavesufficientcomputerorinternetresourcestodigitizeinthosespecificlocations.

Figure1CivilRegistration,VitalStatisticsandIdentityManagementSystems

Source:HandbookonCivilregistrationandVitalStatisticsSystems:Management,Operationand

Maintenance,Revision11

7. ThematerialintheseGuidelinesispresentedinfivechapters,startingwithbroadconceptsinChapterOne,whichisthenfollowedbymoredetaileddiscussionsofbestpracticesandpolicyoptionsinlaterchapters.ChapterOnepresentsanoverviewofCRVSIDsystemsincluding:conceptsanddefinitions;principlesofcivilregistrationandidentitymanagement;functionsofcivilregistrationandidentitymanagementsystems;typesofvitalevents;thelifecycleofidentitymanagement;interoperabilitybetweencivilregistration,vitalstatistics,andidentitymanagementsystems;andaccountabilityandgovernance.ChapterTwoprovidesanoverviewoftheimportanceofcivilregistrationandidentitymanagementtotherealizationofhumanrights,includingnotonlycivilandpoliticalrightsbutalsoeconomic,social,andculturalrights.ChapterThreeexploresthewidediversityofinstitutionalarrangementsthatexistgloballyforCRVSIDsystems,andfocusesonhowinstitutionalarrangementscansupporttheeffectiveandefficientfunctioningofCRVSIDsystems.ChapterFourprovidesdetailedguidanceonelementsthatshouldbeincludedinCRVSIDlegislationandregulationstosupportcomprehensivecivilregistrationcoverage,meaningfulvitalstatisticscompilationanddissemination,andstrongidentitymanagementthatprovidesforrobustlegalidentity,protectsprivacyandpromotessecurity.ThischapterdiscussesingreaterdetailmanyofthetopicsintroducedinChapterOne.Amongothertopics,thisChapterprovidesbestpracticesandpolicyoptionsfor:civilregistration;identitymanagement;compilationanddisseminationofvitalstatistics;datausage,privacyandsecurity;andcompliance,enforcement,rightsandremedies.Whilethischapterpresentsacomprehensiveframeworkforlegislationaddressingcivilregistration,vitalstatistics,andidentitymanagementsystems,itisnotnecessaryforacountrytoincludealltheseconcepts

                                                            1HandbookonCivilregistrationandVitalStatisticsSystems:Management,OperationandMaintenance,Revision1,https://unstats.un.org/unsd/demographic‐social/Standards‐and‐Methods/files/Handbooks/crvs/crvs‐mgt‐E.pdf,paragraph1.

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inonecomprehensivepieceoflegislation.Theseconceptsmaybeappliedandintegratedintooneormoreneworexistingpiecesofdistinctlegislationgoverningthecivilregistrationsystem,vitalstatisticssystem,andidentitymanagementsystem.Finally,ChapterFiveaddressesotherlawsthatcansupportCRVSIDsystemsbyprovidingincentivesthathelpincreaseratesofcivilregistrationaswellasimprovethequalityofinformationinthesystem.

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II. OverviewofCivilRegistration,VitalStatisticsandIdentityManagementSystems

A. INTRODUCTION8. Strongcivilregistration,vitalstatisticsandidentitymanagementsystemsarefundamentaltotheeffective,efficientandfairfunctioningofgovernment.Anationalcivilregistrationsystemisthebestsourceofdataforgeneratingvitalstatisticsandthereforeshouldbethefoundationofthevitalstatisticssystem.Informationsubmittedduringregistrationofvitaleventsprovidesessentialdatafornationalandregionalplanningforavarietyofsocialserviceprograms,includingfamilyplanningandmotherandchildhealthservicesprogrammes;infectiousandnon‐communicablediseasecontrolprogrammes;education,publichousingandsocialsecurityprogrammes;andinfrastructureanddevelopmentprogrammes.

9. Likewise,acivilregistrationsystemwithcompletenationalcoverageprovidesthestrongestfoundationforanidentitymanagementsystem.Birthregistrationestablisheslegalidentityandprovidestheentrypointintotheidentitymanagementsystemthroughtheissuanceofabirthcertificate‐thefoundationaldocumentnecessarytoestablishone'sidentity.Beingabletoproveone'sidentityisessentialinenjoyingmanyofthehumanrightsembodiedininternationaldeclarationsandconventions.Inaddition,proofofidentityisrequiredtobenefitfromnumerousgovernmentprogramsandprivatesectorservices.Deathregistrationprovidesthelegalbasisforclosinganidentityinthesystem,whichiscrucialtopreventingidentitytheftandfraud.

10. Thischapterpresentsanoverviewofcivilregistration,vitalstatisticsandidentitymanagementsystems,including:conceptsanddefinitionsthatwillbeusedthroughouttheseGuidelines;overarchingprinciplesofcivilregistrationandidentitymanagementsystems;thefunctionsofcivilregistrationandidentitymanagementsystems;typesofvitalevents;thelifecycleofidentitymanagement;interoperabilitybetweencivilregistration,vitalstatistics,andidentitymanagementsystems;andaccountabilityandgovernance.

B. CONCEPTSANDDEFINITIONS

11. Civilregistrationisdefinedasthecontinuous,permanent,compulsoryanduniversalrecordingoftheoccurrenceandcharacteristicsofvitaleventspertainingtothepopulation,asprovidedthroughdecreeorregulationinaccordancewiththelegalrequirements.2Avitaleventistheoccurrenceofalivebirth,death,foetaldeath,marriage,divorce,annulment,judicialseparation,adoption,legitimation,orrecognitionofparenthood.3Civilregistrationofvitaleventsmustbecontinuous,permanent,compulsoryanduniversal,asdiscussedbelowinSectionB.

12. Civilregistrationisagovernmentservicewithlegalandstatisticalfunctions.Forlegalpurposes,thisprocessestablishesthefactofoccurrenceofvitaleventsandprovideslegaldocumentationforsucheventsintheformofacertificate.4ACertificateisadocument,inpaper

                                                            2PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph279.3PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph207.4Civilregistrationestablishesaperson’scivilstatus.Civilstatusgenerallyreferstoaperson'slegalstatusinasociety,includingmaritalstatus(i.e.nevermarried,married,widowedandnotremarried,divorcedandnotremarried,marriedbutlegallyseparated,defactounion)andage(i.e.,minority/majority).Civilstatusmaydetermineaperson'slegalcapacitytoact‐forexamplethecapacitytomarryorconsenttosex‐andobligations,rightsanddutiesbetweenpersons,suchasbetweenspousesandbetweenparentandchild.

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orelectronicformat,issuedbytheRegistrarandcontainingallorpartoftheexactinformationcontainedontheoriginalvitalrecord,andwhich,whenissuedbytheRegistrar,hasthefullforceandeffectoftheoriginalvitalrecord.5

13. Theinformationrecordedinacountry’scivilregistrationsystemisthefoundationforitsvitalstatisticssystem.6Vitalstatisticsconstitutethecollectionofstatisticsonvitaleventsinalifetimeofapersonaswellasrelevantcharacteristicsoftheeventsthemselvesandofthepersonandpersonsconcerned.7Vitalstatisticsareincidencestatistics,notprevalencestatistics,providingameasureonacurrentbasisoftheoccurrenceofcertaintypesofvitaleventstomembersofaspecifiedpopulationduringaspecifiedperiod.8Vitalstatisticsprovidetimelyandcriticalinformationonthepopulationinacountryandshouldbeusedbypolicymakersandthepublictomakeinformedpolicydecisions.

14. Thestepsinvolvedincivilregistrationofavitaleventproceedasfollows:1)aninformantornotifierreportsornotifiesthevitaleventtothecivilregistrar,2)thecivilregistrarrecordsthedetailsofavitaleventintotheofficialcivilregister,and3)thecivilregistrarissuesacertificateofthevitalevent.Thedistinctionbetweenaninformantandanotifierisasfollows:Aninformantistheindividualorinstitutionwhoseresponsibility,designatedbylaw,istoreporttotheregistrarthefactoftheoccurrenceofavitaleventandtoprovidealltheinformationonandallthecharacteristicsoftheevent.Onthebasisofsuchareport,theeventmaybelegallyregisteredbytheregistrar.9Anotifieristheindividualappointedbythelocalregistrartoactasintermediarybetweenthelocalregistrarandtheinformantinprovidingalltheinformationonandallthecharacteristicsofaneventthatistobelegallyregisteredbythelocalregistrar.10

15. Healthinstitutionsplayacriticalroleinthevitalstatisticssystem.Headsofhealthinstitutionsactasinformantsoftheoccurrenceofbirths,foetaldeathsanddeathsthatoccurintheirinstitutions,providingallinformationregardingthecharacteristicsoftheeventandpersonsinvolvedintheevent.Forexample,forabirth,healthinstitutionsprovideinformationonthecharacteristicsofthebirth,thenewbornandthemotherandfather.Foradeath,healthinstitutionsprovideinformationonthecharacteristicsofthedeceasedandcauseofdeath.HealthinstitutionsareresponsibleforensuringthatalldeathsoccurringwithintheinstitutionhaveaMedicalCertificationofCauseofDeath(MCCOD).AnMCCODisthecompletionbyamedicallytrainedpersonofadeathcertificateincludingthecauseofdeathaccordingtotheInternationalClassificationofDiseases(ICD)certificationstandards.TheInternationalStatisticalClassificationofDiseasesandRelatedHealthProblemsisaclassificationsystemmaintainedbytheWorldHealthOrganization(WHO)forcodingdiseases,signs,symptomsandotherfactorscausingmorbidityandmortality.Itisusedworldwideformorbidityandmortalitystatisticsanddesignedtopromoteinternationalcomparabilityinthecollection,processing,classification,andpresentationofstatistics.

16. Civilregistrationiscarriedoutcontinuously,iscompulsory,andisaserviceprovidedtotheentirepopulation,makingitthebestsourceofdataforvitalstatistics.Therefore,thenational                                                            5ModelStateVitalStatisticsActandModelStateVitalStatisticsRegulations,2011Revision,DepartmentofHealthandHumanServicesCentersforDiseaseControlandPrevention,2011,Sec.2.c.6PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,page202.7PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph1.8PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph281.9PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,page204.10PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,page205.

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registrarmustberequiredtotransmitvitaleventdatatothenationalstatisticsauthorityonaregularbasisprescribedbylaw.Thenationalregistrarsubmitsthesevitaleventrecordswithoutidentifyinginformation,toprotectprivacyofindividuals.

17. Thecivilregistrationsystemisalsothefoundationfortheidentitymanagementsystem.Anindividual’slegalidentityisestablishedthroughbirthregistration,whichprovidesevidenceoftheiridentityintheformofabirthcertificate.Thiscertificateisusedasafoundationdocumentforallotheridentificationdocumentssubsequentlyissuedbytheidentitymanagementauthority.Theindividual’slegalidentityispermanentlyretiredwiththeissuanceofthedeathcertificate.

18. Identityisasetofattributesthatuniquelydescribesanindividual.11LegalIdentityisdefinedasthebasiccharacteristicsofanindividual’sidentity,suchasname,sexanddateofbirth,establishedbyregistrationintheofficialStatecivilregistersorotherappropriatemechanisms,inaccordancewithnationallegislationandinternationalrecommendationsandstandards.12

19. Whilethereisalackofaninternationallyagreeddefinitionofidentitymanagement,thetermmostcommonlyreferstoproducinglegallyvalidproofofidentitytoeachindividualandmaintainingsystemsformanaginginformationanddocumentsassociatedwithone’sidentityincludingindividualbiometrics.Theidentitylifecyclehasfourstages:1)identityregistration,includingenrolmentandvalidation,2)issuanceofidentitydocumentsorcredentials,3)authenticationforservicedeliveryortransactions,and4)closureanddeactivationofalegalidentityupondeath.SeeSectionEbelowforanin‐depthdiscussionontheidentitylifecycle.

20. Identityregistrationenrolmentinvolvescapturingandrecordingintheidentitymanagementsystemkeyidentityattributesfromapersonwhoclaimsacertainidentity,whichmayincludebiographicaldata(e.g.,name,dateofbirth,sex,address)andbiometrics(e.g.,fingerprints,irisscan).Validationinvolvescheckingtheattributespresentedagainstexistingdata.Thevalidationprocessensuresthattheidentityexists(i.e.,thatthepersonisalive)andisclaimedbyoneperson(i.e.,itisuniqueinthedatabase).

21. Inmanycountries,informationcollectedthroughthecivilregistrationsystemandidentitymanagementsystemistransmittedandstoredinapopulationregister.Apopulationregisterisanindividualizeddatasystem,thatis,amechanismofcontinuousrecording,and/orofcoordinatedlinkage,ofselectedinformationpertainingtoeachmemberoftheresidentpopulationofacountryinsuchawaytoprovidethepossibilityofdeterminingup‐to‐dateinformationconcerningthesizeandcharacteristicsofthatpopulationatselectedtimeintervals.13Thepopulationregisteristheproductofacontinuousprocess,inwhichnotificationsofcertainevents,whichmayhavebeenrecordedoriginallyindifferentadministrativesystems,areautomaticallylinkedtoitonacurrentbasis.14

22. AfirmunderstandingofthetermsdefinedaboveisimportantforcomprehensionoftheseGuidelines.However,therearemanyothertermsusedthroughouttheseGuidelineswithwhichthereadershouldbefamiliar.ForacompletelistofdefinitionsoftermsusedintheseGuidelines,pleaseseetheGlossaryatAppendixX.

                                                            11PrinciplesonIdentificationforSustainableDevelopment:TowardtheDigitalAge,WorldBankGroupandCenterforGlobalDevelopment,page2,footnote1.12PrinciplesofLegalIdentityintheContextofthe2030AgendaforSustainableDevelopment,WorkingPaperoftheIdentificationforDevelopmentProgram,Series1,September,2018.13PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,page206.14PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs252,254.

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C. PRINCIPLESOFCIVILREGISTRATIONANDIDENTITYMANAGEMENT23. Inordertoeffectivelyfulfilitslegalandstatisticalfunctions,civilregistrationmustbecompulsory,universal,continuousandpermanent.Inaddition,becausepeopleprovideawidevarietyofinformationtothecivilregistrationsystem,includinginformationthatcanbehighlysensitive,theinformationcollectedandstoredinthecivilregistrationsystemmustbekeptconfidential.

24. Theprinciplesofcontinuity,permanenceanduniversalityalsoapplytoidentityregistration.Theprincipleofcompulsoriness,however,neednotalwaysapply,asidentityregistrationforpurposesofanationalidentitycard(orothercredential)andentryintoapopulationregistryisnotcompulsoryinmanycountries.Aswithcivilregistrationsystem,theidentitymanagementsystemstorespersonalinformationthatmustbekeptconfidential.Thisprinciplehasbeenelaboratedininternationallyrecognizedprinciplesofdataprotectionandprivacythatmanycountriesapplytoidentitymanagementsystems.

25. Thissectiondiscusseshowtheprinciplesofcompulsoriness,universality,continuityandpermanenceapplytothecivilregistrationandidentitymanagementsystems.Italsoaddresseshowtheprincipleofconfidentialityandtheprincipleofdataprotectionandprivacyapplytocivilregistrationandidentitymanagementsystems,respectively.

i. PrinciplesofCivilRegistration

26. Compulsory.Civilregistrationmustbecompulsoryinviewofitslegalandstatisticalfunctions.Fromthelegalperspective,birthregistrationestablishesandprovidestheofficialrecordofaperson’sexistenceandtherebyestablisheslegalidentity.Registrationofothervitalevents,suchasmarriage,divorce,adoptionanddeath,establishandprovidetheofficialrecordofaperson’scivilstatus.Fromthestatisticalperspective,civilregistrationprovidesreliableinformationonthevitaleventsregistered.Therefore,acountry’scivilregistrationsystemmustbecompulsoryinordertoassureitscompleteness,accuracy,andeffectiveness.15

27. Thecompulsoryobligationsmustapplytoeveryonewithresponsibilitiesinthesystem,includinginstitutionalactorsaswellasindividuals.Ascivilregistrationisanessentialgovernmentservicethatshouldbeuniversallyprovidedtotheentirepopulationofthecountry,theonusfortimelyandcompleteregistrationofallvitaleventsoccurringwithintheterritoryshouldbeplacedonthegovernment.Thisonusfallsonnotonlycivilregistrarsbutalsogovernmentagenciesthatcontrolfacilitieswherevitaleventsoccurorareotherwiseresponsibleforvitaleventinformation.Thisincludes,butisnotlimitedto,thehealthsector,lawenforcement,coronersandothermedico‐legalservices,andemergencyservices.Thehealthsectorisparticularlyimportant.Placingresponsibilityonheadsofhealthfacilities,doctors,nurses,midwivesandotherhealthprofessionalstoreportornotifyallvitaleventsthatoccurinhealthfacilitiesorunderthesupervisionofahealthprofessionalhelpseasetheburdenofregistrationforindividualsandincreasesratesofcivilregistration.Othertypesofinstitutionswherevitaleventsmayoccur,suchasprisons,shouldalsobeararesponsibilitytoreportornotifyvitaleventsthatoccurinthosefacilities.Lawenforcement,medico‐legalservicesandemergenciesservicesshouldberesponsibleforensuringregistrationandcertificationofcauseofdeathfordeathsthatoccuroutsideofheathfacilities.

28. Toensurecompliancebyauthorizedofficialsandinstitutionalactorswiththeseobligations,theremustbealegalbasisforenforcement.Thecivilregistrationlawshouldprovidepenaltiesfordeliberatefailuretoregisteranotifiedvitaleventbyadulyauthorizedlocalregistrar.16Institutionswherevitaleventsoccur,suchashospitalsandprisons,shouldalsofacepenalties

                                                            15PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph294.16PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph294.

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forfailuretonotifythecivilregistrationagencyoftheoccurrenceofavitaleventwithintheinstitution.However,asystemofsupportivesupervisionandmonitoringislikelytobemoreeffectivethanasystemoffinesandpenalties,inpartbecausetheinfrastructurerequiredtoadjudicatefinesandpenaltiesmaynotbeavailable(duetooverworkedcourtsystems,appealsprocedures,collectionoffine,etc.).Agoodsystemofreporting,monitoringandfeedback‐forexample,regularreportsfromthoseobligedtonotifyvitalevents(e.g.,healthfacilities,communityhealthworkers,orfuneralhomes)thatarecomparedagainstbirthanddeathregisters‐maybemorefeasibleandeffective.SeeSectionG(AccountabilityandGovernance)belowforamoredetaileddiscussiononmonitoringandinspection.

29. Whilehealthinstitutionsplayanimportantroleincivilregistration,notallvitaleventsoccurwithinhealthfacilities.Indeed,inmanycountries,alargepercentageofbirthsanddeathsoccuroutsidehealthfacilities.Therefore,insomeinstances,thelawmayplaceresponsibilitytoreportavitaleventonanindividual.Yettheexistenceofacivilregistrationlawwillnot,initself,ensurethatthegeneralpublicreportstheoccurrenceofvitalevents.Theimpositionofsomeformofpenaltyonindividualswhofailtoregistertheoccurrenceofavitaleventhashistoricallynotcontributedtohigherregistrationrates.Inmanyinstancesitcanserveasadisincentive,particularlyfordelayedandlateregistrations,asindividualswillbereluctanttoreportavitaleventafterthetimeperiodprovidedbylawiftheywillbepenalized.Therefore,otherlawsandpoliciesshouldprovideincentivesforindividualstocomplywiththecivilregistrationlaw.17Forexample,ifabirthcertificateisrequiredtoenrolinprimaryschool,aparentismorelikelytoensurethebirthregistrationoftheirchild.Deathregistrationcanbetiedtocollectionofpensionsandsocialbenefitsbysurvivingnextofkin.SeeChapterFiveforanin‐depthdiscussiononvariousformsofincentives.

30. Universal.Inordertoensurethatmaximumvalueisderivedfromthecivilregistrationsystembybothindividualsandusersofvitalrecordsandstatisticsinformation,registrationservicesmustbeprovidedtoallindividualswithintheterritoryofacountry.Civilregistrationplaysanimportantroleinimplementingandrealizingmanyofthehumanrightsembodiedininternationaldeclarationsandconventions.AsdiscussedinmoredetailinChapterTwo,therearetwocategoriesofhumanrightsthatinvolvecivilregistration:(a)humanrightsthatrequireStatestoensurethatvitaleventsareregistered,forexample,therighttoberegisteredandnamed,pursuanttoarticle7oftheConventionontheRightsoftheChild18and(b)humanrightswhoseexercisemaydependonthevitaleventshavingbeenregistered,forexample,therighttoaccesstojusticeandtherighttoaneducation,bothofwhichmayhingeonproofofidentity.19Inordertoprotecttheserights,civilregistrationrequirementsmustapplytotheentirepopulationinthecountrywithoutdiscriminationordistinctionbasedonsub‐nationalgeography;racial,ethnicorreligiousgroup;sex;statusasamemberofanomadic,displaced,native,indigenousoraboriginalpopulation;statusasarefugeeorasylumseekerwithinthecountry,foreignnationalborninthecountry,ortemporaryworker;oranyothercharacteristic.20

31. Thereareanumberofactionsacountrycantaketohelpachieveuniversalcivilregistration.Countriesshouldremovebarrierstoaccess,suchascomplicatedandlengthyregistrationprocesses,provideno‐feeservice,andensurethatregistrationofficesaresufficientinnumberandaccessibletoall.Inaddition,registrarsshouldbeauthorizedtoconductoutreachandinstitutespecialprocedurestoreachvulnerableandmarginalizedpopulations.Registrarsmust

                                                            17PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph295.18TreatySeries,vol.1577,UnitedNations,No.27531.19PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph287.20PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph296.

14

alsounderstandthattheprovisionofcivilregistrationservicesdoesnotnecessarilyconfercitizenshipandthereforecivilregistrationshouldnotbedeniedonthesegrounds.21

32. Tohelpachieveuniversalregistration,countriesshouldstrivetomaketheregistrationprocessassimpleandefficientaspossible.Thismeansmakingtheregistrationprocesseasyforindividuals.Oneofthemosteffectivewaysofdoingthisistorequirecoordinationwiththehealthsector.Thehealthsectorshouldberesponsiblefornotifyingallvitaleventsthatoccurinhealthfacilitiesandunderthesupervisionofhealthprofessionals,asthisremovestheburdenofregistrationfromtheindividual.Ininstanceswhereindividualsarerequiredtoreportonavitalevent,theprocessshouldbesimpleandnotrequiremultipletripstotheregistrartoregisterandtoobtaincertificates.Tospeedupregistrationprocessing,stepsshouldbetakentofacilitatedirect,officialcommunicationsbetweenthedifferentregistries–localandconsular–andwiththecentralregister.

33. Inordertofacilitatecorrectionoferrors,localregistrarsshouldbeauthorizedtocorrectobviousclericalerrorsormistakes.22Requiringcourtproceduresforsucherrorsslowsdowntheregistrationservice,whichshouldbeprovidedtoindividualspromptlyandatreasonablecost.Authorizinglocalregistrarstocorrecterrorsfacilitatesacivilregisterthatisuptodateandaccurate.(SeeChapterIV,paragraphsXX,foradiscussiononcorrectionsandamendmentstovitaleventsrecords).

34. Nofeeshouldbechargedfortimelyregistrationofalivebirth,marriage,divorce,foetaldeathordeath.23Manycountrieshaveseenratesofregistrationrisewiththeintroductionoffreeregistration.SeeBox1.Minorcorrectionsduetoclericalerrorsdiscoveredatthetimeofregistration,burialorcremationshouldalsobepermittedfreeofcharge.24Issuanceofanoriginalcertificateshouldbeissuedfreeofcharge.25Asthecertificateservesasproofofregistrationandcivilstatus,obtainingthecertificateisarguablytheincentiveforregistration.Therefore,feesforcertificatescanpotentiallybeadisincentiveforregistrationandleadtounder‐registrationofvitalevents,ofteninmarginalizedandvulnerablecommunities.Assuch,countriesshouldprovidethefirstcopyofthecertificatefreeofchargeinordertohelpachieveregistrationcompleteness.

35. Feesmayapplyincasesoflateordelayedregistrationofvitalevents,withthefeerelatedtotheextentofthedelay;however,feesforlateordelayedregistrationmayfurtherdisincentivizeregistration,especiallyincountrieswithlowregistrationrates.Similarly,feesmayapplyforamendmentssuchasnamechanges,legitimations,adoptionsandtheestablishmentoffiliation;however,policymakersshouldconsiderwhetherfeesforthesetypesofamendmentswoulddepressratesofamendments,leadingtoinaccuracyintherecords.

36. Thepowersanddutiesassignedtolocalcivilregistrationsisalsokeyinachievinguniversalregistration.Localcivilregistrarsshouldplayanactiveratherthanapassiveroletofacilitate                                                            21Theforth‐comingGuidelinesonCommunicationforDevelopmentofCivilRegistration,VitalStatisticsandIdentityManagementwillelaborateondemandcreationindetail.22HandbookonCivilregistrationandVitalStatisticsSystems:Management,OperationandMaintenance,Revision1,https://unstats.un.org/unsd/demographic‐social/Standards‐and‐Methods/files/Handbooks/crvs/crvs‐mgt‐E.pdf,paragraphs144‐148.23PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph364.24PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph364.25PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph364.

Box 1. Country Example: 

Free registration leads to 

rising rates of registration. 

15

achievementofuniversality.Todothis,thecivilregistrationlegislationmustauthorizecivilregistrarstoconductoutreachandinstitutespecialproceduresasneeded.Civilregistrarsshouldbeempoweredtoinformthepublicoftheirobligationsandtheimportanceofcivilregistration.Thisshouldincludeimplementingmasspublicityprogrammesinvernacularlanguagesandsecuringsupportfromlocalleaderstoinformlocalopinion.

37. Forcertainsegmentsofthepopulationthatarevulnerableormarginalized,itmaybenecessarytoestablishspecialproceduresfortheregistrationofvitalevents.Wheretherearefactorsrelatedtodistance,terrainortransportationthatmakeitdifficultforinformantsorfamiliestovisittheregistrationofficetoregistervitalevents,registrarsshouldbeauthorizedandhavetheresourcestoestablishmobileunitstomakeregularroundswithintheirjurisdiction,whichwouldenablehouseholdstoregistervitalevents.26Theyshouldalsobeauthorizedandhavetheresourcestoestablishregistrationcentresincampsforrefugeesorinternallydisplacedpersons,andtotranslateregistrationdocumentsintoindigenousorforeignlanguagesasneeded.SeeBox2forcountryexamples.

38. Abarriertouniversalregistrationinsomecountrieshasbeenamisconceptionbyregistrarsthatbirthregistrationsomehowconferscitizenship.Thishascausedsomeregistrarstorefusetoregisterthebirthsofchildrenborntomigrants,refugees,asylumseekers,statelesspersonandforeignnationals.Stateshavethesovereignrighttodetermineeligibilityforcitizenshipinaccordancewithinternationallaw.Citizenshipdoesnotnecessarilycoincidewithcountryofbirthandabirthcertificatedoesnotconferoraffecttherighttocitizenship.However,abirthcertificateisofficialevidenceofthefactsofabirthand,assuch,isimportantdocumentaryevidencethatallowsapersontoestablishhisorhercitizenshipornationality.TherighttoacquireanationalityisenshrinedinArticle7oftheConventionontheRightsoftheChild.Therefore,statesmustprovidebirthregistrationtoall,regardlessofcitizenshipornationality.Itisimportantthatregistrarsunderstandthisobligationandnotrefuseregistrationtoanysegmentofthepopulationbaseduponcitizenship.Somejurisdictions,suchasNorway,haveestablishedspecialproceduresforbirthregistrationforrefugees,migrantsandotherpersonswhoarenotcitizensofthatcountry.SeeBox3fordetails.

39. Continuityandpermanence.Acivilregistrationsystemmustbebothcontinuous‐inthatregistrationiscontinuouslyongoing‐andpermanent,inthatdatacollectedthroughthecivilregistrationsystemispermanentlysaved.Registrationmaintainedforshortperiodsoftimeandthenallowedtolapsewillhaveadverseconsequences.Forexample,lapsesinregistrationwillresultinlackofissuanceofcertificates,thusdeprivingthepopulationofthepossibilitytoexercisebasichumanrightsandaccesstoservices.Lapseswillalsoresultinalackofdataandmeasurementsthatareuseful,eitherascurrentincidencestatisticsorasindicatorsofchangesovertime.Thecontinuityandpermanenceofthecivilregistrationsystemrequiretheexistenceofanagencywithadministrativestability,whoseoperationisnotlimitedbythefactoroftime.Permanenceiscontingentupontheauthoritygiventothecivilregistrationadministrationthroughtheenactmentofacivilregistrationlaw.Permanenceofthesystemisarequirementforthecontinuityofregistrationofvitaleventsandcollectionofdatathatunderpinstheproductionof

                                                            26PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph329.

Box 2. Uganda: free refugee 

registration. Brazil: proactive 

search in Amazon for 

indigenous communities. 

Peru: translation of CR forms 

into 7 languages. 

Box 3: Norway birth registration 

for refugees.  

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vitalstatistics,whichisnecessaryforameaningfulunderstandingofbothcurrentfiguresaswellastrendsinvitalstatisticsmeasurements.27

40. Experiencehasshowncivilregistrationtobetheonlyreliablemethodforobtainingacontinuousandcurrentrecordofeventsoccurringthroughoutaperiod.Complementarydatasources,suchaspopulationcensusesandin‐depthhouseholdsurveys,havealsobeenutilizedtoevaluateandenrichvitalstatisticsdataandtogatherinformationondemographicandepidemiologicalprocessesthatcomplementtheinformationobtainedthroughcivilregistration.However,thereisnosubstitutefortheavailabilityofcontinuousinformationonvitaleventsbasedontheirtimelycivilregistration.Thismandatebylawtobecontinuousandpermanentdistinguishesthecivilregistrationmethodfromothermethodsofgatheringdataaboutthepopulation.28

41. Confidential,Avarietyofinformationiscollectedaboutindividualsthroughcivilregistration.Somedata,whenidentifiedwithaspecificindividual,maybehighlypersonalandsensitive.Inordertopromotetheprovisionoffullandhonestdatatothesystem,theconfidentialityoftheinformationmustbeprotected,i.e.,thosewhoprovideinformationmustrestassuredthatitwillbeusedonlyforthepurposesprescribedbylawand/orinaggregatedformsothatindividualsarenotidentifiable.However,confidentialityprovisionsshouldnotinterferewithadministrativeprocedures.29

42. Confidentialityprovisionsinlegislationshouldnotbesorigidastoexcludetheuseofvitaleventrecordsforspecialstudies.Confidentialityprovisionsshouldbedraftedtoensurethatrecordscanbeusedforresearchpurposeswithoutpubliclydisclosingtheidentityandcharacteristicsofthepartiesinvolved.30Tothisend,recordsusedinvitalstatisticsandotherresearchshouldhaveanypersonalidentifyinginformationremovedorbeinaggregatedformsothatindividualsarenotidentifiable.

43. Thereisalsoaneedtoprotecttheprivacyofindividualsandtheirfamilywhenissuingcertificates.Requestsforcertificatesofbirth,deathorothervitaleventsshouldbegrantedonlytointerestedparties‐suchastheregistrant,aspouse,parent,orchildoftheregistrant,ornextofkin‐ortheirlegalrepresentatives.Legislationshouldclearlydefinewhoisaninterestedpartyforpurposesofrequestingacertificate.Tofurtherprotectprivacy,certificatesneednotincludesomeorallofthestatisticalinformationcapturedinthecivilregistryaboutaparticularvitalevent.31Forexample,adeathcertificateneednotincludeinformationoncauseofdeath,whichcanbesensitiveinformation.Abirthcertificateneednotincludeinformationonthemaritalstatusoftheparents.TheinformationtobeincludedinabirthanddeathcertificateisdiscussedfurtherinChapterFour,underthesectionsonbirthregistrationanddeathregistration.

ii. PrinciplesofIdentityManagement

44. Manyofthesameprinciplesthatapplytocivilregistrationlikewiseapplytoidentitymanagement.Identitymanagementsystemsmustbecontinuousandpermanenttobeeffective.Theyshouldbeuniversal,inthateveryoneinthepopulationofthecountryshouldhavethe

                                                            27PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph297.28PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs28‐29,280‐281.29PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph298.30PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph299.31PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph299.

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righttoregisterforandobtainanationalidentitycredentialorsomeothermeanstoprovetheirlegalidentity.However,unlikecivilregistration,identityregistrationandobtainingofanationalidentitycredentialisnotcompulsoryinallcountries,asexplainedfurtherbelow.Duetothesensitivityofpersonaldatacontainedinidentitymanagementsystems,includingbiometricdata,theconfidentialityandprotectionofthisdataisextremelyimportant,justaswithinformationcollectedduringcivilregistration.Theprinciplesthatguidetheprotectionofdatainidentitymanagementsystemsaregenerallyreferredtoas"dataprotectionandprivacy"principles,ratherthan"confidentiality".Theapplicationoftheseprinciplesinidentitymanagementsystemsarediscussedbelow.

45. Compulsory.Compulsorinessisnotnecessarilyaprincipleofidentityregistrationandidentitymanagement.Countrypracticesvaryonwhetherregisteringforandobtaininganationalidentitycardorothercredentialismandatory,voluntary,orevenavailable.Forexample,asof2017intheOrganizationforSecurityandCooperationinEurope(OSCE)region,therewere40countriesthatissuedanationalidentitycardthatismandatoryfortheadultpopulationasofficialproofofidentity,32whileninecountriesprovidedanationalidentitycarduponrequest.33EightcountriesintheOSCEdonotissueanationalidentitycard.Instead,otherformsofidentificationareissuedforsectoralpurposesandincombinationwithotherdocumentscanbeusedasproofofidentity.34Whileallcountriesdosomeformofidentitymanagement,manycountriesdonotmaintainasingularnationalpopulationregister.Thisisoftenthecaseincountrieswithdecentralizedgovernmentsandcountrieswhereanationalformofidentitycredentialisnotrequired.Wherethereisnonationalidentitycredential,anumberofgovernmentagencies,suchasthepassportagencyorsocialservices,maytakeonidentitymanagementfunctions.

46. Universal.Whilebirthregistrationestablishesidentity,theprovisionoflegallyvalidproofofidentityallowsapersontounequivocallyprovetheiridentity.Aswithabirthcertificate,anidentitydocumentorcredentialneednotconfercitizenship,butisessentialforanindividualtobenefitfromnumerousgovernmentandprivatesectorservicesandtoexercisetheirhumanrights.Assuch,countriesthatprovideanationalidentitycardorothercredentialmustprovidesomeformoflegalidentificationtoallresidents,regardlessofcitizenshipornationalityorotherbasisfordiscrimination,justastheymustprovideuniversalcivilregistration.However,evencountriesthatdonotprovideanationalidentitycardorcredentialmustensuresomemeansbywhichallindividualswithintheentirepopulationofthecountryareabletoprovidelegallyvalidproofoftheiridentitybypre‐definedmeans.Thisisessentialinorderforallindividualswithintheterritoryofthecountrytoexercisetheirhumanrightsandenjoyservicesandbenefitstowhichtheyareentitled.

47. Countriesthathavecompulsoryidentityregistrationshouldprovidetheidentitycredentialfreeofchargeorhaveapre‐definedfeewaiverprocessforthosethatcannotaffordregistration.Thisisimportantsothatthosewhocannotaffordregistrationarenotpenalizedforfailingto

                                                            32Those40countriesare:Albania,Armenia,Austria,Azerbaijan,Belarus,Belgium,BosniaandHerzegovina,Bulgaria,Croatia,Cyprus,theCzechRepublic,Denmark,Estonia,Finland,France,Georgia,Germany,Greece,Hungary,Iceland,Italy,Kazakhstan,Kyrgyzstan,Latvia,Liechtenstein,Lithuania,Luxembourg,theformerYugoslavRepublicofMacedonia,Malta,Moldova,Monaco,Mongolia,Montenegro,theNetherlands,Norway,Poland,Portugal,Romania,RussianFederation,SanMarino,Serbia,Slovakia,Slovenia,Spain,Sweden,Switzerland,Tajikistan,Turkey,UkraineandUzbekistan.CompendiumofGoodPracticesinIdentityManagementintheOSCERegion,OrganizationforSecurityandCooperationinEurope,2017,page41.33Thesecountriesare:Austria,Finland,France,Italy,Lithuania,Monaco,Norway,SwedenandSwitzerland.CompendiumofGoodPracticesinIdentityManagementintheOSCERegion,OrganizationforSecurityandCooperationinEurope,2017,page41.34Thesecountriesare:Andorra,Canada,Denmark,HolySee,Ireland,Turkmenistan,UnitedKingdomandUnitedStatesofAmerica.CompendiumofGoodPracticesinIdentityManagementintheOSCERegion,OrganizationforSecurityandCooperationinEurope,2017,page40.

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register.Ifobtaininganationalidentitycredentialisvoluntary,countriesmaychargeafeeforthecredential.However,countriesshouldconsiderprovidingthecredentialfreeofchargeoratanominalfee,astheidentitycredential,evenifnon‐mandatory,canbeessentialforbenefitingfrommanypublicandprivateservicesandexercisinghumanrights.

48. Continuousandpermanent.Aswithcivilregistration,theefficientandeffectiveadministrationofanidentitymanagementsystemrequiresthatanagencyorentityisauthorizedandmandatedtooversee,maintainandupdatethesystemwithouttimebounds,suchasasunsetclausethatlimitsthelifeoftheagency.Informationregularlytransmittedfromthecivilregistrationsystemtotheidentitymanagementsystemensuresthatinformationintheidentitymanagementsystemisuniversalandcurrent.Continuouslyongoingidentityregistration(usuallyataspecifiedage)addsadditionallayersofinformationtotheidentitymanagementsystem,whichalsokeepsitcurrent.Anidentitymanagementsystemgenerallystoresdatafromcivilregistrationandidentityregistration,andpossiblyothersources,inapopulationregister,whichiskeptpermanently.Thus,aswithcivilregistrationsystems,identitymanagementsystemsarecontinuousandpermanent.

49. Dataprotectionandprivacy.Theprivacyrightsofindividualsinrelationtoidentitymanagementsystemsareevolving.However,therearesomeprinciplesuponwhichthereisgrowingconsensus.TheOrganizationforEconomicCooperationandDevelopment(OECD)PrivacyGuidelinescontainsasetofeightprinciplesthatmanycountrieshaveapplied,inwholeorinpart,totheiridentitymanagementsystems,andinmanycasestotheircivilregistrationsystemsaswell.Theeightprinciplesareasfollows:

i. CollectionLimitationPrinciple:Thereshouldbelimitstothecollectionofpersonaldataandanysuchdatashouldbeobtainedbylawfulandfairmeansand,whereappropriate,withtheknowledgeorconsentofthedatasubject.

ii. DataQualityPrinciple:Personaldatashouldberelevanttothepurposesforwhichtheyaretobeused,and,totheextentnecessaryforthosepurposes,shouldbeaccurate,completeandkeptup‐to‐date.

iii. PurposeSpecificationPrinciple:Thepurposesforwhichpersonaldataarecollectedshouldbespecifiednotlaterthanatthetimeofdatacollectionandthesubsequentuselimitedtothefulfilmentofthosepurposesorsuchothersasarenotincompatiblewiththosepurposesandasarespecifiedoneachoccasionofchangeofpurpose.

iv. UseLimitationPrinciple:Personaldatashouldnotbedisclosed,madeavailableorotherwiseusedforpurposesotherthanthosespecifiedinaccordancewithParagraphiiiexcept:a)withtheconsentofthedatasubject;orb)bytheauthorityoflaw.

v. SecuritySafeguardsPrinciple:Personaldatashouldbeprotectedbyreasonablesecuritysafeguardsagainstsuchrisksaslossorunauthorisedaccess,destruction,use,modificationordisclosureofdata.

vi. OpennessPrinciple:Thereshouldbeageneralpolicyofopennessaboutdevelopments,practicesandpolicieswithrespecttopersonaldata.Meansshouldbereadilyavailableofestablishingtheexistenceandnatureofpersonaldata,andthemainpurposesoftheiruse,aswellastheidentityandusualresidenceofthedatacontroller.

vii. IndividualParticipationPrinciple:Individualsshouldhavetheright:a)toobtainfromadatacontroller,orotherwise,confirmationofwhetherornotthedatacontrollerhasdatarelatingtothem;

b)tohavecommunicatedtothem,datarelatingtothem

19

i.withinareasonabletime; ii.atacharge,ifany,thatisnotexcessive; iii.inareasonablemanner;and iv.inaformthatisreadilyintelligibletothem;

c)tobegivenreasonsifarequestmadeundersubparagraphs(a)and(b)isdenied,andtobeabletochallengesuchdenial;and

d)tochallengedatarelatingtothemand,ifthechallengeissuccessfultohavethedataerased,rectified,completedoramended.

viii. AccountabilityPrinciple:Adatacontrollershouldbeaccountableforcomplyingwithmeasureswhichgiveeffecttotheprinciplesstatedabove.

50. HowtheseprinciplesmightspecificallybeappliedtoCRVSIDsystemsisdiscussedindetailinChapterFour,SectionSix.

D. FUNCTIONSOFCIVILREGISTRATIONANDIDENTITYMANAGEMENT51. Thecivilregistrationsystemhasthreebasicfunctionsofroughlyequalimportance:(a)alegalfunctionwhichconsistsofregisteringvitaleventsandkeepingrecordsthatconstitutethesourceofcivilstatus;(b)astatisticalfunction,whichassumesthattheregistrationofficeshavebeenlegallychargedwithcollectingstatisticalinformationoneachoftheeventstobeenteredorreportedasinputtothecountry'svitalstatistics,and(c)theidentitymanagementfunction,whichassumesthatcivilregistrationprovidescontinuousandaccurateinputintoanidentitymanagementsystemorpopulationregister.Theidentitymanagementsystemalsoservesalegalandidentityfunction.Thelegalfunctionbeingtheprovisionofcredentialsthatenableanindividualtoprovetheiridentity,andtheidentitymanagementfunctionbeingthemaintenanceofasystemforthemanaginginformationanddocumentsassociatedwithanidentity.

52. Legalfunctionofcivilregistrationandidentitymanagement:Aprimarypurposeofcivilregistrationistofurnishlegalinstruments‐certificatesofvitalevents‐thatallowapersontoprovethefactsrelatingtohisorherexistence,identity,andpersonalandfamilysituation.Acertificateissuedbythecivilregistrationsystemhasthefullforceandeffectoftheoriginalvitalrecordandislegallyvalidproofofthevitalevent.Proofofavitaleventisoftenrequiredtoenjoypublicorprivatesectorservices.Forexample,abirthcertificatemayberequiredtoenrolinprimaryschool.Adeathcertificateandmarriagecertificatemayberequiredforanindividualtoobtainthepensionbenefitsorlifeinsuranceproceedsofadeceasedspouse.

53. Inadditiontoregisteringandcertifyingvitalevents,thelegalfunctionofcivilregistrationinsomecountriesmayalsoincludearolefortheregistraraspublicattestorornotarypublic.Inthisrole,registrarsmaybeassignedlegalpowerstoenablethemtoassistincreatingcertainlegaldocumentsbyadministeringoathsandattestingtosignatures.Forexample,incivilmarriages,mostcountriesauthorizeregistrarstocertifythatthepartieshavethelegalcapacitytomarryaswellastoauthorizethecelebrationofthemarriage.Recognitionoffiliationoutofwedlockispermittediftheinterestedpartymakesanexpressdeclarationoffiliationinthepresenceoftheregistrar.

54. Aprimaryfunctionofanidentitymanagementsystemistoprovideidentitycredentialsthatallowapersontoprovetheiridentity,i.e.,toprovethattheyarewhotheysaytheyare.Theseidentitycredentialsmayberequiredtobenefitfromgovernmentorprivatesectorservices.

55. Statisticalfunction:CivilRegistrationastheFoundationforVitalStatistics.Vitalstatisticsconstitutethecollectionofstatisticsonvitaleventsinalifetimeofapersonaswellasrelevantcharacteristicsoftheeventsthemselvesandofthepersonandpersonsconcerned.Vital

20

statisticsprovidecrucialinformationonthepopulationofacountry.35Informedgovernmentdecision‐makingandsocioeconomicplanningrequirestimelydataonthesizeandcharacteristicsofacountry’spopulation.Vitalstatisticsandtheirsubsequentanalysisandinterpretationareessentialforsettingtargetsandevaluatingsocialandeconomicplans,includingthemonitoringofhealthandpopulationinterventionprogrammes,andthemeasurementofimportantdemographicindicators,suchaslifeexpectancyatbirthandtheinfantmortalityrate.Itisdifficultforgovernmentstoplan,implementandevaluatesocialandeconomicdevelopmentprogrammeswithoutaccesstocontinuousvitalstatisticsfromthecivilregister.Censusesatbestprovideperiodicestimatesandsamplesurveysarerepresentativeonlyatthenationallevelandforlargeregions.

56. Thestatisticsauthorityshouldcompilevitalstatisticsfromthecivilregistrationdata,asthisistheidealsourcefromwhichtoderiveaccurate,complete,timelyandcontinuousinformationonvitalevents.Inaddition,vitalstatisticsderivedfromthecivilregistrationsystemcanincludeannualstatisticsfromthesmallestcivildivisions,whichnootherdata‐collectionsystemcanprovide.Whencivilregistrationinputdoesnotexistorisdeficient,somecountriesmayhaverecoursetoapopulationcensusorahouseholdsamplesurveytoestimatethenecessaryvitalstatisticsthroughretrospectivequestionsonfertility,mortalityandnuptiality.Fertility,mortalityandnuptialitystatisticsmayalsobecollectedbyinstitutingsampleregistrationareas.Insomecountries,vitalstatisticsneededforplanningpurposesrelyontheseothersourcesofdata,togetherwiththeapplicationofindirecttechniquesofdemographicestimation.Itmustbestressed,that,eventhoughpopulationcensuses,samplesurveysandsampleregistrationmayprovideestimatesofthelevelsoffertility,mortality,foetalmortality,marriageanddivorce,and,inthecaseofsampleregistration,estimatesformortalityeventsbycauseofdeath,theyarenotasubstituteforacivilregistrationsystem,sincetheycannotprovidesuchdetailsoverregularannualintervalsandwithuniversalcoverage.36

57. Thecompilationofvitalstatisticsshould,ataminimum,attaintwogoals:1)theprovisionoftotalmonthlyorquarterlysummarycountsofvitaleventsonatimeschedulepromptenoughtoprovideinformationforhealthinterventionandpopulationestimationprogrammes,administrativeusesorotherneeds,and2)theproductionofdetailedannualtabulationsofeachtypeofvitaleventcross‐classifiedbyitsdemographicandsocioeconomiccharacteristics.37ForadetaileddiscussionofpresentationanddisseminationofvitalstatisticsseethePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,paragraphs257‐270.

58. Publicationofvitalstatisticsreportsoffergovernmentagenciesandotherusersadependablesourceofvitalstatisticsdataandprovidethevitalstatisticsagencywithvisibilityintermsofitsfulfilmentofnationalneeds,itspurposeanditsimportancetosociety.Therefore,legislationshouldmandatethatthestatisticsauthoritypublishanddisseminatevitalstatisticsreportsanddataonaregularbasis,suchasmonthly,quarterlyandannually.38

59. IdentityFunction:CivilRegistrationastheFoundationforIdentityManagement:Thecivilregisteristheunderpinningofaperson’scivilidentificationrecord.Aperson’slegalidentityisestablishedthroughbirthregistration,whichprovidesevidenceoftheiridentityintheformofabirthcertificate.Thebirthcertificateisthenusedasafoundationdocumentforall

                                                            35PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph1.36PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph29.37PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph38.38SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph258‐273,foradiscussionon"Presentationofresultsanddatadissemination".

21

otheridentificationdocumentssubsequentlyissued.Whenthatindividual'sdeathisregistered,theirlegalidentityisretired.Thus,civilregistrationisthefoundationforlegalidentity.

60. Wheneachnewvitaleventforanindividualisregistered,thecivilregistrationauthoritywilltransmitinformationtotheidentitymanagementauthoritytoupdatetheinformationinthepopulationregister.Whileothersourcesalsofeedinformationintothepopulationregister,thecivilregistrationsystemisuniquelypositionedtoprovidereliableinputandcontinuousupdatingonthefactsofbirths,deaths,adoptions,legitimations,recognitions,marriage,divorce,annulmentsandjudicialseparations,andchangeofnameorsex.Anefficientconnectionwiththecivilregistrationauthorityisthereforeafundamentalelementfortheproperfunctioningofthepopulationregister.39

61. Auniqueidentificationcode(UIC)40maybeassignedtoeachindividualatthetimeoftheirbirthregistrationoratthetimetheyenterintotheregisterforthefirsttime(e.g.,uponimmigration).Thisnumbermaythenbeusedinallsubsequentcivilregistrationandidentityrecordsofthepersonconcerned,aswellasinawidevarietyofotherdocumentationacquiredbytheindividualduringhisorherlifetime(e.g.passport,nationalidentificationcard,driver'slicense,votercard,etc).41Afteranindividual'sinitialentryintothesystem,theidentitymanagementauthoritywilladdlayersofadditionalandrelevantinformation,whichmayincludeaphotograph,fingerprintsandotherbiometrics.Theidentitymanagementauthorityisalsoresponsibleforissuingidentitycredentials,whichallowindividualstoaccessgovernmentandprivatesectorservices.Forafulldiscussiononthelifecycleofidentitymanagement,seeSectionEbelow.

62. Ideally,astrongcivilregistrationsystemunderpinstheidentitymanagementsystem.However,manycountrieshavecreatedanidentitymanagementsystembeforestrengtheningtheircivilregistrationsystem.Thisisnotidealbecausesystemsthatarenotbasedonstrongcivilregistrationsystemsfacechallengesinupdatingtheirpopulationregisters.

63. WhereIDsystemshavegreaterratesofregistrationthancivilregistrationsystems,theIDsystemcanbeusedtostrengthenthecivilregistrationsystem.Pakistanhasattainedacoveragerateof98%inNADRA42‐itsidentitymanagementsystem‐yetbirthregistrationremainslow,at34%.43PakistanisusingtheeIDsystemtostrengthencivilregistration.NADRAiscollaboratingwithlocalgovernmenttouseitsresources,suchasmobilevans,toincreasebirthregistration.SeeBox6onPakistan.However,whilethisisacommendableefforttoincreasebirthregistration,itdoesnotreplaceastrongcivilregistrationsystem,whichprovidescontinuousupdatesnotonlyonbirths,butalsodeaths,causeofdeath,marriage,divorce,adoption,legitimation,andrecognition.Deathregistrationisparticularlyimportant;without

                                                            39HandbookonCivilregistrationandVitalStatisticsSystems:Management,OperationandMaintenance,Revision1,https://unstats.un.org/unsd/demographic‐social/Standards‐and‐Methods/files/Handbooks/crvs/crvs‐mgt‐E.pdf,paragraph65‐71.40AUniqueIdentificationCode(UIC)issometimesreferredtoasaPersonalIdentificationNumber(PIN).TheHandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,usestheterm"PIN".Hereweuse"UIC"toavoidconfusioninlaterchapters.SomeoftheidentitymanagementsystemcountryexamplesdiscussedhereinusebothaUICandaPIN.Forexample,inEstonia,allpersonsareassignedaUICatbirthandlaterinlifeareassignedtwoPINsthatareattachedtotheiridentitycredentialforpurposesofauthentication.Todistinguishbetweenthesetwotypesofcharactersequences,weuseUICforthecharactersequenceassignedtoallpersonsinthepopulationandPINtorefertoapersonalidentificationnumberusedforauthentication.41PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph401.42CivilRegistryConsolidationthroughDigitalIdentityManagement,SecureIdentityAlliance,2015,page28.43BirthRegistrationData,UNICEF,availableat:https://data.unicef.org/topic/child‐protection/birth‐registration/(accessed27April2018).

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thisinformationidentitiesareneverretiredfromthesystem,leavingthesystemvulnerabletofraudandwithinaccuratecontent.

E. VITALEVENTS

64. Thevitaleventsthatshouldberecordedforlegalandstatisticalpurposesareasfollows:livebirth,foetaldeath,death,marriage,divorce,annulment,judicialseparation,adoption,legitimationandrecognition.Causeofdeath,thoughnotavitaleventinitself(deathisthevitalevent),mustalsoberecordedforstatisticalpurposeswhenadeathisregistered.Noteverycountryrecordsallvitaleventsorpublishesthestatisticsforregisteredevents,althoughthisremainsanultimategoal.Somecountriesdonotyethavethemeansorfeeltheneedtoregistereachkindofvitalevent.Inordertofacilitatetheestablishmentortheimprovementofthecivilregistrationsystem,anorderofregistrationpriorityisassignedtovitalevents.Thoseofhigherpriorityarelivebirths,deaths,foetaldeaths,marriagesanddivorces.Toppriorityshouldbegiventolivebirthsandtodeathsbecausetheyarebasictotheassessmentofpopulationgrowthaswellasthehealthofthepopulation.Recordingoffoetaldeathsandtheircharacteristicsshouldbegrantedthenexthighestpriority,especiallybecauseoftheirvaluetotheunderstandingoffertilityandpregnancyoutcomes.44

65. ThedefinitionofeachvitaleventoroccurrenceonwhichregistrationinformationistobecollectedshouldbedefinedinthecivilregistrationlegislationandthosedefinitionsshouldbealignedwiththedefinitionssetforthbytheUnitedNations.Thedefinitionsusedincivilregistration,vitalstatisticsandidentitymanagementshouldbestandardizedtoensureinteroperabilityofthecivilregistration,vitalstatisticsandidentitymanagementsystems.ThedefinitionsestablishedbytheUnitedNationsareasfollows:

66. Livebirth:thecompleteexpulsionorextractionfromitsmotherofaproductofconception,irrespectiveofthedurationofpregnancy,which,aftersuchseparation,breathesorshowsanyotherevidenceoflife,suchasbeatingoftheheart,pulsationoftheumbilicalcordordefinitemovementofvoluntarymuscles,whetherornottheumbilicalcordhasbeencutortheplacentaisattached;eachproductofsuchabirthisconsideredliveborn(alllive‐borninfantsshouldberegisteredandcountedassuch,irrespectiveofgestationalageorwhetheraliveordeadatthetimeofregistration,andiftheydieatanytimefollowingbirth,theyshouldalsoberegisteredandcountedasdeaths).45

67. Death:thepermanentdisappearanceofallevidenceoflifeatanytimeafterlivebirthhastakenplace(postnatalcessationofvitalfunctionswithoutcapabilityofresuscitation).(Thisdefinitionexcludesfoetaldeaths,whicharedefinedseparatelybelow).46

68. Foetaldeath47:deathpriortothecompleteexpulsionorextractionfromitsmotherofaproductofconception,irrespectiveofthedurationofpregnancy;thedeathisindicatedbythefactthataftersuchseparationthefoetusdoesnotbreatheorshowanyotherevidenceoflife,suchasbeatingoftheheart,pulsationoftheumbilicalcordordefinitemovementofvoluntary

                                                            44PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph290‐291.45PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.46PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.47Alsoreferredtoas“dead‐bornfoetus”and“stillbirth”.

Box 6. Pakistan. Use of NADRA 

resources to increase civil 

registration rates.  

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muscles(notethatthisdefinitionbroadlyincludesallterminationsofpregnancyotherthanlivebirths,asdefinedabove).48

69. Marriage:theact,ceremonyorprocessbywhichthelegalrelationshipofspousesisconstituted.Thelegalityoftheunionmaybeestablishedbycivil,religiousorothermeansasrecognizedbythelawsofeachcountry.Countriesmaywishtoexpandthisdefinitiontocovercivilunionsiftheyareregistered;inthatcase,registeredpartnershipusuallyreferstoalegalconstruct,registeredwiththepublicauthoritiesaccordingtothelawsofeachcountry,thatleadstolegalconjugalobligationsbetweentwopersons.49

70. Divorce:thefinallegaldissolutionofamarriage,thatis,thatseparationofspouseswhichconfersonthepartiestherighttoremarriageundercivil,religiousand/orotherprovisions,accordingtothelawsofeachcountry.Incaseacountryrecognizesregisteredpartnerships,alegaldissolutionofaregisteredpartnershipreferstothelegalfinaldissolutionofsuchapartnership,accordingtonationallaws,conferringonthepartiestherighttore‐enterintoanotherpartnershipormarriage.50

71. Annulment:theinvalidationorvoidingofamarriagebyacompetentauthority,accordingtothelawsofeachcountry,whichconfersonthepartiesthestatusofneverhavingbeenmarriedtoeachother.51

72. JudicialSeparation:thedisunionofmarriedpersons,accordingtothelawsofeachcountry,withoutconferringonthepartiestherighttoremarry.52

73. Adoption:thelegalandvoluntarytakingandtreatingofthechildofotherparentsasone’sown,insofarasprovidedbythelawsofeachcountry.53

74. Legitimation:theformalinvestingofapersonwiththestatusandrightsofapersonborninwedlock,accordingtothelawsofeachcountry.54

75. Recognition:thelegalacknowledgement,eithervoluntarilyorcompulsorily,ofthepaternityofachildbornoutofwedlock.55

76. Thecivilregistrationlegislationshouldlistthevitaleventsforwhichregistrationiscompulsory.Ifthislistdoesnotincludealltheeventsdefinedabove,thelegislationcouldincludeaprovisionalclausetoprovideforthepossibilityofsubsequentlyextendingthelistofeventstoberegistered.Thisallowsthelistofvitaleventsforwhichregistrationiscompulsorytobeexpandedlaterifappropriate.Forexample,ifacountryinitiallywishestoregisteronlybirthsanddeaths,duetolimitedresourcesorforotherreasons,thelegislationcouldauthorize

                                                            48PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.49PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.50PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.51PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.52PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.53PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.54PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.55PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.

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theregistrationauthoritytoexpandthelistofvitaleventstoinclude,forexample,foetaldeaths,marriages,anddivorces,atalaterdate.

F. IDENTITYMANAGEMENT77. Whilethecivilregistrationsystemprovidesforlegalregistrationandcertificationofvitalevents,itisnotdesignedtosecurelylinktheidentityinformationintheregisterwithaspecificperson.Forexample,whenanadultpresentsabirthcertificateitisdifficulttoknowwithahighlevelofassurancewhetherthedocumentistrulytheirswithoutthebenefitofadditionalinformation.However,theadditionofsomeformofbiometricinformation,suchasafacialimage,fingerprintsorotherinformationuniquetotheidentityholder,whenlinkedwiththecivilregistrationinformation,increasesthelevelofassurance.Thatidentityinformationcanberecordedonasecuremediumthatcanthenbeusedforidentificationpurposes;toverifythatthepersonclaimingacertainidentityisindeedthatperson.56

78. Identitymanagementreferstoproducinglegallyvalidproofofidentitytoeachindividualandmaintainingsystemsformanaginginformationanddocumentsassociatedwithone’sidentity,includingindividualbiometrics.Identitymanagementauthoritiesmustmakenumerousdecisionsonhowtomanageidentityinformation,includingdecisionsregardingtechnologicalspecifications,aswellaslegalandadministrativeprocedures.Thissectionisnotintendedtoprovidetechnologicaladvice;indeed,technologyspecificationsshouldnotbeincludedinCRVSIDlegislationinordertoavoidlockinginaparticulartypeoftechnology,whichmakesasystemunabletobenefitfromtechnologicaladvances.Rather,thissectionismeanttoelaborateonkeyconceptsofidentitymanagementandhighlightareasthatrequirepolicydecisionsbylawmakers.ThekeyelementstobeincludedinCRVSIDlegislationandregulationsarefurtherelaboratedinChapterFour.

79. Whilethereareawidevarietyofcountrypracticesandsystemsforidentitymanagement,therearemanyelementscommontoidentitymanagementsystemsglobally,includingtheassignmentofauniqueidentitycode(UIC)andthelifecycleofidentity.ApersonusuallyentersintotheidentitymanagementsystemwiththeassignmentofaUIC,eitheratbirthregistrationoridentityregistrationatalaterage.AUICisassignedtoonlyoneperson,andapersonshouldhaveonlyoneUIC.Thiscodeisassignedtoanindividualforlifeandgenerallycannotbechangedexceptunderspecifiedcircumstances,suchasidentitytheft.WhiletheUICistheentryintotheidentitymanagementsystem,itisdifficulttoknowwithahighlevelofassurancethatthepersonpresentingaUICisthetrueowneroftheUIC.Thecreationofadigitalidentityincreasesthislevelofassurance.

80. DigitalIdentityisasetofelectronicallycapturedandstoredattributesandcredentialsthatcanuniquelyidentifyaperson.57Digitalidentitiesarecreatedandusedaspartofalifecyclethatincludesfourfundamentalstages:(a)registrationintheidentitymanagementsystem(“identityregistration”),includingenrolmentandvalidation,(b)issuanceofdocumentsorcredentials,(c)authenticationforservicedeliveryortransactions,58and(d)closure/deactivationandarchiving,afterthedeathofaperson.Identityprovidersalsoengageinongoingmanagementandupdatingofthesystem.

81. IdentityRegistrationEnrolment.Thisprocessinvolvescapturingandrecording,intheidentitymanagementsystem,keyidentityattributesfromapersonwhoclaimsacertainidentity,whichmayincludebiographicaldata(e.g.,name,dateofbirth,sex,address,email),biometrics(e.g.,fingerprints,irisscan),aswellasotherattributes.Whichattributesarecapturedduringthisphase,andthemethodusedtocapturethem,haveimportantimplications                                                            56CompendiumofGoodPracticesinIdentityManagementintheOSCERegion,OrganizationforSecurityandCooperationinEurope,2017,page40.57TechnicalStandardsforDigitalIdentity,WorldBank,2017,page2.58TechnicalStandardsforDigitalIdentity,WorldBank,2017,page3.

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forthetrustworthinessoftheidentityaswellasitsutilityandinteroperabilitywithotheridentitysystems.59Forexample,someindividualsmayhavebiometricsthatarehardtocapture,eitherduetofaultyequipmentorphysicalcharacteristics.Thelattercaninclude,forexample,wornfingerprintsforruralandmanualworkers,orunreadableprintsfortheveryold.Cataractsurgerycanhinderirisrecognition.60CountryexampleforTextbox.Inaddition,whilebiometricsisemergingasthecoreofnationalidentificationsystems,therearealsorisksattachedtorelyingonbiometrics.Unlikeotherformsofdigitalcredentialing,whenbiometricsecurityisbreachedthedamageislonglasting.Youcanchangeyourpasswordafterabreachbutyoucannotchangeyourfingerprints.61

82. Asstated,inmanycountriesaperson'sentryintothesystemoccursatbirth,withtheassignmentofaUIC.However,enrolmentandvalidationoftenoccuratalateragebecausebiometricinformationofveryyoungchildrenwasnotconsideredtohavesufficientsalientfeaturestoidentifyachild.Thisischangingwithnewtechnologies.62Whilethetypicalageforadultenrolmentisbetween15and18,youngerchildrenhavebeensuccessfullyenrolledusingbiometrics.India'sUniqueIdentifierprogramtakesbiometricsfromtheageof5,re‐registeringchildrenattheageof15.Inaninitiativetofightchildtrafficking,Mexicosuccessfullyidentifiedsome14millionchildrenfromtheageof5usingiris,fingerprintsandface.63Indraftingalegalframework,policymakersmustdecidewhenanindividualenterstheidentitymanagementsystemwithaUIC(recommendedatbirth)andatwhatageanindividualisenrolledinadigitalidentityprogramwithbiometrics.

83. IdentityRegistrationValidation.Oncethepersonhasclaimedanidentityduringenrolment,thisidentityisthenvalidatedbycheckingtheattributespresentedagainstexistingdata,suchinformationinthecivilregisterandotherdatabases.Thevalidationprocessensuresthattheidentityexists(i.e.,thatthepersonisalive)andisclaimedbyoneperson(i.e.,itisuniqueinthedatabase).Inmoderndigitalidentitysystems,uniquenessisensuredthroughade‐duplicationprocessusingbiometricdata.64

84. Issuance.Aregisteredidentitygoesthroughanissuanceorcredentialingprocess,whereidentityprovidersmayissueavarietyofcredentials(forexample,UICs,smartcards,orSIMcardsenabledwithpublickeyinfrastructure(PKI)technology).ForanIDtobeconsidereddigital,thecredentialsissuedmustbeelectronic,inthesensethattheystoreandcommunicatedataelectronically.Commontypesofelectroniccredentialsfallintothreecategories:1)somethingyouknow(forexample,apassword),2)somethingyouhave(forexample,anIDcard,mobilephoneoracryptographickey),orsomethingyouare(forexample,afingerprintorotherbiometricdata).65Typesofelectroniccredentialsystemsincludesmartcards,2Dbarcodecards,mobileidentity,andidentityinacentralstoreorcloud(suchasanidentitynumberandbiometrics).SeeChapterFour,paragraphsXX,formoredetailsonthesetypessystems.

85. Technologychangesswiftly.Typesofbiometricsandcredentialsthatacountrywishestouse,orthatarewidelyavailableforuse,willchangeovertime.Forexample,currentbiometricsmayincludeaphotoandfingerprints;futurebiometricsmayincludeanirisscanorvoiceorveinrecognition.Acountry'selectroniccredentialsmaycurrentlybeintheformofasmartcardor

                                                            59TechnicalStandardsforDigitalIdentity,WorldBank,2017,page3.60IdentificationforDevelopment:TheBiometricsRevolution,WorkingPaper315,CenterforGlobalDevelopment,2013,page9.61IdentificationforDevelopment:StrategicFramework,WorldBank,2016,page11.62Jain,A,,et.al,FingerprintRecognitionofYoungChildren,TechnicalReport,MichiganStateUniversity,MSU‐CSE‐16‐5,SEPTEMBER2016,page1.63PreliminaryDiscussionPaperontheFutureofIdentificationandDevelopment,CenterforGlobalDevelopment,page54.64TechnicalStandardsforDigitalIdentity,WorldBank,2017,page3‐4.65TechnicalStandardsforDigitalIdentity,WorldBank,2017,page4.

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SIMcard;thefuturemaybeasmartwatchorcurrentlyunforeseenformats.66Thereforelegislationshouldbewrittenbroadly,forexample,requiringtheattachmentofbiometricstoalegalidentityataspecifiedage.Thetypeofbiometricsandsystemofcredentialsshouldbeaddressedinregulations,whichareeasiertoamendastechnologyadvances.

86. Theinformationcontainedonthefaceof,oraccessiblefrom,acredentialhasimportantimplications.Credentialsthatcontainpersonalinformation,suchascitizenship,residencystatus,orethnicity,mayincreasetherisksofdiscrimination,profilingandsocialexclusion.Italsoincreasestheriskthatsuchinformationissharedunintentionallyorwithpersonswhohavealegitimateinterestinonlysomeofthedatafromthecredential.Whilesuchinformationmaybestoredinanidentitymanagementsystemorpopulationregisterandmadeavailabletoauthorizedofficials,informationthatidentifiesapersonasbelongingtoacertainsegmentofthepopulationdoesnotnecessarilyneedtobevisibleon,oraccessiblefrom,acredential.Whiletheremaybelegitimatereasonsforissuingidentitycredentialswiththisinformation,policymakersshouldcarefullyconsiderwhetherthosereasonsoutweighthepotentialrisks.

87. Similarly,policymakersmaywishtoconsidernothavinga"sex"datafieldonanidentitycardorothercredential.Fortransgenderpeopleandpeoplewhoidentifyasneithermalenorfemale,anIDcardthatindicates"sex"maybeincongruentwiththeirgenderidentity.Genderincongruentidentificationexposespeopletoarangeofnegativeoutcomes,fromdenialofemployment,housing,andpublicbenefits,toharassmentandphysicalviolence.However,manytransgenderpeoplehavegenderincongruentidentificationduetocomplicatedandlengthyprocessestochangenameandgenderontheiridentification.A2016studyintheUSfoundthatonlyone‐fifth(21%)oftransgenderpeoplewhohadtransitionedhadbeenabletoupdatealloftheirIDsandrecordswiththeirnewgenderandone‐third(33%)hadupdatednoneoftheirIDsorrecords.67Leaving"sex"offidentitycardsorothercredentialsalleviatesthissituation.Alternatively,policymakersshouldconsidersimplifyingtheprocessforchangingnameandgenderonidentitycardsorothercredentials,suchasremovingproofofsurgeryandcourtorderrequirements.

88. Authentication:Authenticationistheprocessbywhichapersonprovesthattheyarewhotheysaytheyare.Onceapersonhasbeenregisteredandcredentialed,theycanusetheirdigitalidentitytoaccesstheassociatedbenefitsandservices.Forexample,individualsmayusetheirUICnumbertopaytaxesthroughaneGovportaloraccesshealthservices;orapersonmayusetheirIDcardtoverifytheiridentityandopenabankaccount.Inordertoaccessservices,theusermustbeauthenticatedusingoneormorefactorsthat,likecredentials,generallyfallintooneofthreecategories—somethingyouknow,somethingyouhave,somethingyouare.Authenticationusingtheseattributescanoccurthroughvariouspathways,includingsmartcards,mobileidentity,orIDinthecentralstore/cloud.SeeChapterFourforfurtherdetailsonthesesystems.

89. Aswithissuanceofcredentials,policymakerswillneedtodeterminethefactorsusedinauthenticationandwhetheroneormorefactorsareused,basedonthelevelofassurancerequired.Authenticationneednotnecessarilyinvolvebiometrics.Forexample,whileEstoniausesbiometricstode‐duplicate,biometricsarenotusedtoauthenticateidentity.Instead,EstoniausesaSmartIDwithtwodigitalcertificatestoauthenticateidentity.SeeBox8fordetails.

Box8.Estonia'se‐IDSystem.Estonia'se‐IDsystem,launchedin2002,isunderpinnedbyastate‐heldpopulationregister,whichprovidesallcitizensandotherresidentswithan11‐digituniqueidentitycode.Inadditiontotheuniqueidentitycode,thedatabasecontainseachperson'sname,

                                                            66SeeIdentityManagementin2030,SecureIdentityAlliance,page12.672016USTransgenderSurvey,NationalCenterforTransgenderEquality,availableat:https://transequality.org/issues/national‐transgender‐discrimination‐survey.

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sex,dateofbirth,placeofbirth,addresshistory,citizenship,andlegallyrecognizedrelationships.Eachpersonisalsoissuedanemailaccounttoprovideanelectronicaddress.Thepersonalidentifierisuseduniversallybystateagenciesandbyanumberofprivateentitiestoidentifyusersandlinkthemtotheirrecordswithintheirrespectivesystems(medicalhistory,policerecordsandothers).Enrolmentiscompulsoryforcitizensandresidentsattheageof15.Biometrics(faceand10fingerprints)aretakentoensureagainstduplicateenrolmentsbuttheyarenotusedforauthentication.AuthenticationisthroughasmartIDcardcontainingamicrochipwithtwodigitalcertificates:oneforauthenticatingtheholderwithaPINcalledPIN1,andtheotherfordigitalsigningwhichrequiresaseparatePIN2.PIN1isaminimum4‐digitnumberandPIN2isaminimum5‐digitnumber.Botharecompletelyunderthecontroloftheuser.Authenticationismatch‐on‐card,meaningthePINismatchedagainsttheinformationstoredonthecardratherthanagainstthecentraldatabase.Digitalsignaturesandauthenticationarelegallyequivalenttohandwrittensignaturesandface‐to‐faceidentificationinEstoniaandbetweenpartnersuponagreementanywherearoundtheworld.68

90. Management,RetirementandArchiving.Throughoutthelifecycle,identitymanagementauthoritieswillcontinuouslyupdateinformationintheidentitymanagementsystemfrominformationprovidedbythecivilregisterandotherregisters.Whenadeathisregistered,thecivilregistrationauthoritymusttransmitthisinformationtotheidentitymanagementauthoritysothattheidentitymanagementauthoritymayretireordeactivatetheUICandidentitycredentialofthedeceasedindividual.Thisisanimportantstepinpreventingthefraudulentuseoftheidentityofthedeceased.Italsoalertsotheragenciesthatmaybelinkedtotheidentitymanagementsystem‐suchastaxandpensionauthorities‐thattheidentityisnolongeractive.Accordingly,thelawshouldrequirethenationalregistrartotransmitdeathregistrationinformationincluding,ataminimum,nameandUIC,andanyotherinformationthatwillallowthedeceasedtobematchedtoanidentityinthesystem.Datapertainingtoidentitiesthatareretiredshouldbepermanentlyarchived.Generally,UICsarenotreused,orreusedonlyafter50to100years.

91. Generally,aUICbelongstoanindividualforlifeandisnotretiredordeactivateduntildeath.However,therearelimitedcircumstancesotherthandeathunderwhichaUICmayberetired.Forexample,ifanidentityishackedandusedforfraudulentpurposes.Therefore,thelawshouldcontainprovisionsforretirementofaUICandassignmentofanewUICforindividualswhohaveexperiencedabreachinsecurity.

G. INTEROPERABILITY

92. MostCRVSIDsystemshavenumerousstakeholders,withinformationcollectedin,storedacross,andtransferredbetween,multipleregistriesmaintainedbydifferentagencies.TheefficientfunctioningoftheCRVSIDsystemsdependsonthecooperationofthesestakeholderagenciestoensurethattheseregistriesare“interoperable”,i.e.,cancommunicatewitheachotherandexchangeinformation.Thiswillfacilitatethetimelytransferofinformationandproductionofstatistics,andhelpavoidduplicationofrecordsanderrorsandomissions.

93. CRVSIDlegislationshouldrequirethatthecivilregistration,vitalstatisticsandidentitymanagementsystemsachieveinteroperabilityamongstthemselvesandestablishastakeholdercoordinationmechanismtoachievethis.ThiscoordinationmechanismcantaketheformofaninteragencyCRVSIDcommittee,withrepresentativesfromeachofthestakeholderagencies,orasinglegovernmentagencyempoweredtocoordinatetheactivitiesofCRVSIDstakeholdersandobligestakeholderstocollaboratewiththecoordinatingentity.(SeeChapterThreeforamore‐indepthdiscussionofcoordinationmechanisms.)Whatevercoordinationmechanismischosen                                                            68Gelb,A.andDiofasi,A.,PreliminaryDiscussionPaperontheFutureofIdentificationandDevelopment,CenterforGlobalDevelopment,31October2015,page37.

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‐aninteragencycommitteeorsingleagency‐thisentitywillberesponsibleforensuringtheinteroperabilityofthesystemsofthestakeholderagencies.Therefore,itshouldbeauthorizedtopromulgaterulesoninteroperability,whichisbestachievedthroughadministrativeprocedures,asadministrativeproceduresprovidemoreflexibilitytorespondtochangingneeds.

94. Therearethreeaspectsofinteroperability:organizationalinteroperability,semanticinteroperability,andtechnicalinteroperability.69Thelegislationshouldauthorizethecoordinatingentitytosetinteroperabilitystandardsforeachaspectofinteroperability.

95. Organisationalinteroperabilityisconcernedwithdefiningbusinessgoals,modellingbusinessprocessesandbringingaboutthecollaborationofadministrationsthatwishtoexchangeinformationandmayhavedifferentinternalstructuresandprocesses.Organisationalinteroperabilitycanbeaparticularchallengeindecentralizedsystemsofgovernment,wherecivilregistrationand/oridentitymanagementauthoritieshavedifferenceprocessesineachstateorprovince.TheresidencyregistrationsysteminGermanyprovidesanexampleofsuchadecentralizedsystemandhoworganizationalinteroperationcanbeachieved.SeeBox9re:GermanRegistration.

Box9.GermanResidenceRegistrationSystem.

InGermany,individualsarerequiredtoregisterwheretheylive.Iftheymove,theyhavetoderegisterintheiroldcommunityandre‐registerintheirnewcommunity.Thereareabout5,400citizenregistersand,previously,movinginvolvedadoubleburdenoffillingouttwoforms,oneinoldlocationandoneinthenewlocation.Thesesystemscouldnotbecentralizedbecausetheregistrationprocessfallsunderthejurisdictionofthe17Lander(states)underthecoordinationoftheFederalGovernmentandtherewerestrongprivacyconcerns.ThereforetheFederalGovernmentdecidedtouseacoordinatingauthoritytoestablishastandardfordataexchangebetweenthelocalcommunitiesandstandardproceduresforservicessuchasaddressverificationandchangeofaddress.Asaresult,nowanindividualwhomovesneedonlycompletetheprocessonceandtheinformationwillbeexchangedbetweentheoldandnewlocation.70

96. Franceprovidesanotherexampleofadecentralizedsystem,wherecivilregistrationismanagedandoperatedatthelocallevel.Achievinginteroperabilitybetweenlocaldatabasesallowsforqueryingofthesystemthatwaspreviouslynotfeasibleordifficultwithpaper‐basedsystems.FrancehasrecentlyundertakenaprocessoflinkinglocalcivilregistrationauthoritiesthroughadedicatednetworkfordataexchangecalledCOMEDEC(ElectronicDataExchangeofCivilStatusData).SeeBox10forfurtherdetails.

Box10.France:ElectronicDataExchangeofCivilStatusData(COMEDEC)

InFrance,localcivilregistrationdatabasesaregraduallybeinglinkedtoadedicatednetworkfordataexchangecalledCOMEDEC(ElectronicDataExchangeofCivilStatusData),whichisimplementedjointlybytheNationalAgencyforSecureDocumentsandtheMinistryofJustice.Thesystemenablestheelectronicexchangeofcivilstatusdatabetweentherecipientsofcivilstatusdata(passportissuingauthoritiesandnotaries)andthelocalcivilregistrationauthorities.ImplementationoftheCOMEDECnetworkbeganinJune2012withtheconnectionofthefirst16pilotmunicipalities.Thewidespreaddeploymentofthenetworkstartedon1January2014,andbymid‐2017

                                                            69TechnicalStandardsforDigitalIdentity,WorldBank,2017,page26‐27.70Kubicek,H.andCimander,R.,Threedimensionsoforganizationalinteroperability:Insightsfromrecentstudiesforimprovinginteroperabilityframe‐works,EuropeanJournalofePractice,No.6,January2009,pages2‐3.

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approximately50percentofalllocalcivilregistrationdatabaseshadbecomepartofthenetwork.TheLawonModernizationofJusticeinthe21stCentury,enactedon18November2016,requiresmunicipalitiestoconnecttheircivilregistrationdatabasestotheCOMDECnetworkbynolaterthan1November2018.

97. Semanticinteroperabilityisconcernedwithensuringthattheprecisemeaningofexchangedinformationisunderstandablebyanyotherapplicationthatwasnotinitiallydevelopedforthispurpose.IntheCRVSIDcontext,thismeansthedefinitionsofvitalevents,dataelementsinforms,andthewaydataelementsarecodedmustbestandardizedacrossthecivilregistration,vitalstatistics,andidentitymanagementauthorities.Forexample,ifthevitalstatisticsauthorityusestheUNdefinitionsoflivebirth,foetaldeath,anddeathandthecivilregistrationauthorityis(incorrectly)callinga"foetaldeath"a"livebirth"and"death"andregisteringthefoetaldeathinthebirthanddeathregister,thevitalstatisticsauthoritywillhaveflaweddataonbirths,deaths,andfoetaldeaths.Similarly,ifthecivilregistrationauthorityisclassifyingfoetaldeathas"earlyfoetaldeath"and"latefoetaldeath"(notrecommended),andthevitalstatisticsauthorityisclassifyingfoetaldeathaccordingtoweight‐specificmeasures,theinformationwillbeincompatible.Iftheidentitymanagementauthorityrequests"surname,name,middleinitial"onaformandtransmitsthisinformationtothecivilregistrar,whichhasdatafieldsfor"name,middlename,surname",thematchingofinformationwillbedifficult.Thus,theinformationexchangedbetweenagenciesmustbedefinedandrequestedinaformatthatisstandardizedsothattheinformationisunderstoodinthesamewayacrossagencies.

98. ThemostcommonwayofsharinginformationacrossdatabasesisthroughuseofaUIC,whichisusedtomatchanindividual'srecordsindifferentdatabases.However,evenwiththeuseofaUIC,definitionsanddataelementsmustbestandardizedforefficientandeffectivesharingofinformation.Thiscanevenhelpspotproblemsorinconsistenciesindata.Forexample,iftheUICinonesystemmatchestheUICinanothersystem,butthedateofbirthonbothrecordsdoesnotmatch,astandardizedformatfordateofbirthdatainbothsystemswillallowtheerrortobecaught.However,ifdateofbirthinformationisrecordeddifferentlyinthetwosystems,itwillbemoredifficulttodetecttheerror.

99. Technicalinteroperabilitycoversthetechnicalissuesoflinkingcomputersystemsandservices.Technicalinteroperabilitycanbeachievedacrossagenciesbyusingthesamesoftwareplatformorcompatiblesoftware.TheseGuidelinesarenotintendedtoprovideadviceontechnologystandards.71However,policymakersshouldensurethatprocurementguidelinesfacilitatecompetitionandinnovationandpreventpossibletechnologyandvendor"lock‐in",whichcanincreasecostsandreduceflexibilitytoaccommodatechangesovertime.72

100. Interoperabilityandprivacy.Asdiscussedabove,inparagraphsXX,confidentialityanddataprotectionandprivacymustbecoreprinciplesofCRVSIDsystems.Dataisparticularlyvulnerableduringtransmission,andthereforewhenconsideringinteroperabilityandhowdatawillbeshared,policymakersmustalsoconsiderthepotentialforbreachesofsecurityandprivacy.

101. ThemostcommonwayofsharinginformationacrossdatabasesisthroughaUIC,asdiscussedabove.Whilethisfacilitatesdatasharing,italsoraisesarisktoprivacyifindividualrecordsaremergedacrossawiderangeofregisters,leadingtothepotentialabilitytoconsolidateacompleterecordofengagementsandtracktransactions.73However,anexchange                                                            71Forguidanceontechnologystandards,seeWorldBankandIdentificationforDevelopment,TechnologyStandardsforDigitalIdentity(DraftforDiscussion),2017.72PrinciplesonIdentificationforSustainableDevelopment:TowardtheDigitalAge,WorldBankandCenterforGlobalDevelopment,page13.73GelbandDiofasi,PreliminaryDiscussionPaperontheFutureofIdentificationandDevelopment,CenterforGlobalDevelopment,2015,page29.

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ofinformationbetweendatabasesdoesnotnecessarilymeanthatallinformationisstoredononedatabase.Informationcanbecentralized(storedononedatabase)ordecentralized(storedacrossseveraldatabases).Estoniaoperatesadecentralizedidentitymanagementsystem,whichallowstheindividualtocontroltheirowndataandprovideshighsecurity.SeeBox11fordetailsonEstonia’sidentitymanagementsystem.

Box11.Estonia’sDecentralizedIdentityManagementSystem.

WhiletheEstonianeIDisanchoredinthenationalpopulationregister,databasesaredecentralized,witheachgovernmentagencyandserviceproviderstoringonlythedatanecessaryfortheirownpurposes.Databasesarelinked,toallowforexchangeofinformationbetweenstateentitiesandwithprivateentities.Individualshavecontrolovertheirdataandifoneentitywishestoseedatainotherentity'sdatabase,theindividualmustconsenttothis.Thisallowsresidentsmaximumaccessandcontrolovertheirdata,includingcheckingwhohasaccesseddataandwhen.Abusebypublicofficialsispunishablebyimprisonment.

102. Toensurethatprivacyisprotected,thelegislationorregulationsshouldexpresslyspecifywhatdataisexchangedbetweenregistriesandrequirethatthedataexchangedisproportionalandminimalanditsuseisexpresslyprovidedforunderlaw.Althoughthelegislationshouldnotspecifythetechnologytobeused,thelegislationshouldrequiretechnologythatensuresdataprivacyduringtransmission.

H. ACCOUNTABILITYANDGOVERNANCE

103. Decisionsbycivilregistrarsandidentitymanagementofficialsaffectpeople'sdailylives.Thedecisiontoallowapersontoregisteravitaleventwithcertaininformation,oramendavitaleventrecordoridentitydocument,hasimplicationsforthatindividual'sabilitytoaccessservicesandexercisetheirhumanright.Duetothis,itisessentialthatinformationinthecivilregistrationandidentitymanagementsystemsbeaccurate,thatthesesystemsbeaccountableandtransparent,andthereberecourseunderlawtochallengeofficialactions,includingarbitrarydecisions,abusesofdiscretion,andviolationsofprivacy.Thisrequiresthatsystemsbeputinplaceformonitoringandinspectionofcivilregistrationandidentitymanagementofficesandproceduresforappealbeestablished.Theseconceptsarediscussedinthissection.

i. MonitoringandInspection

104. Giventhelegalandstatisticalfunctionsofthecivilregistrationsystem,itisessentialthattheinformationinthesystembeaccurate.Oneoftheprinciplefunctionsofacivilregistrationsystemistoissuecertificates,whichserveasofficialevidenceoftheinformationonindividualvitaleventscontainedintheregister.Thereforeitisessentialthatthecivilregisterexactlyreflectreality.Toachievethis,thenationalcivilregistrarmustbebroadlyaccountableforensuringandverifyingthattheeventsregisteredareconsistentwithreallife.Tothisend,CRVSIDlegislationshouldrequirethecivilregistrationauthoritytoputinplaceappropriateprotocolsforvalidatingandcrosscheckingdata,aswellasmonitoringandinspectingtheproceduresandfilesoflocalregistrarofficesandothersourcesofvitaleventsinformation.

105. Similarly,giventhelegalfunctionoftheidentitymanagementsystem,localidentityregistrationofficesshouldbemonitoredandinspectedtoensureefficiencyandtransparency,topreventexclusion,andtoensurethatallstakeholdersappropriatelyuseidentificationsystemstofulfiltheirintendedpurposes.Protocolsshouldbeputinplacetorespondtopotentialdatabreachesandreceiveindividualcomplaintsorconcernsregardingtheprocessingofpersonaldata.

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106. CRVSIDlegislationshouldrequireasystemofmonitoringandinspectiontoensurethattheregistrationservicesprovidedareaccurateandeffective,andshouldauthorizethecivilregistrationandidentitymanagementauthoritiestoimplementsuchasystem.Themethodandsystemofmonitoringandinspectionshouldnotbeinthelegislation,butratherinprocedures,toallowforadjustmentsasneeded.Thecivilregistrationandidentitymanagementauthoritiesshouldformulategeneralinstructionsonthemethodandsystemofmonitoringandinspectiontoverifythatthecivilregistrationandidentitymanagementservicesareperformingefficiently,effectivelyandincompliancewithlegislation.

107. Forcivilregistrationandvitalstatistics,amonitoringsystemshouldtrackthetotalnumberofregistrationsofeachtypeofvitaleventonamonthlybasis,andateverygeographicaloradministrativelevel.Similarly,thetotalnumberofcertificatesissuedforeachtypeofvitaleventshouldbetrackedperiodicallyandateverygeographicalandadministrativelevel.Withthesesimpleindicators,anationalorlocalmanagerwillbeabletodetectunexpecteddropsorspikesintheregistrationflow.Comparisontotheexpectedorhistoricalnumberofvitalevents,particularlyatthelocallevel,willshedlightontheextentandcompletenessofregistration.Wherehealthfacilitiesaretheprimaryinformantornotifier(SeeChapter4),theseinstitutionsshouldsimilarlybemonitoredtoensurecompletenessofregistration.Thenationalregistrarshouldalsomonitorthenumberofregistrationsundertakenperregistrar,asthiscanbeusedtoidentifyareasforimprovement,makeadjustmentstoworkloadsoridentifyotheradministrativearrangementstoimproveservicetothepublic.Inaddition,reportsontimeusageofregistrationsoftwareineachregistrationcentrecanbeemployedtomonitortheactualtimethatlocalorremoteofficesareopentothepublic.Foranin‐depthdiscussiononmonitoring,seetheHandbookonCivilRegistrationandVitalStatistics:Management,OperationsandMaintenance,Revision1,paragraphs201‐205.

108. Thelegislationshouldrequireandauthorizebothordinaryinspections,performedonaroutinebasis,andadhocspecialinspections,madewhentherehasbeenareportthatanofficialhasactedimproperly.Ordinaryinspectionsshouldfocusonthefollowing:

Compliancebytheregistrationpersonnelwiththerulesforentriesintheregisterandtransmittaltothecentralregistrar;

Verificationthatthedatarequiredforregistrationandstatisticalpurposesarebeingrecorded,andthatthecorrespondingstatisticalreportsarebeingtransmittedtothecompetentagencywithintheestablishedtimeperiods;

Storingandarchivingoftheregistrationdocuments,whetherphysicallyorelectronically,intheregistrationoffice;

Compliancewithproceduresfordisclosingregistrationdatathroughtheproperissuanceofcertificates,andwithproceduresfortransmissionofdata,whilesafeguardingindividualprivacy;and,

Verificationthattheregistrarconcernedisproperlyperformingtheassignedduties.

109. Inspectorswhohaveknowledgeofanyviolationofthecivilregistrationlawmustbeobligatedtocheckontheirregularities,trytoremedythem,andreportviolationstothenationalregistrar.Whereinspectiondisclosesconductclassifiedasacriminaloffence,thenationalregistrarmustbenotifiedandreportthefacttothecompetentlegalauthorityforareviewofanycriminaloffensesthatmayhavebeencommitted.Anerrorcommittedbyaregistrarorcivilregistrationpersonnel,dependingonitsgravity,maybesubjecttotheimpositionofafineaswellasdisciplinarysanctions.

110. Similarly,proceduresshouldbedevelopedformonitoringandinspectingidentityregistrationoffices.

ii. Recourseandremedy

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111. Becausemanypowersareconferreduponlocalregistrarsthataffecthowindividualsareabletofunctioninsociety,theremustbeproceduresinplacetoaddresscomplaintsanddisputesofusersofthesystems.Therefore,anappealsystemshouldbeestablished.TheCRVSIDlegislationshouldpermitanindividualtoappealanydecisionmadebyaregistrartoahigher‐levelregistrarorthenationalregistrarwithinaprescribedtimeperiod.Thesupportingregulationsshouldcontaindetailedinstructionsforprocessingtheappealsothatthenationalregistrarwillhavethecompetentauthoritytoruleonthefiledappeal.Inallcases,ifsatisfactoryreliefhasnotbeengranted,anindividualshouldbepermittedtoappealtothecourtsafterappealingthroughtheadministrativeagency.CRVSIDlegislationshouldprovideremedieswhereactionsofCRVSIDagenciesorregistrarsaredeterminedtobefaulty,negligentoranabuseofdiscretionorauthority.Registrarsshouldbesubjecttodisciplinary,civilandcriminalsanctions,asappropriate,forimproperperformanceoftheregistrationdutiessetforthinthelaw.

112. Thereshouldalsobeamechanismforreportingcorruption,abuses,orflawsinthesystembyindividualusersofthesystem,officialswithinthesystem,orbyjournalistsinvestigatingthesystem,withoutthethreatofretaliation.SeeChapterFour,SectionSevenforamoredetaileddiscussiononrecourseandremedies.

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III. HumanRightsandCivilRegistration,VitalStatisticsandIdentityManagementSystems

A. RIGHTS‐BASEDAPPROACHTOCRVSIDLEGALFRAMEWORKS

113. Statesmustconsiderhumanrightsobligationsinthedesignandimplementationoflegalframeworksforcivilregistration,vitalstatisticsandidentitymanagementsystems.TheabsenceofalegalidentityandproofofidentitycanserveasabarriertotheenjoymentoffundamentalrightsguaranteedbytheUniversalDeclarationofHumanRights74andotherconventions.Inpractice,therightstovote,ownproperty,work,attendschool,receivesocialservices,travel,andothersrequirethattheindividualestablishandprovetheirlegalidentity.Whereidentitymustbeestablishedthroughaburdensomeanddiscriminatorycivilregistrationoridentitymanagementsystem,certainpopulationscannotfullyexercisetheirrights.Conversely,systemsthatarecontinuousanduniversalcanhelpprotecttherightsofpeoplewhowouldotherwisebeleftbehind.Furthermore,thevitalstatisticsgeneratedfromthissystemcanbeusedtoinformevidence‐basedpolicydecisionsbasedoninclusivepopulationdata.Arights‐basedapproach,describedinthischapter,willsupporttheeffectivemanagementandoperationwhileensuringtherightsofthepopulationareprotectedthroughouttheCRVSIDsystem.

114. Thehumanrightsdiscussedinthischapteraresupportedbythefollowinginternationalinstruments:

a. UniversalDeclarationofHumanRights,adoptedbytheUnitedNationsGeneral

Assemblyin1948;b. DeclarationontheRightsoftheChild,proclaimedbytheUnitedNationsGeneral

Assemblyin1959;c. ConventionontheReductionofStatelessness,proclaimedbytheUnitedNationsGeneral

Assemblyin1961;d. ConventiononConsenttoMarriage,MinimumAgeforMarriageandRegistrationof

Marriages,adoptedbytheUnitedNationsGeneralAssemblyin1962;e. ViennaConventiononConsularRelations,proclaimedbytheUnitedNationsGeneral

Assemblyin1965;f. InternationalConventionontheEliminationofAllFormsofRacialDiscrimination,

adoptedbytheUnitedNationsGeneralAssemblyin1965;g. InternationalCovenantonCivilandPoliticalRights,adoptedbytheUnitedNations

GeneralAssemblyin1966;h. InternationalCovenantonEconomic,SocialandCulturalRights,adoptedbytheUnited

NationsGeneralAssemblyin1966;i. ConventionontheEliminationofAllFormsofDiscriminationAgainstWomen,

proclaimedbytheUnitedNationsGeneralAssemblyin1967j. ProtocolAdditionaltotheGenevaConventionsof1949relatingtotheProtectionof

VictimsofInternationalArmedConflicts,adoptedbytheUnitedNationsGeneralAssemblyin1977

k. DeclarationonSocialandLegalPrinciplesrelatingtotheProtectionandWelfareofChildren,withSpecialReferencetoFosterPlacementandAdoptionNationallyandInternationally,adoptedbytheUnitedNationsGeneralAssemblyin1986;

                                                            74A/RES/3/217.

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l. IndigenousandTribalPeoplesConvention,adoptedbytheInternationalLabourOrganizationin1989;

m. ConventionontheRightsoftheChild,adoptedbytheUnitedNationsGeneralAssemblyin1989;

n. InternationalConventionontheProtectionoftheRightsofallMigrantWorkersandMembersoftheirFamilies,adoptedbytheUnitedNationsGeneralAssemblyin1990;

o. ConventionontheRightsofPersonswithDisabilities,adoptedbytheUnitedNationsGeneralAssemblyin2006.

115. ThischaptercataloguesmanyofthehumanrightsthatcanbeaffecteddirectlyorindirectlybyaCRVSIDsystem,butitisnotmeanttobeanexhaustivelistofallrelevanthumanrights.Otherrightsthatareenshrinedininternational,regional,andnationallawsmaynotbeincludedhere.Atthesametime,eachstatemaynotbeapartytoalltheinternationalhumanrightstreatiescitedthroughoutthischapter.Theobligationsandprinciplesofarights‐basedCRVSIDsystemrestonoverlappingandcomplementarynormsthatarecomplicatedtodisentangle.WhenevaluatinganddevelopingaCRVSIDsystem,legalexpertsshouldcarefullyevaluatewhichinternationalrecommendationsandobligationstheStatemustabidebyinthelegalframework.

116. ThefundamentalconnectionbetweenhumanrightsandthecivilregistrationofvitaleventswassealedwhentheInternationalCovenantonCivilandPoliticalRights(effectivesince1966)andtheConventionontheRightoftheChild(effectivesince1990)proclaimedthat“Everychildshallberegisteredimmediatelyafterbirthandshallhaveaname”;andwhentheConventiononConsenttoMarriage,MinimumAgeforMarriageandRegistrationofMarriages(effectivesince1964)proclaimedthat“Allmarriagesshallberegisteredinanappropriateofficialregisterbythecompetentauthority.”75

117. Toprotectthehumanrightsaffordedtoindividualsthroughcivilregistration,StatesmustensurethattheCRVSIDsystemsarefreeofdiscriminationintheCRVSIDlegislationandimplementationofthelegislation.Discriminationisanydistinction,exclusion,restrictionorpreferencewhichhasthepurposeoreffectofnullifyingorimpairingtherecognition,enjoymentorexercise,onanequalfooting,ofhumanrightsandfundamentalfreedomsinthepolitical,economic,social,culturaloranyotherfieldofpubliclife.Formsofdiscriminationinclude,butarenotlimitedto,discriminationbasedonrace,ethnicity,sex,genderexpression,bornoutofwedlock,religiousorpoliticalaffiliation,language,nationality,citizenship,refugeeorotherstatus,physicalormentaldisability,etc.

118. Meaningfulprotectionofhumanrightsdependsonincorporationinnationallegislationandeffectiveimplementationofthelegislation.Civilregistrationillustratesthispoint.Namely,manycountrieshaveenactedcivilregistrationlawsthatrequirecontinuousanduniversalregistrationofallvitaleventsinthecountry;yet,inpracticeregistrationofvitaleventsfallsshortofuniversalcivilregistration.Statesthatarepartiestotheinternationalinstrumentslistedinparagraph2abovearerequiredtoensuretheircivilregistration,vitalstatisticsandidentitymanagementlegislationupholdsthehumanrightsprinciplesoutlinedinthese

                                                            75UNChildren'sFund(UNICEF),APassporttoProtection:AGuidetoBirthRegistrationProgramming,December2013.

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conventions.Whereanypolicyhastheeffectofcreatingorperpetuatingdiscrimination,itmustbeamended,rescindedornullifiedbytheState.76

119. Therearetwoclassesofhumanrightsrelatedtocivilregistration,vitalstatisticsandidentitymanagement:

a. ThoserightsthatrequireStatestoensurethatallvitaleventsareregistered,

thatis,thatcivilregistrationisuniversalandcontinuousinitsfunctioning;andb. Thoserightsthatmaydependonthevitaleventshavingbeenregistered(for

example,therighttovoterequiresbirthcertificatetoascertaintheageoftheperson)

B. RIGHTTOREGISTERVITALEVENTS

120. Righttoregisterabirth.Allpeopleeverywherearebornwithinherentrights;theseincludetherighttoberegisteredimmediatelyafterbirth,tohaveanameand,totheextentpossible,toknowandbecaredforbyone’sparents.77Therighttoacquireanationalityalsoextendstoallpersonsfrombirth.78Everyoneisexplicitlyentitledtotheserightswithoutdistinctionofanykind,includingrace,ethnicity,sex,language,religion,citizenship,geographyorotherstatusbasedontheprinciplesofnon‐discrimination.79Allstateshaveanaffirmativedutytoensureuniversalbirthregistrationwithoutexception.Ataminimum,thelegalframeworkmustguaranteeeveryoneequalaccesstobirthregistration.80InkeepingwiththePrinciplesandRecommendationsforaVitalStatisticsSystem,civilregistrationshouldbeinclusiveandcompulsory,andshouldcaptureallvitaleventsoccurringineverygeographicalareaandineverypopulationgroupinthecountry.Moreover,nationallegislationmustregulatetheproceduresfordelayedbirthregistrationbasedontheprotectionofArticle2oftheUniversalDeclarationofHumanRightsthatguaranteesequalopportunitiesbeforethelaw.Statesshouldundertakeappropriatemeasurestoeliminatedirectandindirectbarrierstoregistration.81

121. Asbirthregistrationestablisheslegalidentityandproofoflegalage,anumberofrightsstemfromthebirthhavingbeenregistered.Theseincludetherighttoenrolinprimaryschool,                                                            76A/RES/2106(XX),article2(1)(c)77A/RES/2200A(XXI);A/RES/2200A(XXI),article24(2);A/RES/44/25,article7(1);A/RES/61/106,article18(2);A/RES/45/158,article29.78A/RES/3/217,article15(1);A/RES/2200A(XXI).,article24(3).79A/RES/3/217,article2.80Birthregistrationprovidesthegovernment’sofficialrecordofeachchild’sexistenceandidentity,includingthechild’sgivenandfamilynames,andparents’information.Whetherthecountryestablishesnationalitybyplaceofbirthorbynationalityofparents,thisfoundationinformationisoftendeterminedthroughthebirthregistrationprocess.81Eliminatingfeesforregistrationhelpsensuretheserviceisavailableregardlessofsocioeconomicstatus.Governmentsshouldalsoconsiderreducingindirectcoststhatmayserveasabarriertoregistration,suchaslongtraveldistancestoregistrationoffices,unnecessarilylongwaittimesandcomplicatedprocedures,orrepeatedappointmentsthattakefamilymembersawayfromtheirhomesandwork.Inadditiontoremovingsuchbarriers,governmentshouldconsideradditionalpoliciesthatrelievetheburdenofregistration,suchasmobileregistrationunitsthatsupportregistrationinremoteregions,hiringmultilingualstaffandtranslatingkeymaterialstoservenativeandforeign‐languagespeakingpopulations,andprovidingadditionalservicestopersonswithdisabilitiessuchawheelchairrampsandbrailledocuments.

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therighttowork,therighttoserveorbeexemptedfromservinginthearmedforces,therighttovote,therighttomarry,etc.Moreover,asbirthregistrationestablishesfamilialties,otherrightsmaydependonbirthregistration,includingtherighttoinheritanceandproofofnationalitywhereestablishedthroughparentage.

122. Righttoregisteradeath.NeithertheUniversalDeclarationofHumanRightsnortheotherinternationalinstrumentsexplicitlyreferencetherighttodeathregistration.However,thisrightisimplicitinarticle12(2)(a)oftheInternationalCovenantonEconomic,SocialandCulturalRights,whichstipulatesthatStatespartiesmustadoptmeasurestoreducestillbirthsandinfantmortality,themonitoringofwhichislinkedtodeathregistration.Moreover,asdescribedinparagraph7above,civilregistrationshouldbeinclusiveandcompulsory,capturingallvitaleventsoccurringineverygeographicalareaandpopulationgroupinthecountry.States’legislationshouldestablishthatregistrationofdeathiscompulsoryforalldeathsoccurringintheterritory,regardlessofrace,religion,ethnicity,residency,citizenship,geographyorothercharacteristicsbasedontheprinciplesofnon‐discrimination.Deathregistrationisameansofrecordingwhetherastatehasfulfilleditsobligationtoprotectanindividual’srighttolifeandhealth.82Thehumanrightsofsurvivingspousesandchildrenmaydependondeathregistration,suchastherighttoinheritpropertyortherighttoremarry.Ideally,alldeathsshouldhavethecauseofdeathmedicallycertifiedbyaphysicianorotherqualifiedhealthprofessionalusingtheWorldHealthOrganization’sInternationalFormofMedicalCertificateofCauseofDeath.Atthepopulation‐level,thevitalstatisticsgeneratedfromdeathregistrationandmedicalcertificationofcausesofdeathinformpublicpoliciesthataffectthehealthandwell‐beingofeverypersonintheterritory.

123. Righttoregisterafoetaldeath.ThedutytorecordfoetaldeathsisrecognizedbytheInternationalCovenantonEconomic,SocialandCulturalRightswhichexplicitlyrequiresstatestoreducethestillbirthrate.83Thisreductionrequiresassessmentoftheinitialandthemonitoringofsubsequentlevelsoffoetaldeathstoensuretheinterventionsareproducingthedesiredresult.Onlyacompleteregisteroffoetaldeaths,alongwitharegisteroflivebirths,canprovidethedataneededtoaccuratelycomputetherateinquestion.

124. Righttoregisteramarriage.Underinternationallaw,statesmusttakeeffectiveactions,includingenactinglegislation,toensureallmarriagesareregisteredinanappropriateregisterbyacompetentauthority.84Thisregistrationhelpsensurethatbothpartiesarerecognizedasspousesunderthelawandabletoenjoyalltherightsandresponsibilitiesthatstemfromthemarriage.Therightstomarryandfoundafamilyextendtoallmenandwomenofmarriageableage,withoutanylimitationduetorace,nationality,orreligionorothercharacteristicsbasedontheprinciplesofnon‐discrimination.85Statesmusttakeallappropriatemeasurestoeliminatediscriminationagainstwomeninallmattersrelatingtomarriage,includingensuringthesamerighttomarry.86Therightsthatmaydependonthemarriagehavingbeenregisteredincludethelegitimacyofchildren,rightstoinheritance,applicationforfamilybenefits,marriageallowances,collectionofpensionandinsurance,andtherightforaspousetoacquireanationality,amongothers.

125. Righttoregisteradivorce.Whetherthroughdivorce,annulment,judicialseparation,orothermechanismfordissolutionofamarriageundernationallaw,bothmenandwomenmustbetreatedequallybeforethelaw.TheUnitedNationsGeneralAssemblyResolution843(IX)of1954urgedgovernmentstoestablisharegisterofdivorces.Initsresolution1068Fof1965,theEconomicandSocialCouncilrecommendedthat,“Adivorceorjudicialseparation

                                                            82A/RES/3/217;A/RES/21/2200,article12.83A/RES/21/2200,article12(2)(a)84A/RES/1763(XVII),article3;UnitedNations,TreatySeries,vol.1249,p.13,article6(3)85A/RES/3/217.,article16(1)‐(2);A/RES/2200A(XXI),article.23(2);A/RES/21/2200.article10(1);A/RES/40/144,article5(1)86UnitedNations,TreatySeries,vol.1249,p.13,art16(1)(a)

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shallbegrantedonlybyacompetentjudicialauthorityandshallbelegallyrecorded.”Furthermore,Article16ofTheConventionontheEliminationofAllFormsofDiscriminationAgainstWomenprovidesfortheeliminationofdiscriminationagainstwomenattheinceptionofmarriage,duringmarriageandatitsdissolutionbydivorceordeath.Generally,divorceproceedingstakeplaceinacourtofjusticeanddivorcesaregrantedbyacourtruling.Therightsstemmingfromdivorceregistrationincludetherighttoremarry,rightstodivisionofassetsandtoestablishcustodyofminorchildrensubjecttoparentalauthority.

126. Righttoregisterothervitalevents.Therightstoregisterthepriorityvitaleventslistedintheprecedingparagraphsareguaranteedeitherexplicitlyorimplicitlyunderinternationallaw.Registeringotherkeyvitaleventsmaybeclassifiedasanamendmentormodificationofapreviouslyregisteredvitalevent’srecord.Forexample,judicialseparationandannulmentprovideupdatedinformationonthestatusofamarriageregistrationrecord.Similarly,adoption,legitimation,andrecognitionmodifybirthrecords.Bothindividualsandstateshaveaninterestandtherighttoensurethatvitalrecordsareaccurateand,totheextentallowedbylaw,modifiablebasedonchangesincivilorotherstatus.

C. HUMANRIGHTSTHATMAYDEPENDONTHEREGISTRATIONOFVITALEVENTS

127. Righttoone’sownidentity.Therighttoidentityisguaranteedunderarticle24.2oftheInternationalCovenantonCivilandPoliticalRights,“Everychildshallberegisteredimmediatelyafterbirth…”andArticles7and8oftheConventionontheRightsoftheChildwhichfurtherguaranteetherighttoanamefrombirth,therighttoanationality,andtherighttopreservationofidentity.Proofofidentity,asestablishedbybirthregistrationandthesubsequentissuanceofabirthcertificate,isoftenrequiredtoaccessgovernmentandcommercialservices,includingalternativeformsofidentificationlikepassportsornationalIDcards.Thus,civilregistrationservesasentrywaytoahostofotherrights.Proofofmarriageandproofofdeaththroughcivilregistrationareoftenrequiredtoaccessproperty,inheritanceandotherrights.Statesmayrequireofficialidentitydocuments,suchasbirthcertificatesoridentificationcards,toaccesstheseservices.Ononehand,suchrequirementsincreasedemandforregistrationbycreatinganincentiveforcivilregistrationandidentitymanagementsystems.Ontheotherhand,whencivilregistrationandidentitymanagementsystemsarenotuniversalandinclusive,suchrequirementscancreateabarrierforunregisteredpersonstoaccessothercrucialservices.Untiluniversalregistrationcanbeguaranteed,countriesshouldconsiderallowingalternativeformsofproofofidentityforaccessingkeyservicesintheabsenceofofficialidentitydocuments.

128. Rightofachildtoknowitsparents.Article7oftheConventionontheRightsoftheChildestablishestherightofchildrentoknowandbecaredforbytheirparents,totheextentpossible.ThisrightwilldependonStates’legislationregardingdeterminationoffiliation,andthemeansofrecordingfiliationinthecivilregister.Childrenhavearighttonotbeseparatedfromtheirparentsagainsttheirwill,unlessinaccordancewithapplicablelawandprocedureinthebestinterestofthechild.87Evenwhenachildisseparatedfromoneorbothparents,thechildretainstherighttomaintainpersonalrelationsanddirectcontactwithbothparentsonaregularbasis,unlesscontrarytothechild’sbestinterest.88Incertaincases,whenachildisseparatedfromoneparent,thestatehasanobligationtoprovideessentialinformationonthewhereaboutsoftheabsentparent.89Statesmustsupportfamilyreunificationinapositive,humaneandexpeditiousmanner.90Thedutytosupportre‐unificationextendstorefugee

                                                            87A/RES/44/25,art9(1)88Ibid,art9(3)89Ibid,art9(4)90Ibid,art10(1)

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childrenwhomayhaveparentsinanothercountry.91Civilregistrationdocumentsthatestablishachild’slegalidentity,ageandparentagewillhelpfacilitatetheenjoymentoftheserights.

129. Righttonon‐discriminationbyreasonofbirth.Thisrightisexpresslyrecognizedinarticle2oftheConventionontheRightsoftheChildandarticle2oftheUniversalDeclarationofHumanRights,whichstates“EveryoneisentitledtoalltherightsandfreedomssetforthinthisDeclaration,withoutdistinctionofanykind,suchasrace,colour,sex,language,religion,politicalorotheropinion,nationalorsocialorigin,property,birthorotherstatus,eitherofthechildorofhisorherfamily.”Thisrightisfurtherprotectedunderarticles2.1and24.1oftheInternationalCovenantonCivilandPoliticalRightsaswellasarticle14oftheConventionfortheProtectionofHumanRightsandFundamentalFreedoms.Itisimportantthattheregistrationmodelprotectstherighttonon‐discriminationbyreasonofbirth.Forexample,compulsorydatafieldsontheformsrequiredforbirthregistrationandinformationcontainedinthebirthcertificate,suchasborninoroutofwedlock,nationality,orethnicity,couldbegroundsfordiscrimination.Thecivilregistrationlawshouldallowthesefieldstobeleftblankifrequestedtoavoiddiscrimination.

130. Rightofachildtoaname.Therighttoanamewasfirstproclaimedinternationallyinprinciple3oftheDeclarationoftheRightsoftheChildandsubsequentlyrecognizedasarightinarticle24.2oftheInternationalCovenantonCivilandPoliticalRights.Articles7and8oftheConventionontheRightsoftheChildrecognizetherightofeverychildtoanameandtheobligationoftheStatetoensureimplementationofthatrightthroughbirthregistration.Childrenhavearighttopreservetheiridentity,includingnationality,nameandfamilyrelationswithoutunlawfulinterference.Whenachildisillegallydeprivedofaspectsofidentity,theStatemustproviderapidandappropriateassistanceandprotectiontore‐establishthechild’sidentity.92

131. Rightofachildtoanationality.Everypersonhastherighttoanationality,andeverychildhastherighttoacquireanationalityatbirth;theprotectionandexerciseofthisfundamentalrightisthroughregistrationatthetimeofbirth.NeitherthecelebrationordissolutionofamarriagebetweenanationalofaStateandaforeignernorachangeinthenationalityofaspouseduringthemarriageshallautomaticallyaffectthenationalityoftheotherspouse.Acountry’sconstitutionorfoundingchartertypicallygovernswhoarenationalsandhownationalitycanbeacquiredorlost.RegardlessofthemeansofacquisitionofnationalityintheState,birthregistrationmustbeprovidedtoallbirthsoccurringwithintheterritoryfreeofdiscrimination.Therighttonationalityisrecognizedinfourinternationalinstruments:

c. TheUniversalDeclarationofHumanRights,article15;d. TheDeclarationoftheRightsoftheChildof1959,principle3;e. TheUnitedNationsConventionontheRightsoftheChildof1990,article1;andf. TheConventionontheReductionofStatelessness,article1,whichestablishes

thecommitmentofallStatesPartiestogranttheirnationalitytoanypersonbornintheirterritorywhowouldotherwisebestateless.

132. Righttohealth.Everyonehastherighttoastandardoflivingadequateforthehealthandwell‐beingofoneselfandone’sfamily,includingmedicalcareandessentialsocialservices,asstipulatedbytheUniversalDeclarationofHumanRights.93Therighttotheenjoymentofthehighestattainablestandardofphysicalandmentalhealthextendstoallpeople94,regardlessof

                                                            91Ibid,art22(2)92Ibid,art8.93A/RES/3/217,article16;A/RES/2200A(XXI),article23(1);andA/RES/21/2200,article10(1).94A/RES/21/2200,article12(1)

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sex95orrace,96andincludeschildren,97personswithdisabilities,98tribalandindigenousperson,99andmigrantworkers100.Specialcare,includingprenatalandpostnatalcare,mustbeprovidedtochildrenandtheirmotherstoensurechildren’sfulfilmentoftherighttogrowanddevelopingoodhealth.Totheextentthatmedicalfacilities,healthcareservices,orinsuranceprovidersrequireproofofidentityasapreconditionformedicalcare,thecivilregistrationandidentitymanagementsystemsmustensurethatallpeopleareregisteredandhavethemeansofprovingtheiridentities.Toprotecttherighttohealth,itisessentialthatdeathsareregisteredandcausesofdeatharecapturedtogenerateimportantvitalstatisticsforinformedhealthpoliciestoprevent,treatandcontrolmorbidityandmortalityinthepopulation.

133. Rightofthefamilytoprotection.TheUniversalDeclarationofHumanRights,InternationalCovenantonCivilandPoliticalRights,andInternationalCovenantonEconomic,SocialandCulturalRightsrecognizethatthefamilyisentitledtoprotectionbysocietyandtheStateasthenaturalandfundamentalgroupunitofsociety.101Familiesshouldbeaccordedthewidestpossibleprotectionandassistanceparticularlyforitsestablishmentandwhileitisresponsibleforthecareandeducationofdependentchildren.102ThecivilregistrationsystemfacilitateshowStateslegallyrecognizecertainfamilialrelationshipssuchasparentageandmarriage.Statesmustensurethatflawsinthecivilregistrationsystemdonotinterferewiththisfundamentalstructureofsociety.

134. Rightsofchildren.Childrenbelowtheageofeighteenyears103areguaranteedspecialprotectionsbytheirfamily,society,andtheState.104Theseprotectionsareguaranteedtoallchildren,whetherborninoroutofwedlock,andregardlessofparentageorotherconditions.105Childrenmustberegisteredimmediatelyafterbirth.106Birthregistrationbyitselfdoesnotguaranteetheseotherrightsofchildren.Inclusiveandeffectivesystemsofchildprotection,health,education,socialwelfare,andsocialandeconomicdevelopmentarerequired.Theseprotectionsalsodependonanaccurateanduniversalmechanismforestablishingage.107Withoutareliablebirthcertificateorotheridentitydocumenttoestablishtheidentityandageofeachchild,achildandhisorherfamilywillcontinuetobevulnerabletospecificformsofabuse,neglect,anddeprivationofsocial,economicandcivilrights.108

135. Rightofjuvenilesincriminalproceedings.Theageofachildhastremendousconsequencesforhowthecriminaljusticesystemmusttreatthatchild.Statesareobligatedtoestablishaminimumagebelowwhichchildrenarepresumedtolackcapacitytoinfringepenallaws.109Childrenwhoareaccusedofinfringingpenallawhavecertainrights.110Incarceratedchildrenhavetherighttopromptaccesstolegalandotherappropriateassistance,arightto

                                                            95UnitedNations,TreatySeries,vol.1249,p.13,article1296A/RES/2106(XX),article5(e)97A/RES/44/25,article24,98A/RES/61/106,article2599A/61/L.67,annex,article25100A/RES/45/158,article28101A/RES/3/217,art16(3);A/RES/2200A(XXI),article23(1).102A/RES/21/2200,article10(1).103A/RES/44/25,art.1104A/RES/21/2200,article10(3),A/RES/2200A(XXI),article24(1).105A/RES/21/2200,article10(3),A/RES/3/217,article25(2).106A/RES/44/25,art7.107Manyprivilegesofadulthoodalsorequirevalidproofofage–suchasdrivingpermits,andpurchaseofcertainproductslikealcoholortobacco.108UNChildren'sFund(UNICEF),APassporttoProtection:AGuidetoBirthRegistrationProgramming,December2013,p.18.109A/RES/44/25,art40(3)(a)110A/RES/44/25,art40.

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appealtheirimprisonment,andtherighttoapromptjudgment.111Punishmentsshouldtakeintoconsiderationthechild’sage,inherentdignity,andthedesirabilityofpromotingrehabilitation.112Wheneverappropriateanddesirable,alternativemechanismsshouldbeusedtodealwithsuchchildren,suchascare,guidance,supervisionorders,counselling,probation,fostercare,andothers.113Imprisonmentmustonlybeusedasameasureoflastresortandfortheshortestappropriateperiodoftime.114Anychildthatisincarceratedorotherwisedeprivedofliberty‐‐includingarrest,detention,andimprisonment‐‐mustbeseparatedfromadultprisonersunlessitisconsideredinthechild’sbestinterestnottodoso.115Neithercapitalpunishmentnorlifeimprisonmentwithoutpossibilityofreleasemaybeimposedonanypersonbeloweighteenyearsofage.116Childrenmightbeowedadditionalprivacymeasuresinthecriminaljusticesystem.117

136. Righttoeducation.Everyonehastherighttoeducation.118Primaryeducationmustbecompulsoryandavailablefreetoallregardlessofsex,race,languageorothercharacteristics.Similarly,bothsecondaryeducationmustbemadegenerallyavailableandaccessibletoall,andhighereducationmustbemadeequallyaccessible,basedoncapacity,toallwithoutdiscrimination.119Statesmustrepealanystatutoryprovisionoradministrativepracticeswhichinvolvediscriminationandmustensure,bylegislationwherenecessary,thatthereisnodiscriminationintheadmissiontoeducation.120Thisrighttoelementaryeducationmustbeprotectedforallchildren,includinggirls,121refugees,122childrenofmigrants,123indigenousandtribalpersons,124andpersonswithdisabilities.125Statesshouldrequirebirthcertificatestoenrolinschool,asthisincentivizesbirthregistration.Nevertheless,ifbirthcertificatesorotheridentificationarerequiredtoattendschool,thenthecivilregistrationsystemmustensurethatnopersonisdeniededucationduetofailuretoregistertheirbirth.Toprotectagainstthis,Statesshouldestablishprogramsthatcoordinateschoolenrolmentwithlatebirthregistration.

137. Righttomaintenanceandprotection.Statesmusttakeallappropriatemeasurestoprotectchildrenfromanyformofexploitationthatisprejudicialtothechild’swelfare126,includingallformsofphysicalormentalviolence,injuryorabuse,neglectornegligenttreatment,maltreatmentorexploitation,includingsexualabuse.127Everychildhastherighttospecialprotectiontoensurehisorherdevelopment,andtheright,withoutdiscrimination,toprotectivemeasuresbyhisorherfamily,societyandtheState.Bothparentshaveequal                                                            111A/RES/44/25,art37(d).112A/RES/2200A(XXI),article14(4);A/RES/44/25.,art37(b)113A/RES/44/25,art40(3)(b)114A/RES/44/25,art37(b)115A/RES/44/25,art37;A/RES/2200A(XXI).,article10(2)(b),10(3).116A/RES/44/25,art37;A/RES/2200A(XXI).article6(5).117AdditionalprivacymeasuresAnyjudgmentrenderedinacriminalcaseorasuitatlawshallbemadepublicexceptwheretheinterestofjuvenilepersonsotherwiserequires,ortheproceedingsconcernmatrimonialdisputesortheguardianshipofchildren.”A/RES/3/217,article14(1)118A/RES/3/217.,article.26(1);A/RES/21/2200,article13(1);A/RES/2106(XX),article5(e)(v);UnitedNations,TreatySeries,vol.1249,p.13,article10,119A/RES/21/2200,article13(2);A/RES/44/25,art28120UnitedNationsEducational,ScientificandCulturalOrganization(UNESCO),ConventionagainstDiscriminationinSchools,14December1960,article3,accessedfrom:http://www.unesco.org/education/pdf/DISCRI_E.PDF121UnitedNations,TreatySeries,vol.1249,p.13,art10122UnitedNations,TreatySeries,vol.189,p.137,article21123A/RES/45/158,article30.124InternationalLabourOrganization(ILO),C169‐IndigenousandTribalPeoplesConvention,1989(No.169),availablefrom,https://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_ILO_CODE:C16926125A/RES/61/106,art24126A/RES/21/2200,article10(3)127A/RES/44/25,art19(1)

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responsibilitiestoprovideprotectionandmaintenancetotheirminorchildren.Everychildhastherighttorestandleisure.Allhavetherighttobeprotectedfromeconomicexploitationandfromperforminganyworkthatislikelytobehazardous,harmfultohealthordevelopment,orthatinterfereswiththechild’seducation.128Statesmustestablishaminimumageforemployment,andprovideappropriateregulationsonworkinghoursandconditionsforminorchildren.129Statesmusttakeadditionalstepstoprohibittheworstformsofchildlabour,includingslaveryandpracticessimilartoslavery,theuseofachildforprostitutionorpornography,theuseofachildforillicitactivities,andotherworkwhichislikelytoharmthechild.130

138. Righttomarryanddissolvemarriage.Therightstomarryandfoundafamilyextendtoallmenandwomenofmarriageableage,withoutanylimitationduetorace,nationality,orreligionorothercharacteristics.131Moreover,spousesmusthaveequalrightsandresponsibilitiesduringmarriageandatitsdissolution.132Theserightsincludetherighttochooseafamilyname,aprofession,andanoccupation;133theownership,acquisition,management,administration,enjoymentanddispositionofproperty,whetherfreeofchargeorforavaluableconsideration;134thesamerightsandresponsibilitiesasparents135(discussedbelow);andotherindividualrightsasrecognizedbytheinternationalinstruments.Spousesmustalsohavethesamerightsandresponsibilitiesatthedissolutionofamarriage.136Whetherthroughdivorce,annulment,judicialseparation,orothermechanismfordissolutionofamarriageundernationallaw,bothmenandwomenmustbetreatedequallybeforethelaw.Civilregistrationproceduresshouldnotdiscriminateinthedissolutionofmarriages.Duringsuchdissolution,provisionmustbemadeforthenecessaryprotectionofanychildren.137Civilregistrationandthefamilyrecordsmayhelpfacilitatetheprotectionchildrenandspousesinthecaseofsuchdissolution.

139. Rightofminorstoprotectionfrommarriage.Childrenbelowastatutoryagecanneverfreelyconsenttomarriage.Statesarerequiredtoenactlegislationspecifyingaminimumageformarriage.138Marriagesmustbeprohibitedbyanypersonunderthisage.139Thebetrothalandthemarriageofunderagechildrencannothaveanylegaleffect.140Thecivilregistrationsystemcanreduceunderagemarriagesbyprovidingcontinuousanduniversalbirthregistrationwhichprovideschildrenwithproofoflegalage,andbyrequiringthatbothspousesprovideproofofidentity,age,andconsentasnecessaryconditionsformarriageregistration.

                                                            128Ibid,art32(1)129Ibid,art32(2);A/RES/21/2200,article10(3);InternationalLabourOrganization(ILO),C138‐MinimumAgeConvention,1973(No.138),accessedfrom:https://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_ILO_CODE:C138130InternationalLabourOrganization,C182‐WorstFormsofChildLabourConvention,1999(No.182),art3.131A/RES/3/217.,article16(1)‐(2),A/RES/2200A(XXI).,article.23(2),A/RES/21/2200..article10(1),A/RES/40/144,article5(1)132UnitedNations,TreatySeries,vol.1249,p.13,article16(1)(c)133Ibid,article16(1)(g)134Ibid,article16(1)(h)135Ibid,article16(1)(d)136Ibid,article16(1)(c)137A/RES/2200A(XXI),article23(4)138A/RES/1763(XVII),article.2.139UnitedNations,TreatySeries,vol.1249,p.13article16(2)A/RES/1763(XVII).,article2.exceptwhereacompetentauthorityhadgrantedadispensationastoage,forseriousreasons,intheinterestedoftheintendingspouses.140UnitedNations,TreatySeries,vol.1249,p.13article16(2)

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140. Rightofprotectionfromforcedmarriage.Marriageisonlypermittedwhenenteredintowiththefreeandfullconsentofbothintendingspouses.141Thelawmustrequirethatbothspouses,afterduepublicity,expressconsentinpersonandinthepresenceofwitnessandtheauthoritycompetenttosolemnizethemarriage.142Compulsoryregistrationofmarriagesprovidesacrucialopportunitytopreventforcedandunderagemarriages,byverifyingthefreeandfullconsentofbothpartiestoanymarriage.Theconsentofonlyonepartyisnotsufficient.TheUniversalDeclarationofHumanRights,theInternationalCovenantonEconomic,SocialandPoliticalRights,andtheConventiononConsenttoMarriage,MinimumAgeforMarriageandRegistrationofMarriagesareexplicitandcategoricalonthispoint.

141. Righttoadequatestandardofliving.Everyonehastherighttoanadequatestandardofliving,includingtherightstoadequatefood,clothingandhousing.143Specialprotections,includingensuringpreciseandaccuratestatistics,mustbeestablishedintheperiodbeforeandafterchildbirth.144Statesmustensurepregnantwomenreceiveappropriatehealthcareservicesandadequatenutrition,duringpregnancy,confinementandpost‐natal.145Stateshaveaspecificdutytoreducestillbirthandinfantmortalityrates,andtoensureappropriatepre‐natalandpost‐natalhealthcareformothers.146Statesmustalsotakepopulation‐widemeasurestoprotectthehealthofchildren,suchascombatingdiseaseandmalnutritionthroughtheprovisionofadequatenutritiousfoodsandcleandrinking‐water,whilerecognizingthedangersofenvironmentalpollution.147Additionally,statesmustensurethatallsegmentsofsocietyhaveaccesstobasiceducationandguidanceonchildhealth,nutrition,andrelatedissues.

142. Righttowork(employment).Everyonehastherighttoworkandtoajobthatischosenfreelyonequitabletermsandratesofpay.148Therighttoworkisaninalienablerightofallhumanbeings,andeveryonehastheright,withoutdiscrimination,toequalpayforequalwork.149Additionally,everyonealsohastherighttorest,totheenjoymentoffreetime,reasonablelimitationofworkinghours,andtoperiodicholidayswithpay.Totheextentthatemployersrequireproofofidentitytowork,tofileandpaytaxes,orreceiverelatedbenefits,thecivilregistrationsystemmustensurethatallpeopleareregistered.Wheretherearerestrictionsoneligibilitytoworkbasedonage,residencyornationality,150employersarelikelytorelyoninformationcontainedonbirthcertificatesandotheridentitydocumentstodeterminesucheligibility.Stateshaveadutytoensurethatcertificatesandidentitydocumentsareavailable,andallinformationisaccurate.

143. Rightstopropertyandinheritance.Everyonehastherighttoownpropertyaloneaswellasinassociationwithothers.151Statesmustalsograntallpeopleequalitybeforethelawtoenjoythecivilrighttoinherit.152Spousesmusthavethesamerightsinrespectoftheownership,acquisition,management,administration,enjoymentanddispositionofproperty.153AfunctioninganduniversalCRVSIDsystemsupportstheprotectionofpropertyrights.Proofof                                                            141A/RES/3/217,article16(1)‐(2),A/RES/2200A(XXI).,article.23(2);UnitedNations,TreatySeries,vol.1249,p.13,art16(1)(a)142A/RES/1763(XVII).,art1.Evenifonepartyisabsent,thecompetentauthoritymayregisterthemarriageifsatisfiedthatthecircumstancesareexceptionsandthatanabsentpartyhas,beforeacompetentauthorityinalegally‐validmanner,expressedandnotwithdrawnconsenttomarry,A/RES/1763(XVII).,article1(2)143A/RES/21/2200.(article11(1):A/RES/3/217.,article25(1).144A/RES/21/2200,article10(2)145UnitedNations,TreatySeries,vol.1249,p.13,article12(2)146A/RES/21/2200,article12;A/RES/44/25.,article24(2)147A/RES/21/2200,article12;A/RES/44/25.,article24(2)148A/RES/3/217,article23(1);A/RES/21/2200,article.6(1)149UnitedNations,TreatySeries,vol.1249,p.13,article11(a)150A/RES/44/25,art32;UnitedNations,TreatySeries,vol.189,p.137,art17151A/RES/3/217,article17;A/RES/2200A(XXI),article25(b);152A/RES/2106(XX),article5(d)(vi)153UnitedNations,TreatySeries,vol.1249,p.13,article16(1)(h)

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identitymayberequiredforpurchasing,possessing,orsellingcertainpropertyincludingrealestate,automobiles,orintellectualpropertylikepatents.Deathregistrationcantriggertheinheritanceprocessesforpropertydisbursement,andofficialstaterecordsoffamilyrelationscontainedinbirth,marriageandothervitaleventrecordscanserveasevidencefortoproperdistributionofthatproperty.Alternativemeansofprovingidentityandfamilyrelationshipmaybeexpensiveandtime‐consuming,especiallyafterthebreadwinnerofafamilyhasdied.Totheextentthatcertainpersonsaredeniedaccesstocivilregistrationdocuments,theirrightstopropertyandinheritanceareinfringed.

144. Righttomigrate.Everyonehastherighttoleaveanycountry,includingone’sown,andtoreturntoone’scountry.154Ifabirthcertificateorotheridentifyingdocumentisrequiredtoacquireapassportorothertraveldocuments,thenthecivilregistrationsystemmustensurethatnopersonisdeniedtheirrightofmigrationfromafailuretoregister.Travelandidentitydocuments,likepassportsandbirthcertificates,mustbeavailableandalignedwithinternationalstandardstoallowmigration,withoutundueburden.

145. Righttosocialsecurity.Intheeventofunemployment,sickness,disability,widowhood,oldageorotherlackoflivelihoodincircumstancesbeyondtheperson’scontrol,everyonehastherighttosocialsecurity,includingsocialinsurance.155Mothersshouldreceivespecialprotectionsduringareasonableperiodbeforeandafterchildbirth.156Thisincludesappropriatepre‐natalandpost‐natalheathcareformothers.157Duringtheseperiods,workingmothersshouldbegivenpaidleaveorleavewithadequatesocialsecuritybenefits.158Totheextentthatabirthcertificateservesasproofofparentageandestablishesthetimeofbirthforbenefitpurposes,everymothermusthavetheabilitytoregisterthebirthofherchildinanefficientandtimelymanner.Theseprotectionsmustbegrantedwithoutdiscriminationtomenandwomen,159children,160indigenousandtribalpersons,161personswithdisabilities.162Refugeeshavetherighttosametreatmenttopublicreliefandassistanceaccordedtonationals.163Statesoftenrequirethatpersonsestablishtheiridentitypriortoreceivingsocialservicestoensurefairdistributionofpublicreliefandreduceembezzlementandfraud,thusaccesstotheseidentitydocumentsbecomesapreconditionforgovernmentsupport.However,lackofproofofidentitymustnotexcludeindividualsorvulnerablepopulationsfromaccessingthesekeyservices.

146. Rightofspousestocustodyofchildren.Inmattersrelatingtotheirchildren,menandwomenhavetheequalrightsandresponsibilitiesasparents,irrespectiveofmaritalstatus.164Parentsalsohavethesamerightstodecideonthenumberandspacingoftheirchildren.165Whenconceptslikeguardianship,wardship,trusteeshipandadoptionofchildrenexistinnationallegislation,menandwomenmusthaveequalrightsandresponsibilities.166Whether                                                            154A/RES/3/217,article13(2).A/RES/2200A(XXI).,article12(2);Rightofthechild,article10(2)155A/RES/3/217,article.25(1);A/RES/21/2200,article9.156A/RES/21/2200,article10(2).157A/RES/44/25art24(2)(d)158A/RES/21/2200,article10(2).159UnitedNations,TreatySeries,vol.1249,p.13,art11(e)160A/RES/44/25,art26,27161InternationalLabourOrganization(ILO),C169‐IndigenousandTribalPeoplesConvention,1989(No.169),availablefrom:https://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_ILO_CODE:C169art24.162A/RES/61/106,art28.163UnitedNations,TreatySeries,vol.189,p.137.,article23;Inregardtohousing,refugeesshouldhaveasfavourabletreatmentaspossible,andnotlessfavourablethanthataccordedtoaliensgenerallyinthesamecircumstances.article21.Ifrationingexists,whichappliestopopulationatlarge,refugeesmustbeaccordedthesametreatmentasnationals.164UnitedNations,TreatySeries,vol.1249,p.13,article16(1)(d)165Ibid,article16(1)(e)166Ibid,article16(f)

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theparentsaremarried,unmarried,divorcedorotherwise,thebestinterestsofthechildareparamount.167Birthregistration,withtherecognitionofthebiologicaloradoptiveparentsinthebirthrecord,iscrucialtoenjoymentofthisright.

147. Righttoelect(vote)andbeelected.Everyonehastherighttotakepartinthegovernmentofhisorhercountry,directlyorthroughfreelychosenrepresentatives.168Everycitizenhastherightandopportunitytovoteandtorunforelectedoffice,regardlessofsex,race,religion,ethnicity,geographicalareaorothercharacteristicsbasedontheprinciplesofnon‐discrimination.169Thepromiseofuniversalandequalsuffrage170cannotbeguaranteedwithoutacompleteandaccurateaccountingoftheidentityofpersonsandtheireligibilitytovoteandserveinoffice,whichareoftendeterminedbyageandnationalityinformationoncivilregistrationdocuments.Afunctionalcivilregistrationsystemcanhelpensureeveryonehastherighttoparticipateingovernment,whilereducingelectionfraudandtheneedforexpensiveandimperfectvoterregistrationdrives.

D. PROTECTIONOFVULNERABLEPOPULATIONS

148. Inordertocomplywiththeinternationalinstrumentsrecognizingandguaranteeingfundamentalhumanrights,CRVSIDlegislationmustexplicitlyincludeprotectionofvulnerablepopulations,toensureequalaccesstoCRVSIDservicesandtheservicesaffordedthroughestablishingandprovinglegalidentity.

149. RacialDiscrimination.TheConventionontheEliminationofAllFormsofRacialDiscrimination(CERD)governsdiscriminationbasedonrace,colour,descent,ornationalorethnicorigin.171Distinctionsbasedonnationality,citizenshipornaturalizationareoutsidethescopeofCERD,solongassuchprovisionsdonotdiscriminateagainstanyspecificnationality.172Statesmustamend,rescindornullifyanylawsandregulationswhichhavetheeffectofcreatingorperpetuatingracialdiscriminationwhereveritexists.173Theserightsextendtopoliticalandcivilrights(e.g.votingandpublicservice,migration,nationality,marriageandchoiceofspouse,propertyownership,inheritance)andeconomic,socialandculturalrights(e.g.employment,housing,publichealth,education,andculturalactivities).174Asdiscussedpreviously,theCRVSIDsystemmustincludeeveryoneregardlessofraceorotherdistinction,andspecialcareshouldbetakentoensureinformationcollectedthroughtheCRVSIDsysteminnowayperpetuatesanyformofracialdiscrimination.CRVSIDsystemsoftencollectandrecordinformationonsuchclassifications,likeraceorethnicity.Thisinformationmightbeusefulfromastatistics’perspectivebutisvulnerabletomisuseespeciallywhenracialorethnicinformationisprintedoncertificatesandidentificationcards.

150. Genderdiscrimination.TheConventiontoEliminateAllFormofDiscriminationAgainstWomen(CEDAW)requiresStatestotakeallappropriatemeasurestoabolishexistinglaws,regulations,customsandpracticeswhichconstitutediscriminationagainstwomen.175Womenandmenshouldhaveequalrights,regardlessofwhethertheyaremarriedornot.Thisequalitymustextendtoallaspectsoflifeincludingfamilybenefits,employment,socialsecurity,

                                                            167Ibid,article16,A/RES/3/217,article25(2).168A/RES/3/217,article21(1)169A/RES/2200A(XXI),article25.170A/RES/3/217,article21(3)171A/RES/2106(XX)article1(1)172Ibid,article1(2),(3)173Ibid,article2(1)(c)174Ibid,article5175UnitedNations,TreatySeries,vol.1249,p.13,article2(f)

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healthcare,sociallife,bankloans,treatmentbeforethelaw,contracting,andmovement.176Womenmusthaveequalrightstoacquire,changeorretailnationality;neithermarriagetoanaliennorchangeofnationalitybythehusbandduringmarriageshouldautomaticallychangethenationalityofthewife.177Menandwomenshouldalsohaveequalrightsastothenationalityoftheirchildren.178Lawsregardingtheregistrationofvitaleventsdependonthelawsrelatingtothevitaleventsthemselves.CRVSIDlawsarelikelytobetaintedbyexistingdiscriminatorylawsandpracticestowardsmarriage,paternity,pregnancyandotherissuesrelatingtogender.Nevertheless,whendevelopingandimplementingCRVSIDlaws,everyeffortmustbemadetoeliminatesuchsexorgenderdiscriminationagainstwhereverpossible.See[Ch.4paragraphsxx‐xx]fortechniquestoreduceandeliminatesexandgenderdiscriminationinCRVSIDlaws.

151. Childrenbornoutofwedlock.Childrenhaveanequalrighttoregistrationregardlessofthemaritalstatusoftheirparents.Insomecountries,childrenbornoutofwedlockarevulnerabletonon‐registration.Registrationpoliciesthatcontributetostigmaofsuchchildrenmayinadvertentlyserveasadisincentivetoregistration.Forexample,certainchildrenmaybedeniedregistrationifmotherandfatherarebothrequiredtoprovideinformationaboutthemselvesaspartoftheregistrationprocess.Additionally,strictrulesaboutwhetherthefatherormother’sfamilynamemayberegisterbasedonfamilyrelationsmaynegativelyaffectwhetherchildrenareregistered.See[Ch.4paragraphsxx‐xx]forrecommendationstoeliminatediscriminationbasedonmaritalstatusofparents.

152. Religiousdiscrimination.Discriminationbasedonreligionisprohibited.179Everyonehastherighttofreedomofthought,conscienceandreligion.Thisrightincludesthefreedomtohave,adopt,andchangeone’schosenreligion,orhavenoreligionatall.180TheCommissiononHumanRightshasurgedstates“toreview,whereverrelevant,existingregistrationpracticestoensuretherightofallpersonstomanifesttheirreligionorbelief,aloneorincommunitywithothersandinpublicorinprivate.”181CRVSIDsystemscanavoidperpetuatingreligiousdiscriminationbyunderstandingandbeingresponsivetothecustomsandtraditionsofthereligionswithintheterritory.Forexample,ifmarriagescanbesolemnizedorcertifiedbyaleaderofonereligion,careshouldbetakentoensurepeoplefromotherreligionshaveequalaccesstomarriageregistration.Religionsmayhaverequirementsaboutthetimingandcustomsforburialofthedead,andtheprocessforissuingdeathcertificatesmustrespondtothoseneeds.Forexample,Muslimsneedtoburythedeadwithin24hours,sotheremustbesomemechanismforprovidingimmediateburialpermitsatanytime,evenafterregularbusinesshours.Finally,informationonaperson’sreligion,orthereligionoftheparents,mightbecollectedforstatisticalpurposes;however,thisinformationshouldnothaveanylegalimplications,norshoulditberecordedonabirthcertificateoridentificationdocument.

153. Same‐sexrelationships.InsomeStates,apersoncanlegallymarryapersonofthesamesex,andtodivorcethatperson.Thesame‐sexcouplemaybepermittedtohavechildrenoftheirownwiththeassistanceofaspermdonor,eggdonor,orsurrogate.Adoptionisanotherroutetoparentage.Totheextentthatsuchrelationshipsarerecognizedbythelaw,theCRVSID

                                                            176Ibid,article11,12,13,15.177Ibid,article9(1)178Ibid,article9(1)179A/RES/2200A(XXI).,article2(1);A/RES/2106(XX),article5,A/RES/21/2200.,article2(2);A/RES/44/25.,article30;180A/RES/3/217.;A/RES/2200A(XXI).,article18(1);181E/CN.4/RES/2005/40,paras.4(c),4(e);A/HRC/RES/6/37,paras.12(e),12(h).

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systemshouldfacilitateregistrationofsuchvitaleventswithoutdiscriminationastherighttofoundafamilyisguaranteedundertheUniversalDeclarationofHumanRights.182

154. Intersexandtransgenderindividuals.Typicallybirthcertificatesoridentitycardsincludeafieldonbiologicalsex;however,thatinformationmaynotcorrespondtotheperson’sactualsexincasesofindividualswhoareintersexorconformwiththeperson’sgenderidentity.Sometimesthisdisparityisduetosimpleclericalerrorandshouldbeamendedeasilyundertheauthorityoftheregistrar.Inothercases,thedisparityisbecausethepersoniseitheratransgenderorintersexperson.Transgenderandintersexpeoplehavethesamefundamentalrightsasallotherpeople,includingtherighttolife,privacy,self‐determination,physicalintegrityandbodilyautonomy.Theyshouldhavetherighttoregistervitaleventswithoutintrusivemedicalexaminationsormandatorysurgicalprocedures.Duringbirthregistration,amedicalpractitionershouldassigneachchildaseithermaleorfemale(orleaveblankoropt‐intoathirdoptionwhenpermittedbylaw),butthecivilregistrationandidentitymanagementsystemsshouldallowthepersontolatercorrecterrorsinofficialdocuments,inaccordancewiththelaw.See[Ch.4paragraphsxx‐xx]formoreinformationonamendmentsandcorrections.Withimprovementsinbiometrics,itmaynotbenecessarytoincludesexorgenderinformationonidentificationdocumentsatall.Suchinformationcouldberecordedforstatisticalpurposes,butnotappearonpubliclyfacingidentificationcards.See[Ch.4paras.Xx‐xx]fordatathatshouldbecontainedonidentitydocuments.

155. Discriminationagainstpersonswithdisabilities.TheConventiononRightsofPersonswithDisabilitiesrequiresStatePartiestoeliminatediscriminationagainstpersonwithdisabilitiesinallmattersrelatingtomarriage,family,parenthood,relationships,andothers.183Equalrightsandresponsibilitiesincludethoserelatingtoguardianship,wardship,trusteeship,adoptionofchildrenorsimilarinstitutions.184Childrenwithdisabilities,havethesamerightsasallchildren,toberegisteredimmediatelyafterbirth,tohaveanameandnationality,andasfaraspossibletoknowandbecaredforbytheirparents.185Personswithdisabilitiesalsohavetherighttoacquireandchangenationalityandarenotarbitrarilydeprivedoftheirnationalityonthebasisofdisability.186Statesmustnotdeprivepeople,onthebasisofdisability,oftheirrighttoobtain,possessandusedocumentationoftheirnationalityorotherdocumentationofidentity.187Asdiscussedthroughout,statesshouldenactandimplementaffirmativemeasureswithintheirCRVSIDlawsandregulationstoensuretheprocessofregistrationandthedocumentationitproducesareaccessibletopersonswithdisabilities.See[Ch.4,parasxx‐xx]formoredetailedsuggestions.

156. Indigenousandtribalpersons.Indigenouspersonshavetherighttodeterminetheirownidentityormembershipinaccordancewiththeircustomsandtraditions.ThisincludestherightofindigenousindividualstoobtaincitizenshipoftheStatesinwhichtheylive.Stateshavetheresponsibilityfordeveloping,withtheparticipationofthepopulationsconcerned,therightsofthesepeoplesandtoguaranteerespectfortheirintegrity.Suchactionshallincludemeasuresforensuringtheirequalstandingandhumanrightsguaranteedbynationallegislationtoothermembersofthepopulation.AsthesepopulationstraditionallyhavedifficultyaccessingservicesprovidedbyaCRVS‐IDsystem,specialproceduresshouldbedeveloped,suchasmobileregistrationunits,toensurethevitaleventsinindigenousandtribalpopulationsare

                                                            182A/RES/3/217.183A/RES/61/106.,art23(1)184A/RES/61/106.,art23(2)185A/RES/61/106.,art18(2)186A/RES/61/106.,art18(1)187A/RES/61/106.,art18

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registered.188

157. EliminateStatelessness.Everyonehastherighttoanationality.189Inordertoensurethisrightisprotected,theConventionontheReductionofStatelessnessforbidsstatepartiesfromdeprivinganypersonorgrouptheirnationalityonracial,ethnic,religiousorpoliticalgrounds.190Certainvitalevents(suchasmarriage,dissolutionofmarriage,legitimation,recognitionoradoption)canaffectaperson’scivilstatusandnationality.Iftheactofregisteringavitaleventhastheeffectofterminatingaperson’snationality,thentheregisteringstatemustensuretheaffectedpersonisstillrecognizedasanationalofanotherstate.191Thisisparticularlyimportantinthecontextofgenderandmarriageissues.192Childrenareespeciallyvulnerabletonon‐registrationiftheirparentsarenotcitizensornationalsofthecountrywherethechildisborn.Whethertheirparentsarecitizens,permanentresidents,refugees,asylumseekers,tourists,migrantworkers,undocumentedresidents,orotherwisestateless,allchildrenhavetherighttoberegisteredinthecountrywheretheyareborn–irrespectiveofnationalitylaws.Statesarerequired,withfewexceptions,tograntnationalitytoapersonborninitsterritorywhowouldotherwisebestateless.193Abandonedinfantsorfoundlingswhoarediscoveredintheterritoryshouldbeconsideredtohaveparentspossessingnationalityofthatstate,unlessthereisprooftothecontrary.194Finally,thecivilregistrationsystemshouldprioritizeaccuratelycapturinginformationonvitalevents,notenforcementofimmigrationlaws,soregistrarsshouldensurethatinformantsareencouragedtoprovideaccurateinformationtotheregistrarwithoutfearofrepercussionstotheirownresidencystatus.Seeparagraph[xx]foradiscussionontheintersectionbetweenCRVSIDlawsandthoserelatingtonationalityandcitizenship.

158. Refugees.Vitaleventsofrefugeesresidingwithintheterritoryshouldberegisteredwithoutdiscriminationinaccordancewiththe1951ConventionrelatingtotheStatusofRefugees.195Thestatewheretherefugeeisresidingshouldprovideadministrativeassistance                                                            188A/RES/61/295,article13(1);A/RES/61/295.,article33.1189A/RES/3/217.,art15190UnitedNations,TreatySeries,vol.989p.175,article.9.191 Ibid., article 5(1) “If the law of a Contracting State entails loss of nationality as a consequence of any change 

in personal status of a person such as marriage, termination of marriage, legitimation, recognition or adoption, 

such loss shall be conditional upon possession or acquisition of another nationality.” 192UnitedNations,TreatySeries,vol.1249,p.13,article9.193 UnitedNations,TreatySeries,vol.989p.175ness,article1(1).“AContractingStateshallgrantitsnationalitytoapersonborninitsterritorywhowouldotherwisebestateless.Suchnationalityshallbegranted:(a)Atbirth,byoperationoflaw,or(b)Uponanapplicationbeinglodgedwiththeappropriateauthority,byoronbehalfofthepersonconcerned,inthemannerprescribedbythenationallaw.Subjecttotheprovisionsofparagraph2ofthisarticle,nosuchapplicationmayberejected.AContractingStatewhichprovidesforthegrantofitsnationalityinaccordancewithsubparagraph(b)ofthisparagraphmayalsoprovideforthegrantofitsnationalitybyoperationoflawatsuchageandsubjecttosuchconditionsasmaybeprescribedbynationallaw.”Permittedexceptionsinarticle1(2).“achildborninwedlockintheterritoryofaContractingState,whosemotherhasthenationalityofthatState,shallacquireatbirththatnationalityifitotherwisewouldbestateless.”article1(3).194Ibid.,article2195UnitedNations,TreatySeries,vol.189,p.137.,article.1(A)(2)Arefugeeisanypersonwho:“owingtowell‐foundedfearofbeingpersecutedforreasonsofrace,religion,nationality,membershipofaparticularsocialgrouporpoliticalopinion,isoutsidethecountryofhisnationalityandisunableor,owingtosuchfear,isunwillingtoavailhimselfoftheprotectionofthatcountry;orwho,nothavinganationalityandbeingoutsidethecountryofisformerhabitualresidenceisunableor,owingtosuchfear,isunwillingtoreturntoit.”

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totherefugee,includingissuinganddeliveringanydocumentorcertificatethatwouldnormallybedeliveredtoaliensbytheirnationalauthorities,andgivingcredencetotheminabsenceofprooftothecontrary.196Specifically,statesmustissueidentitydocumentstoanyrefugeelawfullyintheirterritorywhodoesnotpossessavalidtraveldocuments,197andshouldgivesympatheticconsiderationtotheissueofrefugeesotherwiseintheirterritorywhoareunabletoobtainatraveldocumentfromthecountryoftheirlawfulresidence.198Refugeesshouldalsobeallowedtoenjoyotherrightsthatmayderivefromcivilregistrationincluding:therighttohavepersonalstatusincludingmarriagesrecognized;199freeaccesstocourts,200employmentandlabour;201housing;202education;203publicreliefandrationing;204freedomofmovement.205Accesstomanyoftheserightsdepend,inpractice,ontherefugeehavingalegally‐valididentification.Concurrently,allrefugeeshaveadutytoconformtothelawsandregulationsofthecountrywheretheyreside.206ThisincludesalltherulesrelatingtoCRVSIDandthemandatoryregistrationofvitalevents.

                                                            196UnitedNations,TreatySeries,vol.189,p.137.,article25(2,3),article28.197Ibid,art27198Ibid,art28.Governmentsmaychargefeestorefugeesfortheissuanceofadministrativedocumentsincludingidentitypapers;ibid,art29(2).199Ibid,article12200Ibid,article16201Ibid,article17‐19,24202Ibid,article21203Ibid,article22204Ibid,article20,23205Ibid,article26206Ibid,article2

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IV. InstitutionalArrangementsforCivilRegistration,VitalStatisticsandIdentityManagementSystems159. ThereissignificantdiversityinhowcountriesorganizeandstructuretheirCRVSIDsystems.Insomecountries,thereisoneleadagencyresponsibleforCRVSIDsystems.Inothercountries,thefunctionsofcivilregistration,vitalstatisticsandidentitymanagementareperformedbymultipleagencies.InadditiontovariationinthenumberofagenciesresponsibleforcarryingoutCRVSIDfunctions,countriesalsohavedifferinglevelsofcentralizationordecentralizationofCRVSIDsystems.Incentralizedsystems,thereisaleadagencyoragenciesatthecentralgovernmentlevel,withlocalofficesoftheleadagencyoragencieswithinpoliticalsubdivisions.Indecentralizedsystems,therewillbealeadagencyoragenciesatthelevelofeachmajorpoliticalsubdivision,andpossiblyeveninsmallerpoliticalsubdivisions.InadditiontotheagenciesdirectlyresponsiblefortheCRVSIDfunctions,otheragencies‐suchasthehealthsector;thepolice,medico‐legalauthorities,andemergencyservices;funeral,burialandcremationfacilities;andthecourts‐haveimportantrolestoplayinCRVSIDsystems.

160. CountriescanhaveefficientandeffectiveCRVSIDsystemswithawidevarietyofinstitutionalarrangements‐withoneormultipleleadagencies,withacentralizedordecentralizedstructure,andwithawiderangeofotherinstitutionalstakeholders.Thereisno"onesizefitsall"or"bestpractice"forinstitutionalarrangements.However,itiscrucial,giventhebreadthofactorsinvolvedinCRVSID,thattherebeastrongcoordinationmechanismamongallstakeholders.ItisalsoimportantthattheCRVSIDagenciesandotherstakeholdershavesufficientrule‐makingauthorityandfinancialresourcestocarryouttheirduties.Thesetopics‐centralizedversusdecentralizedsystems,thestructureofleadagencies,rule‐makingauthority,theroleofotherstakeholdersintheCRVSIDsystem,inter‐agencycoordinationmechanisms,andfinancialresources‐arediscussedbelow,withtheaimofhighlightingforpolicymakersdecisionstobemadebeforedraftinglegislationandregulations.

A. CENTRALIZEDVERSUSDECENTRALIZEDSYSTEMS

161. Acountry'ssystemofgovernment‐centralizedordecentralized‐willimpactthestructureofitsCRVSIDsystems.Acentralizedsystemofgovernmentisoneinwhichacentralpoliticalexecutiveexertsdirectlegalauthorityandcontrolovermajorpoliticalsubdivisions,suchasstatesorprovinces.Adecentralizedgovernment,ontheotherhand,isasystemofgovernmentwhereprimaryauthorityisdispersedacrossmajor,andpossiblyminor,politicalsubdivisions.

161. Dependingonthesepoliticalandadministrativestructures,aswellasacountry'scustomsandtradition,CRVSIDsystemsmaybeeithercentralizedordecentralized.207IncentralizedCRVSIDsystems,therewillbealeadagencyoragenciesatthecentrallevel,whichhaslocalofficesatthelevelofmajorandminorpoliticalsub‐divisions.Theselocalofficesaredirectlyresponsibletothecentralagencyoragencies.Inadecentralizedsystem,bycontrast,therewillbealeadagencyoragenciesatthelevelofeachmajorpoliticalsub‐division,andpossiblyatthelevelofsmallerpoliticalsub‐divisions,answerabletothelocalgovernmentratherthanthecentralgovernment.Forexample,intheUnitedStates,theresponsibilityfortheregistrationofvitaleventsrestswitheachoftheindividual50States,theDistrictofColombia,andindividualterritoriessuchasGuam,PuertoRico,andU.S.VirginIslands.Forhistoricreasons,theCityofNewYorkisresponsibleforregisteringvitaleventswithintheCityandmaintainsitsownCRVSsystem.

162. ThelevelofcentralizationofCRVSIDsystemsvariesacrosscountries.Indeed,evenwithinasinglecountry,oneaspectofthesystemmaybemorecentralizedthanotheraspects.Forexample,CRsystemsaredecentralizedinmanycountries,oftenduetothefactthatthese                                                            207PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs307‐311.

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systemsdevelopedwhenprocessesweremanualanditwaseasiertooverseecivilregistrationatthelocallevel.IDsystems,ontheotherhand,areamorerecentdevelopmentinmanycountriesandareoftenmorecentralized.VitalStatisticsisalsooftenacentralizedfunction.Therefore,evenwithinacountrytheremaybevaryingdegreesofcentralizationacrosstheCR,VSandIDfunctions.Regardlessofthechosenarrangement,itisimportantthatlegislationaccuratelyreflectthelevelofcentralizationordecentralizationofCRVSIDagencies,includingclearlydelineatingthepowersconferredtocentrallevelauthorities,aswellastoprovincial/state,districtandvillagelevelauthorities,foreachoftheCR,VS,andIDfunctions.

B. SINGLEVERSUSMULTIPLELEADAGENCIES

163. Independentofwhetheracountry'ssystemofgovernmentiscentralizedordecentralized,thefunctionsofcivilregistration,vitalstatisticsandidentitymanagementmaybeperformedbyoneormoregovernmententities.Inotherwords,oneentitymightberesponsibleofallthreefunctions(CR,VSandID)orthefunctionsmighttheresponsibilityofseparateentities.208

164. HousingtheCR,IDandVSfunctionsinonesingleagencyistheleastcommoninstitutionalarrangement,asmostcountrieschoosetoassignthevitalstatisticsfunctiontoanationalstatisticsauthority.209However,thereisprecedentfortheCR,VS,andIDfunctionsbeingunderthecontrolofoneentity.Forexample,from1964to1990,StatisticsNorwaywasresponsibleforcivilregistration,registrationinthepopulationregister,andvitalstatistics.However,in1991,civilregistrationandmaintenanceofthepopulationregisterwastransferredtotheNationalTaxAdministration,astheregistrationofindividualinformationwasconsideredincreasinglyimportantforaseriesoflegalrightsandobligations‐suchasvoting,receivingapension,taxation,andmilitaryservice.

165. HousingtheCRandIDfunctionsinoneentity,withtheVSfunctioncarriedoutbyaseparateentity,isthemostcommoninstitutionalarrangement.A2017surveyofinstitutionalarrangementsof169governmentsfoundthatinmorethanhalfofthecountriesthecivilregistrationfunctionandtheidentitymanagementfunctionwerelocatedwithinthesameministry,usuallyHomeAffairs(77countries)orJustice(12countries).Thetablebelowdepictstheinstitutionalarrangementsfoundinthese169countries.210

                                                            208Inadecentralizedsystem,eachdivisionoflocalgovernmentwithdevolvedpower‐i.e.,theprovince,state,districtormunicipality‐woulddeterminewhetheroneormoreentitiescarriesouteachofthefunctions.209PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph43.210Gelb,A.andMetz,A.,IdentificationRevolution:CandigitalIDbeharnessedfordevelopment?,CenterforGlobalDevelopment,Washington,DC,2018,p.110

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166. HousingtheCRandIDfunctionswithinthesameministrycanimproveconvenienceforthepublic(ifcivilandidentityregistrationareco‐located),savefundingbysharingresources,andshouldfacilitatecoordinationbetweenCRandID.However,locatingtheCRandIDfunctionsinthesameministrymaynotguaranteecoordination.TherearemanyexamplesofcountriesinwhichtheCRandIDfunctionsaresituatedindifferentdepartmentsofthesameministry,howevereachdepartmenthasdistinctmandates,separatebusinessprocesses,andseparatedatasystems.211Whatmattersmostisthatthefunctions,whetherhousedunderoneentityormultipleentities,beestablishedandmaintainedascomponentsofacoordinatedandcoherentsystemforregisteringvitalevents,managingidentity,andproducingvitalstatistics.SeeBox12fordetailsonPeru'sintegrationofcivilregistrationandidentitymanagement.

167. Asstatedabove,mostcountriesplaceresponsibilityforthevitalstatisticssysteminaseparateagency,usuallythenationalstatisticsoffice.212Oneadvantageofthisarrangementisthatthenationalstatisticsofficehastheexpertiseandresourcestocompile,analyze,evaluateanddisseminatevitalstatistics.However,thisarrangementrequirescontinuousandeffectivecoordinationbetweenthenationalstatisticsofficeandthecivilregistrationagency.Anotheroptionistoplacethevitalstatisticsadministrationwithinthecivilregistrationagency.213Incountriesthatdothis,itmaybeeasiertocoordinatebetweenthecivilregistrationandvitalstatisticssystems.Forexample,itmaybeeasiertoimplementasingleformthatcombinesdataforlegalandstatisticalpurposesfordatacollection.Adisadvantageofthismodel,however,itthatismayleadtoalackofadequaterepresentationandaccessforothergovernmentstakeholders(suchasthehealthsector)thatprovideinputinto,anduseinformationfrom,thevitalstatisticssystem.214Hereagain,effectiveandefficientsystemscanbedevelopedwitheitherarrangement.Whatismostimportantisthat,whateverarrangementischosen,thereisahigh

                                                            211Gelb,A.andMetz,A.,IdentificationRevolution:CandigitalIDbeharnessedfordevelopment?,CenterforGlobalDevelopment,Washington,DC.,2018,p.109.212PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph43;HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph19.213PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph43.214HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph39.

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degreeofcoordinationbetweentheCR,VS,andIDfunctionsandotherstakeholdersintheCRVSIDsystems.(SeeSectionHbelowforadiscussiononInter‐agencyCooperation.)

Box12.Peru:Integrationofcivilregistrationandidentitymanagement

Peru'sRENIEC(RegistroNacionaldeIdentificaciónyEstadoCivil215)providesanexcellentexampleofahighdegreeofintegrationbetweentheCRandIDfunctions.InPeru,asinmanycountries,civilregistrationwastraditionallytheresponsibilityofmunicipalgovernments.RENIECwasestablishedin1993andassumeditscurrentresponsibilitiesfornationalidentificationandcivilregistrationin1995.BothRENIECandmunicipalregistryofficescanregisterbirthsandissuecertificates.Forinstitutionalbirths,RENIEC’sin‐houseauxiliaryregistryofficesregisteranewborn'sbirthandissuethebirthcertificateatthehospital.Theissuanceprocessforachild'sfirstIDcredential,thechildDocumentoNacionaldeIdentidad(DNI)(NationalIdentityDocument),isalsofacilitatedatthesametime.Otherbirths,occurringoutsidehealthinstitutions,areoftenregisteredatmunicipaloffices.ThemunicipalrecordsareintegratedwithRENIEC’sdatabasethroughmunicipalreportingatregularintervals.ThetimelytransferoflocalregistrydatatoRENIECispartofthegovernment'sperformance‐basedpaymentplanformunicipalities‐municipalitiesonlygetpaidifthecivilregistryentriesarereceivedcentrally.Civilregistrationthereforeprovidesacontinuousflowofdatatothepopulationregister.ChildrenwhosebirthsareregisteredatmunicipalitieswillhavetheiridentitiesregisteredandIDcredentialsissuedatalaterdate,throughregularlydeployedRENIECmobileunits.216

C. MINISTRYVERSUSAUTONOMOUSAGENCY

168. WhilemanycountriesconferresponsibilityforCR,VSandIDfunctionstoestablishedministries(suchastheMinistryofJusticeorMinistryofInterior),orentitieswithinestablishedministries(suchasadepartmentofidentificationwithintheMinistryofInterior),othercountrieshavechosentoestablishaseparateautonomousentitywithresponsibilityforCR,VSand/orIDfunctions.Thebenefitofestablishingandmaintainingthesefunctionswithinexistingministriesisthatthisallowsthesystemstotakeadvantageoftheexistinginfrastructure,resources,andexpertisewithinthoseministries.However,establishingandmaintaininganyorallofthesefunctionswithinanautonomousbodycanbuildtrustinthesystemduetothedepoliticizednatureofanindependentbody;thiscanbeparticularlyimportantforcountriesemergingfromcivilconflict.SeeBox13foranexampleofPeru'sautonomousidentificationandcivilregistrationagency.

Box13.Peru'sestablishmentofanautonomousentity‐RENIEC

Peru’sRENIEC(RegistroNacionaldeIdentificaciónyEstadoCivil217)isanautonomousagencywithconstitutionallyguaranteedindependencefromgovernmentministriesandotherpoliticalbodies.Assuch,RENIECdoesnotdirectlydependonorreporttoanyindividualministry,butcarriesoutitsworkincoordinationwithCongress,theElectoralCommittee,theMinistryofHealth,theMinistryofEconomy,andothergovernmententitiesasneeded.ItsheadisappointedbytheNationalCounciloftheJudiciaryforafour‐yearterm,followingacompetitiveselection

                                                            215RegistroNacionaldeIdentificaciónyEstadoCiviltranslatesas"NationalRegistryofIdentificationandCivilStatus".216Gelb,A.,DiofasiMetz,A.,IdentificationRevolution:CanDigitalIDbeHarnessedforDevelopment?,CenterforGlobalDevelopment,Washington,D.C.,2018,page120.217RegistroNacionaldeIdentificaciónyEstadoCiviltranslatesas"NationalRegistryofIdentificationandCivilStatus".

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process.Personsholdingorhavingrecentlyheldpoliticalleadershippositionscannotbeconsideredforthepost.218

169. Insomecountries,suchasIndiaandGhana,theautonomousagencyreportsdirectlytothecabinetorexecutive.219Inothers,suchasRwandaandNigeria,theautonomousagencyisoverseenbyaboardrepresentingstakeholders.Arepresentativeboardcanhavetheaddedbenefitoffacilitatingcoordinationandensuringthattheneedsofstakeholdersandusersaretakenintoaccount.Rwanda'sNationalIdentificationAuthority(NIDA)hasagoverningboardthatincludesmembersfromtheprivateandpublicsector,atleast30percentofwhommustbewomen.InNigeria,theNationalIdentityManagementCommission(NIMC)isgovernedbyaboardof18individualsrepresentingdifferentgovernmentagenciesandstakeholders.220

170. Insum,whethercreatingnewCRVSIDsystemsorreformingexistingsystems,policymakershavedecisionstomakeregardinginstitutionalarrangements,includingwhethertohousetheCR,VS,andIDfunctionsinsingleormultipleentities,whetherthesefunctionsarebestundertakenbyministriesorautonomousagencies,andwhetheranyautonomousentitywillhavestakeholderboardsorreportdirectlytotheexecutive.Thereisno"bestpractice"inregardtothesestructures.Policymakersshouldchooseinstitutionalarrangementsthatworkbestwiththeircountry'ssystemofgovernment,traditions,andneeds.WhatismostimportantisCRVSIDlegislationaccuratelyreflectsthechoseninstitutionalarrangements.

D. POWERTOISSUEREGULATIONSANDTODELEGATEAUTHORITY

171. TheheadsofCRVSIDagenciesmusthavethepowertooverseethemanagementandoperationsoftheirrespectiveagenciesandanylocalofficesofthoseagencies.Todothis,headsofagenciesshouldbeauthorizedtoundertake,ataminimum,thefollowingmanagementresponsibilities(withineachoftheirrespectivesystems):managementandinspectionofcivilregistrationandidentityregistrationservices;participationindraftingofregulations,rulesandinstructions;assessingdegreeofcoverageandcompleteness;conductingongoingqualityassurancemonitoringandaddressingareasofconcern;establishingboundariesforlocaloffices;hiring,managementandtrainingofpersonnel;managementofphysicalresourcesandtechnology;resolutionofincidentsandappeals;promotingtheregistrationrequirementstothepublic;exchanginginformationwithotheragencies;andsafekeepingrecordsandarchives.

172. AmongthemanymanagementresponsibilitiesthatfalltotheheadsofCRVSIDagencies,akeyresponsibilityisthedraftingofregulations,rulesandinstructions.Theauthoritytopromulgateregulations,rulesandinstructionsenablesthecentralauthoritytoensurethatlocalofficialsareconductingdutiesinauniformandconsistentmanneracrossthecountry.Forexample,thenationalcivilregistrarmayissuearuleregardingthemannerandfrequencyinwhichlocalcivilregistrarstransmitvitaleventregistrationdatatothecentralregister.Whilethenationalagencyhasdirectsupervisorypowersoverlocalofficesincentralizedsystems,eveninadecentralizedsystemtherewillbearoleforanationalagency.Thenationalagencyinadecentralizedsystemshouldbeauthorizedtoenforceminimumstandardsortoworkcooperativelywithdecentralizedofficestoensuregenerallyuniformpracticesandprocedures.221ForexampleinUnitedStates,theNationalCenterforHealthStatistics(NCHS)(withintheCentersforDiseaseControlandPrevention,undertheDepartmentofHealthandHumanServices)playsthisroleforthecivilregistrationandvitalstatisticssystems.TheNCHShasdevelopedtheModelStateVitalStatisticsActandModelStateVitalStatisticsRegulationstohelpstandardizeStates’laws,andharmonizereportingrequirements,definitions,and

                                                            218Gelb,A.,DiofasiMetz,A.,IdentificationRevolution:CanDigitalIDbeHarnessedforDevelopment?,CenterforGlobalDevelopment,Washington,D.C.,2018,page157.219IdentityforDevelopment:StrategicFramework,WorldBank,2016,page31.220IdentityforDevelopment:StrategicFramework,WorldBank,2016,page31.221PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph311.

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proceduresforregisteringvitalevents.Formoredetails,seeBox14ontheUSModelLawandRegulations.

Box14.UnitedStatesModelStateVitalStatisticsActandModelStateVitalStatisticsRegulations

TheDepartmentofHealthandHumanServicesdescribestheUSModelActandRegulationsinthisway:

"TheModelStateVitalStatisticsActandRegulationsweredevelopedtoserveasmodelsforStatesinpreparingtheirownlawsandregulations.TheModelLawhasbeendesignedtoimprovethequalityanduniformityofStatedatabyestablishingstandardreportingrequirements,definitions,andproceduresforregisteringvitalevents.TheModelLawhasanimpactonhowvitalstatisticsdataarereportedandtabulatedattheStatelevel,whichinturnimpactsonnationalvitalstatistics.

TheU.S.vitalregistrationandstatisticssystemexemplifiescooperationbetweentheFederalandStateGovernmentsatitsbest.AlthoughthelegalresponsibilityfortheregistrationofvitaleventsrestswiththeindividualStates,theStatesandtheNationalCenterforHealthStatistics(theFederalpartner)worktogethertobuildandmaintainacooperativesystemthatproducesrecordsthatsatisfythelegalrequirementsofindividualsandtheirfamilieswhileprotectingthesecurityoftherecordsandpreventingfraudulentuses.Inaddition,theinformationisusedforadministrativeandpublichealthpurposeandmeetsstatisticalandresearchneedsatthelocal,State,andnationallevels.Thesecooperativeeffortsincludethedevelopmentandpromotionofstandardsforelectronicsystems,certificatesoflivebirth,death,andreportoffetaldeath,trainingandqualitycontrolprograms,andmodellegislation."222

173. Sometimesthegoalofuniformandconsistentpracticemayrequirenotjuststandardizationwithinoneagency,butcoordinationbetweentwoormoreagencies.Forexample,ifthestatisticsagencywishestochangeorexpandtheinformationcollectedatbirthregistration,thiswillimpacttheworkoflocalcivilregistrarsandtheworkofhealthinstitutions(wheremanybirthsoccur).Inacasesuchasthis,coordinationisneededbetweenthethreeentities‐thestatisticsagency,thecivilregistrationagency,andtheministryofhealth.ThismaybeaccomplishedthroughaCRVSIDinter‐agencycommitteeoraworkinggroup.(SeeSectionH,Inter‐agencyCooperation,below).However,evenwithstrongcooperation,aquestionmayariseastowhichagencyhasthepowertoissuearegulationthatimpactsotheragencies.Forexample,insomesystems,thecivilregistrationauthoritymaybeempoweredtoissuearegulationthatobligesnotonlylocalcivilregistrarsbutalsoheadsofhealthfacilitiestocollecttherequiredinformation.However,inothersystems,thismayrequirearegulationissuedjointlybythetwoentities,oraregulationissuedbythegovernmentorcabinet,oranexecutivedecree.Whichentityhasthepowertoissuesucharegulationisafunctionofthesystemofgovernment,thepowersauthorizedintheCRVSIDlegislation,andacountry'slegaltraditions.Consequently,totheextentpossible,theCRVSIDlegislationshouldbeexplicitastothescopeofrule‐makingpowersgrantedtoeachagencyinvolvedintheCRVSIDsystems.

174. ThevolumeofworkinmostcountriesmayrequireheadsoftheCRVSIDagenciestodelegatepowerstoothers,suchasadeputynationalregistrarorlocalregistrars,toactontheirbehalf.Forexample,inmanycountriestheCRVSIDlegislationauthorizesthenationalregistrar

                                                            222 Model State Vital Statistics Act and Model State Vital Statistics Regulations, 2011 Revision, Department of 

Health and Human Services Centers for Disease Control and Prevention, 2011, page 4. 

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toestablishboundariesforlocaloffices.Yetregistrarsattheprovinciallevelmayhaveaclearerunderstandingofwherelocalofficesaremostneededwithineachdistrictandvillageintheirprovinces.Thenationalregistrarcoulddetermineofficeboundariesbyseekingtheinputofeachprovincialregistrar.Alternatively,iftheCRVSIDlegislationpermitted,thenationalregistrarcoulddelegatethepowertodrawlocalofficeboundariestoeachoftheprovinciallevelregistrars.Authorizingheadsofagenciestodelegatepowerscanfacilitatethesmoothfunctioningofanagency.However,whatpowersaredelegableisadecisionforpolicymakers,whichmustbeclearlyreflectedinthelegislation.

175. CRVSIDlegislationshouldalsoaddresstowhomtheheadofanagencymaydelegateaduty.Thismayincludeindividualsoccupyingspecificpositionswithin,oroutsideof,theirownagency.Forexample,theheadofanagencymightbeauthorizedtodelegatedutiestothedeputyheadoftheagencyand/orlocalregistrars.However,theheadofanagencymaychoosetodelegatesomepowerstoanofficialoutsidetheirownagency.Forexample,tocapturebirthsanddeathswithinahealthfacility,thenationalregistrarmayconfersomepowersofalocalregistrarontheheadofahealthinstitution,ratherthanplacingcivilregistrationagencystaffinthehealthinstitute.Thiscouldonlybedoneifallowedunderapplicablelegislation.Consequently,CRVSIDlegislationshouldclearlydelineatetowhompowersmaybedelegated.Inaddition,legislationshouldensurethatthosewhodelegatedutiesretainsupervisorypoweroverpersonstowhomdutiesaredelegated.

176. Insum,CRVSIDlegislationshouldbeexplicitastothescopeofrule‐makingpowersgrantedtotheheadofeachagencyresponsibleforCR,VS,andIDfunctions.Legislationshouldexpresslystatewhetheraleadagencyhasthepowertoissueregulationsthatbindothergovernmentagencies.Inaddition,legislationshouldclearlydefinewhomaydelegateauthority,whatdutiesaredelegable,andtowhompowersmaybedelegated.Finally,legislationshouldensurethatalldelegateddutiesareproperlysupervised.

E. THEROLEOFTHEHEALTHSECTOR

177. ThehealthsectorisamajorbeneficiaryofthevitalstatisticsgeneratedbytheCRVSIDsystem.Thissectoralsoplaysacritical,anddual,roleinthecollectionofregistrationinformation.First,healthprofessionalsinformthecivilregistraroftheoccurrenceofbirths,foetaldeathsanddeaths.Second,physiciansandhealthprofessionalsareresponsibleforcertifyingcauseofdeath(COD).Ahighdegreeofcoordinationbetweenthehealthsectorandthecivilregistrationauthoritiesisneededtoenablethehealthsectortofulfiltheseroles.AgreementmustbereachednotonlyonproceduresfornotificationofvitaleventsandcertificationofCOD(whicharediscussedindetailinChapterFour);agreementmustalsobereachedbetweenthehealthsectorandcivilregistrationagencyregardingsupervisoryauthority,monitoringresponsibilities,anddedicationofresources.Theseissues,anddecisionpointsforpolicymakers,areillustratedbelow.

i. Theinformantfunction178. Alargenumberofbirthsanddeathsoccurinhealthinstitutions,orinvolvesomekindofservicesfromthehealthsystem.Thisplaceshospitals,clinics,andotherhealthcareprofessionalsinauniquepositionwithrespecttocompilingrelevantinformationregardingvitalevents.

179. Whenavitaleventoccurswithinahealthfacility,themosteffectiveapproachtoensurecivilregistrationiscompletedassoonaspossibleistodesignatethehealthfacilityasprimarilyresponsiblefornotifyingthecivilregistrarofthevitalevent.223Cooperationbetweenthecivilregistrationauthoritiesandhealthsectoriscrucialtoensurethatthesevitaleventsarereportedseamlessly.Inpractice,somecountrieshaveestablishedacivilregistrarofficeineachhospital

                                                            223PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph350.

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andclinicinordertofacilitateregistration.Thisisaverygoodapproachintermsofefficiencyoftheprocessandaccuracyofinformation.224However,thismayrequirealargecommitmentofresourcesonthepartoftheCRagency.Othercountrieshavefounditeffectivetodeputizestaffinthehealthfacilitiestoperformsomeofthefunctionsofcivilregistrars,includinggatheringalltheinformationontheevent(e.g.birth,death)andthepeopleinvolved(e.g.,newborn,parentsofnewborn,deceased).Inothercountries,thehealthsectorandcivilregistrationagencyworktogethertodevelopproceduresforthestaffofthehealthfacilitytoprovidethenecessaryinformationtothelocalcivilregistrarordirectlytothecentralagency.Theselattertwooptionsraisequestionsofwhopaysforhealthfacilitystafftimeandworkspace‐theCRauthorityorthehealthfacility.Theseoptionsalsopresentquestionsregardingchainofauthority,reportingandmonitoring,astheCRauthoritymaynothavedirectsupervisorycontroloverhealthsectorstaff.Ifthehealthfacilitiesareprivateinstitutions,ratherthangovernment‐runfacilities,theCRagencymayhaveevenlessabilitytomandateproceduresandmonitorprocesses.Policymakersmustconsiderwhatarrangementswillworkbestintheirowncountry,giventheprosandconsofthevariousarrangements.Legislationshouldreflectthechoseninstitutionalarrangements,andclearlydelineatethedutiesandresponsibilitiesofeachofthestakeholders,includingfinancial,supervisoryandmonitoringresponsibilities.

180. Thehealthsectorplaysanimportantroleinvitaleventsthatoccuroutsidehealthfacilitiesaswell.Inmanycountries,midwivesortraditionalbirthattendantsactasinformantsforbirthsthatoccurathomeorinthecommunity.Somecountrieshavedeputizedmidwifestoactasregistrarsforbirths.Aswithinstitutionalbirths,placingresponsibilityonhealthprofessionalstoactasregistrarsorinformantsforvitaleventsthatoccurathomeraisesquestionsregardingchainofauthority,supervisionandmonitoring.Doesthehealthsectorhavethedutyandresponsibilitytoensurethathealthprofessionalscomplywithrequirementsordoesthecivilregistrationagency?Thereisnodefinitiveanswertothisquestion.However,itisonethatpolicymakersmustdetermine,andlegislationclearlyshouldreflectthedecision.

ii. CertificationofCauseofDeath

181. Understandingthecauseofdeath(“COD”)andmannerofdeathforalldeathsiscriticaltoensuringthatusablemortalitydataisavailableinacountry.“Mannerofdeath”categorizesdeathsintoseveralcategories,namelynaturalcauses,accident,suicide,homicideor“mannerundetermined.”Bycontrast,CODprovidesadiagnosisandassignsaspecificcause.CODare“allthosediseases,morbidconditionsorinjurieswhicheitherresultedinorcontributedtodeathandthecircumstancesoftheaccidentorviolencewhichproducedsuchinjuries.”225Countriesshouldstrivetohaveanaccurate,detailed,andlegallyvalidCODandmannerofdeathattachedtoeveryregistereddeath.

182. Fordeathsthatoccurinhealthfacilities,theheadofthehealthfacilityshouldberesponsibleforensuringthatthereisanofficialdeterminationandmedicalcertificationoftheCOD.Ideally,thecertifierofCODisthephysicianorsurgeonwhoattendedthedecedentduringtheirterminalillness.However,notalldeathsaremedicallyattended.Therefore,thecertifiermayalsobeamedicalpractitionerwhoexaminedthebodyafterdeath,acoronerorothermedico‐legalauthority,amidwife,anurse,orothertrainedperson.226

183. TheWorldHealthOrganization’sInternationalFormoftheMedicalCertificateofCauseofDeath(MCCOD)shouldbeusedtorecordinformationregardingCODforcertification.The

                                                            224 Handbook on Civil Registration and Vital Statistics Systems: Management, Operation, Maintenance, 

Revision 1, United Nations Publication, Sales No. XXX, 2018, paragraph 102. 

225GlossaryofStatisticalTerms,OrganizationforEconomicCooperationandDevelopment,availableat:https://stats.oecd.org/glossary/detail.asp?ID=296226PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph195.

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formisdesignedtoidentifytheunderlyingCOD,whichisdefinedas“thediseaseorinjurywhichinitiatedthetrainofmorbideventsleadingdirectlytodeath,orthecircumstancesoftheaccidentorviolencewhichproducedthefatalinjury.”227

184. TheMCCODshouldnotbeconfusedwiththedeathcertificateissuedbythecivilregistrar,whichreflectstheinformationcertifiedbyanofficialtobecontainedwithinthecivilregister.TheMCCODcontainskeyinformationneededforlegalandstatisticalpurposes.Inmanycountries,thecivilregistrarrequiresaMCCODasapreconditionforregisteringadeath.However,incountriesthatlackhealthprofessionalsadequatelytrainedoncompletingaMCCOD,thiscanresultinlowdeathregistrationrates.Therefore,policymakersshouldcarefullyconsiderwhetheraMCCODisrequiredtoregisteradeath,orifonlyevidenceofthefactofdeathneedbesubmittedtotheregistrar.

185. CompletedMCCODsshouldbecodedinaccordancewiththerulesoftheICD.DevelopedbytheWorldHealthOrganization,ICDisthefoundationfortheidentificationofhealthtrendsandstatisticsglobally.ICDdefinestheuniverseofdiseases,disorder,injuriesandotherrelatedhealthconditions.Theseareorganizedsystematicallytoallowforsharingandcomparinghealthinformationacrossfacilities,regions,andtime.228FoetaldeathsshouldbeclassifiedusingtheWHOapplicationofICDtodeathsduringtheperinatalperiod:ICD‐PM.ICD‐PMaimstolinkstillbirthsandneonataldeathstocontributingmaternalconditions,whereapplicable,inawaythatisconsistentacrossallsettings,whichhelpsstandardizeandincreaseinformationoncausesofdeatharoundthecriticaltimeofchildbirth.229

186. WhileamedicallycertifiedcauseofdeathisthemostreliablesourceofCODdata,incountrieswheremanydeathsoccurathomeorinthecommunity,particularlyinremotelocations,amedicallycertifiedcauseofdeathmaynotbepossible.Inthosecases,itmaybeappropriatetouseverbalautopsy(VA).VAisaninterviewcarriedoutwithfamilymembersand/orcaregiversofthedeceasedusingastructuredquestionnairetoelicitsignsandsymptomsandotherpertinentinformationthatcanlaterbeusedtoassignaprobableunderlyingcauseofdeath.TheresultsoftheVAinterviewmaybeanalyzedusingacomputeralgorithm(automatedVA),whichgeneratesaprobableCODbasedontheintervieweeresponses.Alternatively,incountrieslikeBrazilwherealldeathsmusthaveamedicallycertifiedcauseofdeath,verbalautopsyisusedasadecision‐supporttoolforphysicianswherethereisinadequateinformationonthedeceased’smedicalhistoryorthechainofeventsthatledtodeath.ForPhysicianCertifiedVerbalAutopsy,thephysicianreviewstheVAinterviewresultsandcertifiesthecauseofdeaththroughcompletionoftheMCCOD;inthesecases,theCODislegallyvalid.RegardlessofwhethertheCODfromVAisconsideredlegallyvalid,VAisanessentialpublic‐healthtoolforobtainingareasonabledirectestimationofthecausestructureofmortalityatacommunityorpopulationlevel.230

187. ToobtainqualityCODinformation,coordinationbetweenthehealthsectorandthecivilregistrationagencyiscrucial.TheministryofhealthmustcoordinatetrainingofphysiciansandotherhealthcareprofessionalsonCODcertificationandICDcoding.IfVAisused,theauthoritiesmustdeterminewhowillconductVA‐localhealthworkers,civilregistrars,localleadersorothers‐andwhichentitywillberesponsiblefortraining,supervising,andmonitoringVAinterviewers.Legislationshouldclearlydelineatethejurisdictionalauthorityofeachagencyandassignclearresponsibilitiestoeachentitytoensurethatgoalsaremet.Evenwithclearly

                                                            227HealthTopics,WorldHealthOrganizationwebsite,availableat:http://www.who.int/topics/mortality/en/228PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs494‐497.229MakingEveryBabyCount:Auditandreviewofstillbirthsandneonataldeaths,WorldHealthOrganization,2016,pages17,21.230PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs499‐501.

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definedroles,inter‐agencycooperationiscrucialandtherewillbeaneedforaninter‐agencycoordinationcommittee.SeeSectionHbelowonInter‐agencyCooperation.

F. THEROLEOFTHEPOLICE,CORONERANDEMERGENCYSERVICES188. Fordeathsthatoccuroutsideahealthfacility,medico‐legalauthoritiesplayanimportantrole.Toensurethatacauseofdeathisdeterminedandtoruleoutdeathbyexternalcauses(i.e.,accident,suicide,homicide),manycountriesrequiredeathsthatoccuroutsideahealthfacilitytobereferredtothepolicetoinvestigate.Ifthepolicebelievethedeathmayduetopotentialcriminalaction,thepolicereferthecasetothemedico‐legalauthorities(e.g.,medicalexaminer,pathologist,coroner,orforensicexpert)toascertainfactssuchastheidentityofthedeceased,causeofdeath,timeofdeath,andcircumstancesofdeath.Thishelpslawenforcementagenciesdetermineifacrimehasbeencommittedandfacilitatessolvingacrime.

189. EmergenciesanddisastersareasubsetofdeathsthatoccuroutsidehealthfacilitiesthatmayhaveadifferentprocessforregistrationandCODdeterminationthanotherout‐of‐facilitydeaths.Emergenciesanddisasterspresentachallengefordeathregistrationbecausetheremaybealargenumberofdeathsthatoccurinashortperiodoftime.Becausethesearedeathsthatoccuroutsideahealthfacility,theymaybereferredtothepoliceandmedico‐legalauthorities,justasdescribedabove.However,becausetheseauthoritiesmaynotbeequippedtodealwithalargenumberofdeathsatonce,anemergencyresponseagencymaybedesignatedastheappropriateentitytoinvestigate,notifytheregistrarofthedeaths,andcertifyCODforthevictimsoftheemergencyordisaster.

190. Civilregistrationauthoritiesmustworkcloselywithlawenforcement,medico‐legalauthoritiesandemergencyservicestoensurethatdeathsthatoccuroutsidehealthfacilitiesarepromptlyregistered,causeofdeathiscertified,andCODinformationistransmittedtotheregistrarornationalstatisticsagency.Questionsofjurisdictionmayariseforthesetypesofdeaths.Forexample,inwhatcircumstancesaredeathsreferredtothepolice?Fordeathsthatoccurinthehomeduetoseeminglynaturalcauses,isthefamilyorthepoliceresponsiblefornotifyingthedeathtotheregistrar?Inthesecases,howiscauseofdeathdeterminedandbywhom?Fordeathsduetoexternalcauses,arethepoliceorthemedico‐legalauthoritiesresponsiblefornotifyingtheregistrar?HowisCODinformationtransmittedfromthemedico‐legalauthoritiestotheregistrar?Areemergencyservices,lawenforcementormedico‐legalauthoritiesresponsibleforinformingtheregistrarofdeathsinemergenciesanddisastersandhowisCODinformationtransmitted?Policymakersmustdecideuponthejurisdictionofthevariousagenciesinthesecasesandensurethatlegislationclearlydelineatestheresponsibilitiesofeachagency.Inaddition,theseagenciesshouldbeempoweredtoshareresourcesandinformation.(SeeChapterFourfordetailsontheregistrationprocessfordeathsoutsidehealthfacilities).

BoxX.NewYorkCity:RegistrationofDeathsduringthe9/11Emergency.

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G. THEROLEOFCUSTODIANSOFFUNERAL,BURIALANDCREMATIONFACILITIES

191. Separatelawsorlocalordinancesoftenrequireapermittotransport,bury,cremateorotherwisedisposeofabody.231Countriesshouldrequirethatadeathbereportedtotheregistrarbeforeobtainingapermittodisposeofabody.Thispermitrequirementservesasanincentiveforregisteringdeaths.Insomecountries,thecivilregistraristheagencyresponsibleforissuingpermitstodisposeofabody.Ifanotherentityisresponsibleforissuingthesepermits,thatauthorityshouldberequiredtosharetheirrecordswiththecivilregistrar.Thishelpsmonitorcompliancewiththerequirementtonotifydeathspriortopermitissuanceandcanhelpalerttheregistrartodeathsthatwerenotregistered.

192. Countriesshouldalsorequirecustodiansoffuneralfacilities,cemeteriesandcrematoriatorequesttoseethedisposalpermitforallfunerals,burialsandcremationstheyoversee.Custodiansofthesefacilitiesshouldcollectinformationregardingtheidentityofthedeceased,includingname,uniqueidentificationnumber,identitycard(ifapplicable),birthcertificateorotheridentifyinginformation,andprovidethisinformationtotheregistrar.Thisconstitutesanalternativeentrypointforensuringthatdeathsareregisteredandverifyingtheidentityofthedeceased.

H. THEROLEOFTHECOURTS

193. Thejudiciaryplaysanimportantroleincivilregistrationandidentitymanagementwhenitcomestoamendingorcorrectingcivilregistrationandidentityrecordsandappealingdecisionsofcivilregistrationandidentitymanagementofficials.

i. Amendmentsandcorrectionstocivilregistrationandidentityrecords

194. Theauthoritytocorrectoramendcivilregistrationrecordsmayrestwiththecivilregistrationauthorityorthecourts,dependingonthetypeofchangesought.Generally,therearetworeasonswhyitmaybenecessarytochangeavitaleventrecord:1)theoriginalrecordcontainssimpleerrorsoromissionsthatrequirecorrection,and2)circumstancesregardingthevitaleventortheregistranthavechanged,whichgenerallyhaslegalimplicationsfortheregistrantorothers.

195. Authorityforthefirsttypeofchangeshouldrestwiththecivilregistrationauthority.Examplesofthesetypesofchangesincludecorrectingspellingandtypographicalerrorsandaddinguncontestedomittedinformation,suchasthenameofanewbornshortlyafterbirth.Theregistrarmayalsoaddthenameofthefatherofanewbornchild,ifomittedontheoriginalbirthrecord,ifthefatherfreelyclaimspaternityofthechildandthemotheragrees.However,ifpaternityiscontested,jurisdictionshouldrestwiththecourts.Authorizingthecivilregistrationagencytocorrectobviouserrorsandadduncontestedinformationmakestheprocessofcorrectionsandamendmentssimpler,quickerandlesscostlythanresortingtothecourts.Thisfacilitatesaccuracyincivilregistrationrecords.

196. Foramendmentstocivilregistrationrecordsthatinvolvechangedcircumstances,aregistrantortheirlegalrepresentativegenerallymustapplydirectlytothecourts.Thesetypesofamendmentsusuallyincludeadoption,contestedpaternity,divorce,annulment,judicialseparation,namechange,andsexchange.232(SeeChapterFour,paragraphsXX‐XX,forfurtherdiscussiononthesetypesofamendmentsandhowtheinformationistransmittedtotheregistrar.)Allofthesetypesofamendments,otherthannameandsexchange,involvetherightsofothers(e.g.,therightsofachildoraspouse)andconferringjurisdictiontothecourtshelpsprotectstheserights.Whilechangeofnameorsexoncivilregistrationandidentitydocumentsdoesnotinvokethesesameconcerns,manycountrieshavetraditionallyinvolvedthecourtsin                                                            231PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph362.232PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph411.

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thesetypesofamendments.Inmanyjurisdictions,changingsexoncivilregistrationandidentitydocumentshasinvolvedprovidingproofofhavingundergonesexreassignmentsurgeryandobtainingacourtorder.Theseproceduresareburdensomeandmaycreateabarriertoamendmentofcivilregistrationandidentitydocuments.Consequently,somejurisdictionshaveinstitutedreformstofacilitatetheprocessforchangingnameandsexoncivilregistrationandidentitydocuments.Forexample,abouthalfofthestatesintheUnitedStatesnolongerimposeproofofsurgeryandacourtorderforamendingdriver’slicensesandstateIDs,andagrowingnumberofstatesarestreamliningprocedures.

ii. Appeals

197. DecisionsmadebyofficialswithintheCRVSIDsystemcanhavelegalconsequencesthatmayfundamentallyimpactaperson’slife.ReasonablemindsmaydisagreeabouthowtoresolvecertaindifficultsituationsandthereforetheCRVSIDsystemshouldincludeanadministrativeandjudicialappealprocess.Thisappealprocesswillensurethatindividualsreceivedueprocesstoaddressproblemswiththeircivilregistrationandidentitydocuments,andthatsuchdecisionsaremadeconsistentlyacrossthecountry.TheCRVSIDlegislationshouldpermitanindividualtoappealanydecisionmadebyalocalciviloridentityregistrationofficialtoahigher‐levelregistrationofficial,anduptothecentralauthority,withinprescribedtimeperiods.Forexample,ifaregistraratthedistrictleveldeniesapersontherighttoregisteravitalevent,thepersonshouldbeentitledtoappealthisdecisiontotheprovinciallevelauthority.Ifsatisfactoryreliefisnotobtainedattheprovinciallevel,thepersonshouldbeentitledtoappealtothecentrallevelauthority.Thisprovidesanopportunityforthecentraloffice,whichhasaspecificinterestintheaccuracyandauthenticityofregistrationrecords,tosuperviseandmonitortheworkofthelocalregistrars.233Italsocreatesarecordoftheappealandthedecisionbelow,sothatthenationalregistrarhascompleteinformationuponwhichtomakeadetermination.

198. Courts,however,shouldretaintheultimateauthoritytoadjudicateanappeal.Apersonwhobelievestheyhavenotobtainedsatisfactoryresolutionoftheirissuethroughanappealtothecivilregistrationoridentitymanagementauthoritiesshouldalwaysultimatelybeabletoappealtheircasetoanappropriatecourt.Ifnotcontainedinadministrativeprocedurelaw,theCRVSIDlegislationshoulddescribethisappealprocedure.

I. INTER‐AGENCYCOOPERATION

199. Asshownabove,theinstitutionalarrangementsofCRVSIDsystemsinevitablyinvolvemorethanonegovernmentbody.Inadditiontothefunctionsperformedbythestakeholdersdescribedabove,otherentitiesmayalsoplayarole.Forexample,theMinistryofEducationmaybeinvolvedinbirthregistrationoutreachcampaignsormedicalschoolcurriculumrequirementsoncertifyingcauseofdeath.Theministryinchargeofwomen'saffairsmayalsoplayaninstrumentalroleincivilregistrationoutreachcampaignsandprotectionofwomen'srights.Religiousofficialsmayplayaroleinmarriageregistration(SeeChapter4,paragraphsxx‐xx).Ontheidentitymanagementside,passportauthorities,immigration,andelectoralcommissionsmayutilizeidentityinformationfortheirspecificpurposes.Therefore,toensureefficientandeffectivefunctioningofCRVSIDsystems,inter‐agencycoordinationisessential.

200. Closecoordinationandcollaborationacrossgovernmentagenciesaidsproductionoftimelyandaccuratestatistics,avoidsduplication,errorsoromissions,andensuresconcepts,definitions,andclassificationsareconsistentnationally.234Coordinationalsoensuresthatstakeholderneedsandconcernsaretakenintoaccount.CoordinationshouldtaketheformofaCRVSIDinteragencycommittee,comprisingstaffmembersoftheagenciesinvolved,thatmeets                                                            233PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph412.234PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs41,48.

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atleastannually(butpreferablymorefrequently)todiscussmattersaffectingtheagencies.235Itmayalsobeproductivetoinvitenon‐governmententities,suchasrepresentativesfromtheprivatehealthsectorandthereligiouscommunity(forpurposesofmarriageregistration),totakepartinmeetingsofthiscoordinationcommittee.Anycoordinatingcommitteeshouldbeestablishedonapermanentbasis,meetregularly,andhavelegalstatusasmandatedbylaw.236SeeBoxXforexamplesandparticularsofcoordinationcommitteesinThePhilippinesandChileS.

201. Alternatively,acoordinationmechanismmaytaketheformofasinglegovernmentagencyempoweredtocoordinatetheactivitiesofCRVSstakeholdersandobligestakeholderstocollaboratewiththecoordinatingentity.However,ifasingleagencytakesthelead,itisstillimportantthatallstakeholdershaveamechanismtomaketheiropinionsandconcernsknown.

202. Theremayalsobecoordinationonspecifictopics.Forexample,aNationalMortalityWorkingGroupcanplayakeyroleinimprovingthecompletenessandqualityofmortalitydata,whichiscriticaltopublichealthdecision‐making.SuchagroupcanbeeffectiveinfacilitatingeffortstointroduceandrollouttheuseoftheinternationalMCCODform,traininghealthprofessionalsonmedicalcertificationofcauseofdeath,trainingonICDcoding,andintroductionofautomatedICDcoding.AVerbalAutopsyCommitteecanplayakeyroleintheintroductionofverbalautopsy,includingcoordinatedtrainingofcommunityleaders,healthofficialsandotherwhomaybeinvolvedinVA.[Textboxonmortalityworkinggroup.]

203. Insum,ataminimum,legislationshouldestablishaCRVSIDcoordinationcommittee,withrepresentativesfromallstakeholdergovernmentagencies,thatismandatedtomeetatleastannually.Thelegislationshouldpermitgovernmentagenciestoinvitenon‐governmentalstakeholders,asappropriate.LegislationshouldalsopermittheCRVSIDagenciesand/orthecoordinationcommitteetoestablishworkinggroups,onapermanentortemporarybasis,toaddressparticularissuesorrolloutnewinitiatives.

BoxX.Inter‐AgencyCoordinationMechanismsforCRVSinthePhilippinesandChile.

InThePhilippines,thereisanInter‐AgencyCommitteeonCivilRegistrationandVitalStatistics.MembersarepermanentrepresentativesfromtheDepartmentofHealth,DepartmentofEducation,DepartmentofJustice,DepartmentofForeignAffairs,DepartmentofInteriorandLocalGovernment,NationalCommissiononMuslimFilipinos,NationalCommissiononIndigenousPeople,andthePhilippineStatisticsAuthority(PSA).ThePSAservesasthetechnicalsecretariatoftheInter‐AgencyCommitteeonCRVS,whichwilltackletheimplementationoftheworkplansforthe2015–2024Asia‐PacificCRVSDecade(proclaimedatthe2014MinisterialConferenceonCivilRegistrationandVitalStatisticsinAsiaandthePacific).ItwillalsobetaskedtogeneratetheSustainableDevelopmentGoalsindicatorsconcerningCRVS,amongothers.

InChile,aninter‐institutionalagreementwassignedin1982bytheMinistryofHealth,theCivilRegistrationandIdentificationService,andtheNationalStatisticsInstitutefortheelaborationofvitalstatistics.Byvirtueofthisagreement,aTripartiteCommitteewascreatedtooverseethevitalstatisticssystem.TheCivilRegistrationandIdentificationServiceistaskedwithcollectingstatisticaldatawhenregisteringvitaleventsusingthelayoutsandformsagreedbytheTripartiteCommittee.Thus,allrequiredinformation(healthrelated,legalandstatistical)iscontainedinasingleformforeachtypeofevent,andiscollectedfromtheregistrantatthetimeoftheoccurrenceoftheevent(iftheeventoccurredinamedicalfacility)oratthetimeof

                                                            235PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs52,319‐22.236HandbookofVitalStatisticsSystemsandMethods,volumeI:Legal,OrganizationandTechnicalAspects,UnitedNationsPublication,SalesNo.E.91.XVII.5,UnitedNations,1991,paragraph270.

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registration.TheCivilRegistrationandIdentificationServicegrantsboththeNationalStatisticsInstituteandtheMinistryofHealthsecuredelectronicaccesstoitsdatabase,sothatvitalandhealthstatisticsarecompiled.AllofficialstatisticsaresolelypublishedbytheNationalStatisticsInstitute.Thisagreementhasprovedadynamicmodelthatallowssuccessfulinter‐agencycooperation,andimprovedvitalstatisticscoverageandtimeliness.

J. FINANCIALRESOURCES

204. ContinuousandefficientfunctioningofCRVSIDsystemsrequiresadequatefinancialresources.ThelegalframeworkshouldincludeprovisionstoenablesustainablefundingoftheCRVSIDsystem(anditskeystakeholders).Thismighttaketheformofmandatinganannualbudgetappropriation.However,legislationcanalsoensurefundinginotherways.Forexample,fundingcanbetiedtoincentives.Peru'sRENIECreceivesanannualperformance‐relatedpaymentfromthecentralgovernmenttosupportservicestothepoor.Municipalitiesarealsoprovidedperformance‐relatedpayments,whicharetied(inpart)tothetimelysubmissionofcivilregistrationinformationtoRENIEC.237

205. ItisbestpracticethatlegislationstipulatethattherevenuegeneratedfromCRandIDservicesberetainedtofundthesystemratherthangoingtothecentraltreasury.Eventhoughbirthanddeathregistration,andidentityregistrationifmandatory,shouldbeprovidedfreeofcharge,thesesystemscanstillgeneratesubstantialrevenue.Rwanda'sNIDA(NationalIdentificationAuthority)reportsthatitcoversitsfulloperatingcostsfromfeeschargedforIDissuance.ThebasicnationalIDcardisprovidedforanaffordablefee‐approximatelyUS$0.72‐andthosewhoareunabletopaycanreceiveitforfree.However,otheridentitydocuments,suchasdriver'slicensesandpassports,andexpeditedservicescancostasmuchas100timesmore.238Peru'sRENIECraisessubstantialrevenuefromverificationfeescollectedfromprivatesectorentities,suchasbanks,andfromsomeotherselectgovernmentagencies.239LegislationshouldpermitCRVSIDsystemstogenerateincomefromauthenticationandotherservicesprovidedtotheprivatesector(andpossiblyothergovernmentagencies)andshouldstronglyconsiderensuringthatanyrevenuegeneratedbythesystemisreinvestedbackintothesystem.

206. Inaddition,policymakersshouldconsidergivingawidescopeofpowertoCRVSIDagenciestogeneraterevenuefromentrepreneurialorcontractualservices.Forexample,Pakistan'sNADRA(NationalDatabaseandRegistrationAuthority)fundsitsoperationsthroughchargesforfast‐trackservicesandpremiumproductsforindividuals(suchassmartIDcards)andfeesfrombanksandotherbusinessentitiesthatneedtoauthenticatetheirclients.Italsoreceivesfeesforprojectsundertakenforotherpartsofgovernmentandcompetessuccessfullyforexternalcontractstoprovideidentificationservicesonacommercialbasis.OutsideofprojectsperformedforotherpartsofthePakistangovernment,NADRAhaswoncontractstoprovideservicesinBangladesh,Kenya,SriLanka,andSudan.240

207. Insum,legislationshouldensureadequateresourcechannelsareavailabletoCRVSIDsystems.Ideally,legislationwouldmandateabudgetappropriation.However,ataminimum,legislationshouldensurethatrevenuegeneratedfromthesystemisusedtofundthesystem.Inaddition,legislationcouldpermitCRVSIDagenciestogeneraterevenuefromentrepreneurialorcontractualservices. 

                                                            237Gelb,A.,DiofasiMetz,A.,IdentificationRevolution:CanDigitalIDbeHarnessedforDevelopment?,CenterforGlobalDevelopment,Washington,D.C.,2018,page116.238Gelb,A.,DiofasiMetz,A.,IdentificationRevolution:CanDigitalIDbeHarnessedforDevelopment?,CenterforGlobalDevelopment,Washington,D.C.,2018,page117.239Gelb,A.,DiofasiMetz,A.,IdentificationRevolution:CanDigitalIDbeHarnessedforDevelopment?,CenterforGlobalDevelopment,Washington,D.C.,2018,page116.240Gelb,A.,DiofasiMetz,A.,IdentificationRevolution:CanDigitalIDbeHarnessedforDevelopment?,CenterforGlobalDevelopment,Washington,D.C.,2018,page117.

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V. LegislativeFramework

Introduction208. Thischapterprovidesguidanceontopicstobeincludedincomprehensivecivilregistration,vitalstatisticsandidentitymanagement(CRVSID)legislationandregulations.Whilethischapterispresentedinaformatthatmaybefollowedforcomprehensivelegislation,itisnotnecessarytofollowthisspecificformat,norisitnecessarythatalltopicsbecoveredinonedistinctpieceoflegislation.ManycountrieshavealegalframeworkforCRVSIDsystemsthatiscontainedinmorethanonepieceoflegislationandregulations.CountriesthatwishtoenhancetheirCRVSIDsystemsthroughamendmentofvariousexistinglawsthataddresstheseparatefunctionsofcivilregistration,vitalstatisticsandidentitymanagementcanalsofollowtheguidanceinthischapter.Thecontentofthelawismoreimportantthantheformat.WhatisimportantisthatthebestpracticesandpolicyoptionsdiscussedbelowbeaddressedsomewhereintheoveralllegalframeworkforCRVSIDsystems,regardlessofwhethertheyarecontainedinonelaworacrossmanylaws.

209. ThroughoutthisChapter,theterm“law”isusedtomeananylegallybindingmeasure,includingconstitutionalprovisions,legislation,regulations,rules,decrees,ministerialorders,officialinstructionstogovernmentagencies,employeemanualsandstandardoperatingproceduresforgovernmentofficials,judicialorders,internationaltreaties,andanyotherdocumentwiththeforceoflaw.Whenreferringtoonlythoseactsapprovedbythelegislature,theterm“legislation”isused.Theterm"regulation"isusedtomeanalllegallybindingmeasuresthatimplementlegislation."Instructions"isusedtocoverguidelines,proceduresandinstructionssuchasemployeemanualsandstandardoperatingprocedures.SeeBoxXforageneralexplanationofthehierarchyoflawswithincountries

210. IndraftingaCRVSIDlegalframework,lawmakersmustfirstconsiderthecountry'sconstitutionalframeworkanditssystemofgovernmenttoensurethattheCRVSIDlegalframeworkiscompatiblewiththeexistingsystemandstructuresofgovernment.(SeeChapter3foradiscussiononinstitutionalarrangementsofCRVSIDsystems).Lawmakersshouldspecificallyconsiderwhetheracountry'ssystemofgovernmentiscentralizedordecentralized.Acentralizedsystemofgovernmentisoneinwhichacentralpoliticalexecutiveexertsdirectlegalauthorityandcontrolovermajorpoliticalsubdivisions,suchasstatesorprovinces.Adecentralizedgovernment,ontheotherhand,isasystemofgovernmentwhereprimaryauthorityisdispersedacrossmajor,andpossiblyminor,politicalsubdivisions.IncentralizedCRVSIDsystems,therewillbealeadagencyoragenciesatthecentrallevel,whichhaslocalofficesatthelevelofmajorandminorpoliticalsub‐divisions.Theselocalofficesaredirectlyresponsibletothecentralagencyoragencies.Inadecentralizedsystem,therewillbealeadagencyoragenciesatthelevelofeachmajorpoliticalsub‐division,andpossiblyatthelevelofsmallerpoliticalsub‐divisions,answerabletothelocalgovernmentratherthanthecentralgovernment.241Lawmakersshouldconsiderthepossibilitythatsomefunctions(suchasCR)maybemoredecentralizedthanotherfunctions(suchasIDandVS).

211. TheseGuidelinesoftenrefertothe"nationalregistrar"or"centralauthority".Inadecentralizedsystem,theleadagencyatthelocallevelwillhavemanyorallofthepowersofthenationalregistrarorcentralauthorityinacentralizedsystem.Thereforetheguidancesetforthherecanbefollowedbylocalleadagenciesinadecentralizedsystem.

212. Inaddition,whiletheremayasingleagencyormultipleagenciescarryingoutcivilregistration,vitalstatistics,andidentitymanagementfunctions,theseGuidelinesusuallyreferto

                                                            241PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs307‐311.

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the“agencies”,intheplural.Forcountriesinwhichallfunctionsarecarriedoutbyasingleagency,theyshouldapplytheconceptsdiscussedtothesingleagency.

213. Throughouttheseguidelines,recommendationsareprovidedregardingwhatprovisionsshouldbeincludedinlegislationversusregulations.Lawmakersshouldcarefullyconsidertheissueofwhichlegaltooltouse,basedonwhatworksbestintheirsystemofgovernment,andalsoconsiderhowbroadascopeofregulatoryauthorityshouldbedelegatedtoaministryoragency.Becauselegislationmustbeadoptedbytheparliamentorlegislature,thiscantakeyearstonegotiateandpass.Regulationsthatimplementprovisionsofthelegislationinaccordancewithdelegatedregulatoryauthorityareoftenmorequicklyadopted.Therefore,provisionsthatmayrequireamendmentovertime,forexampledetailedprovisionsonadministrativeprocesses,arebetteraddressedinregulationsasopposedtolegislation.Lawmakersshouldconferasufficientlybroadscopeofregulatoryauthoritytoallowthesystemtorespondtochangingneedsovertime.

214. Toaccommodateemergingtechnology,legislationshouldnotspecifythemediausedinrecording,storingandtransmittingtheinformationinthecivilregistrationandidentitymanagementsystems,ortheinstrumentstobeproducedfromtheinformationrecorded.Themeansbywhichthecivilregistrationandidentityrecordsareupdatedand/ormodifiedshouldalsonotbeestablishedbylegislation.Rather,thetechnologyandmediausedfortheregistration,amendmentandtransmissionprocessesshouldbedetailedinimplementingrulesorregulationstopermitflexibilityandchangesovertime.

BoxX.HierarchyofLawsAllcountrieshavealegalfoundation,generallyconsistingofafoundingdocument,suchasaconstitution,andthelawspassedbythenationallegislatureandotherlevelsoflaw‐makingauthority.Theselawsfunctioninahierarchy,whichdetermineshowtheyrankinauthority.Thehierarchicalstructurevariesfromcountrytocountryanddependsontheformofgovernment.However,ingeneral,thefundamentallevelsofhierarchyconsistof:aconstitutionorfoundingdocument;statutesorlegislation;regulations;andguidelines.Theconstitutionstatesthegroundinglegalanddemocraticprinciplesofthecountry,includingindividualrights,citizenship,branchesofthegovernment,andpowersofgovernment.Thisisthesupremelawtowhichallotherlawsmustadhere.Nextinthehierarchyislegislation,whichispassedbyparliamentoralegislatureandcannotconflictwiththeconstitution.Whilemoredetailedthantheconstitution,legislationisstillgenerallybroadinitsprovisions.Legislationoftenexplicitlyauthorizestheexecutivebranchoraspecificministrytoimplementtheprovisionsofthelegislationthroughissuanceofregulations,whichranknextinthehierarchy.Regulationsaregenerallymoredetailedthanlawsandmaynotconflictwiththelawtheyimplement.Moredetailedstillareinternalguidelines,whichranklastinthehierarchyaregenerallynotlegallybinding.

215. Thischapterisbrokenupintoeightsub‐sectionscovering:1)generalprovisionsandadministrativeinfrastructure,2)civilregistration,3)identitymanagement4)populationregister,5)vitalstatistics,6)datausage,privacyandsecurity,7)compliance,enforcement,rightsandremedies,and8)transitionalprovisions.Theindividualsub‐sectionsoncivilregistration,identitymanagement,vitalstatistics,andpopulationregistermaybeusedtoguidethedraftingofonecomprehensivelawortodraftoramendseparatelawsoneachofthesetopics.IfusingtheseGuidelinestodraftoramendseparatelaws,pleasealsorefertothesectionsongeneralprovisionsandadministrativestructures;data,usage,privacyandsecurity;compliance,enforcement,rightsandremedies;andtransitionalprovisions.Theconceptsinthesesectionsareoverarchingandapplytocivilregistration,identitymanagement,andvitalstatisticssystemsandpopulationregistersgenerallyand,therefore,shouldbeaddressedwithinthelegalframeworkonCRVSIDsystems.Aftereachsub‐section,thereisachecklistthat

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containsasummaryofthetopicsdiscussedinthatsub‐section.Thischecklistisprovidedtohelpdraftersensurethatallsuggestedtopicsareaddressedinthelegislation.

SECTION1.GENERALPROVISIONSANDADMINISTRATIVEINFRASTRUCTURE

A. GENERALPROVISIONS

(i) Purposeofcivilregistration,identitymanagementandvitalstatistics216. Whilenotcontainingsubstantiveprovisionsitself,asectionsettingoutthepurposeandintentofthelegislationcanassistininterpretationofthesubstantiveprovisionsofthelegislation.Legislativedraftersshouldaddressthepurposeofcivilregistration,whichistorecordvitaleventsandfurnishlegalinstrumentstoindividualsthatprovethefactsofthosevitalevents,aswellastheirexistence,identity,andpersonalandfamilysituation.242Theyshouldalsoaddressthepurposeandfunctionoftheidentitymanagementsystem,whichistoprovideauniqueandsecuremeansofprovingone’slegalidentity.Draftersshouldstresstheimportanceofcivilregistrationasthefoundationoftheidentitymanagementsystem,aswellastheimportanceofderivingvitalstatisticsfromcivilregistration.Thepurposeofvitalstatisticsistoprovidereliableandtimelyinformationtoothergovernmentagencies,whichfacilitatestheadministrationandplanningofgovernmentservices,shouldalsobeaddressed.Finally,draftersshouldstresstheimportanceofprovidingcivilregistrationandidentitymanagementservicestoallpersonswithintheterritoryofthecountry,withoutdiscrimination.Thisenablesallpersonstoexercisetheirhumanrightsandbenefitfromgovernmentandprivatesectorservices.

(ii) Definitionsofvitalevents217. TheinclusionofdefinitionslendsclaritytothelawandensuresthatusersofCRVSIDsystems‐governmentofficialsandresidentsofthecountryalike‐haveacommonunderstandingofthelaw'srequirements.AllvitaleventsthatarerequiredtoberegisteredshouldbedefinedinaccordancewithUNdefinitions(seeChapter1,SectionD).WhiletheUNrecommendsregisteringanddefiningthevitaleventslistedbelow,somecountriessubstantivelawsmaynotrecognizeallofthesevitalevents.Forexample,"judicialseparation"maynotexistunderacountry'sfamilylaw.Therefore,whilegenerallylegislationwillcontaindefinitionsforthefollowingvitalevents,legislativedraftersshouldmodifythislistasappropriate.

a. Livebirthb. Deathc. Foetaldeathd. Marriagee. Divorcef. Annulmentg. JudicialSeparationh. Adoption.i. Legitimationj. Recognition

                                                            242PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs285‐286.

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218. Draftersofthelawmayalsowishtoincludesomeorallofthefollowingadditionaldefinitionsinordertoimprovetheclarityoflegalprovisionsthatcontaintheseterms:

a. Certificate:thedocument,paperorelectronicformat,issuedbytheRegistrarandcontainingallorpartoftheexactinformationcontainedontheoriginalvitalrecord,andwhich,whenissuedbytheRegistrar,hasthefullforceandeffectoftheoriginalvitalrecord.243

b. Informant:theindividualorinstitutionwhoseresponsibility,designatedbylaw,istoreporttothelocalregistrarthefactoftheoccurrenceofavitaleventandtoprovidealltheinformationonandallthecharacteristicsoftheevent.Onthebasisofsuchareport,theeventmaybelegallyregisteredbythelocalregistrar.244

c. MedicalCertificateofCauseofDeath(MCCOD):istheinternationallyrecommendedformforrecordinginformationregardingcauseofdeathforcertification.DevelopedbytheWorldHealthOrganization(WHO),theformisdesignedtoelicittheunderlyingcauseofdeath.

d. Notifieristheindividualappointedbythelocalregistrartoactasintermediarybetweenthelocalregistrarandtheinformantinprovidingalltheinformationonandallthecharacteristicsofaneventthatistobelegallyregisteredbythelocalregistrar.

219. IfdraftingcomprehensiveCRVSIDlegislationthatinvolvestheuseofapopulationregister,thefollowingdefinitionsmayalsobehelpful:

a. PopulationRegister:anindividualizeddatasystemforcontinuousrecording,and/orofcoordinatedlinkage,ofselectedinformationpertainingtoeachmemberoftheresidentpopulationofacountryinsuchawayastoprovidethepossibilityofdeterminingcurrentandup‐to‐dateinformationconcerningthesizeandcharacteristicsofthatpopulation.245

(iii) Compulsoryanduniversalregistration220. InkeepingwiththePrinciplesandRecommendationsforaVitalStatisticsSystem,civilregistrationmustbecompulsoryanduniversal.Civilregistrationiscompulsoryinthatallvitaleventsthatoccurinacountrymustberegistered.Thedutytoregistervitaleventsappliestogovernmentofficialsresponsibleforcivilregistrationaswellasindividuals.Itistheaffirmativedutyofthecivilregistrationagencytoensurethatvitaleventsareregistered.Assuch,civilregistrarsshouldtakesstepstoovercomebarrierstoregistrationfacedbyindividuals,suchasphysicalandmentaldisabilities,aswellasbarriersfacedbycertainpopulationsgroupsduetoremoteness,language,literacy,nationalitystatus,orothercharacteristics.

221. Civilregistrationisuniversalinthatitshouldcaptureallvitaleventsoccurringineverygeographicalareaandineverypopulationgroupinthecountrywithoutdiscriminationordistinctionbasedonracial,ethnicorreligiousgroup;statusasamemberofanomadic,native,indigenousoraboriginalpopulation;statusasadisplacedperson,refugee,orasylumseeker

                                                            243ModelStateVitalStatisticsActandModelStateVitalStatisticsRegulations,2011Revision,DepartmentofHealthandHumanServicesCentersforDiseaseControlandPrevention,2011,section2(c).244 Principles and Recommendations for a Vital Statistics System, Revision 3, United Nations Publication, Sales 

No.E.13.XVII.10, United Nations, 2014, page 204. 

245PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph454.

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withinthecountry;orstatusasaforeignnationalborninthecountry,includingtemporaryworkers;oranyothercharacteristic.246

222. Unlikecivilregistration,identityregistrationneednotbecompulsory,assomecountriesdonotmaintainanationalidentitymanagementsystemanddonotrequireindividualstoregisterfornationalidentitycredentials.However,identitycredentialprovisionshouldbeuniversalinthatcountriesshouldensurethatsomeformoflegallyvalidproofofidentityisavailabletoallpersonswithintheterritoryofthecountry.

223. Accordingly,legislationshouldstatetheprinciplesthatcivilregistrationiscompulsoryandmustbeprovideduniversally,andthatsomeformofidentitycredentialmustbeprovidedtoalluniversally.

224. Thelegislationshouldalsoaddresswhetherprocessesforcivilregistrationandidentitycredentialprovisionapplytocitizensofthecountrytemporarilyresidingabroad.Generally,citizensresidingabroadarenotrequired,butshouldhaveaprocessbywhichtoreportvitaleventsandobtainidentitycredentials.

(iv) Continuousandpermanentregistration225. CRVSIDsystemsmustbebothcontinuousandpermanent,inthatregistrationand

updatingofthesystemsiscontinuouslyongoing,withouttimelimits,andrecordsarepermanentlymaintained.Thecontinuityandpermanenceofthesystemrequiretheexistenceofanagencywithadministrativestability,whoseoperationisnotlimitedtoacertainperiodoftime.Thus,responsibilityforCRVSIDsystemsmustbevestedinanadministrativelystableentity.Inaddition,legislationshouldmakeclearthat,regardlessofwhichentityisresponsibleforCRVSIDsystems,thesesystemsareestablishedpermanently,withouttimebounds,andmustbecontinuouslyupdatedandmaintained.

(v) Legallyvalidproofofavitaleventandlegalidentity226. Thecivilregisterservesasthelegalfactualrecordofvitalevents.Akeyresponsibilityofthecivilregistraristoissuecertificates,whichareanexcerptoftheregisterandserveasofficialevidenceoftheinformationonvitaleventscontainedintheregister.Thelegislationshouldspecifythatacertificate,asanofficialdocumentbackedbythegovernment,islegallyvalidproofofavitalevent.Inotherwords,itensurestheveracityofthefactsstatedthereinandenjoysthepresumptionofaccuracyandtruthfulness.However,ifthereiseveraconflictbetweenthecivilregisterandthecertificate,theinformationinthecivilregistershouldruleandbepresumedcorrect.Similarly,legislationshouldspecifythatanidentitycredentialissuedbythegovernmentislegallyvalidproofofidentity.Incaseofdiscrepancies,theidentitymanagementsystemrecordshouldprevail.

(vi) Privacyandconfidentiality227. Informationcontainedinthecivilregisterandidentitymanagementsystemisprivateandconfidential,unlessotherwiseprovidedbylaw.Datacollectedshouldonlybeusedforthepurposeforwhichitwasintendedanddataused,storedandtransmittedshouldbeonlythatinformationnecessaryforthesystem'sexplicituse.Inaddition,accesstodatashouldbelimitedtoonlythenecessaryofficials.Manycountrieshaveaseparatedataprotectionlawthatgovernsthecollection,storageanduseofdata,whichisrecommendedbymanyexperts.However,regardlessofwhetheracountryhasaseparatedataprotectionlaw,itsCRVSIDlegislation

                                                            246PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph34.

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shouldstatethattheprinciplesofdataprivacyandprotectionapplyspecificallytoCRVSIDsystems.(SeeSectionVbelowformoredetailedprovisionsondataprotectionandprivacy).

(vii) AccountabilityandTransparency228. Civilregistrationandidentitymanagementagencieshaveanobligationtokeepaccuraterecords,ensuretransparencyofthesystem(whileprotectingindividualprivacy),andmustbeaccountableforensuringthattheregisteriscomplete,accurateandusedinaccordancewithlaw.Accordingly,legislationshouldprovidethatthecivilregistrationandidentitymanagementagencieshaveadutyandresponsibilitytoensurethatthesesystemsareaccurateandprocessesaretransparent,andthattheseagenciesmaybeheldaccountable.

B. CIVILREGISTRATION,VITALSTATISTICSANDIDENTITYMANAGEMENTINFRASTRUCTURE

(i) Ministryoragencyinchargeofcivilregistration,vitalstatistics,andidentitymanagement

229. EfficientandeffectiveCRVSIDsystemsinvolvethreekeyfunctions–thecivilregistration(CR)function,theidentitymanagement(ID)function,andthevitalstatistics(VS)function.AsdiscussedinChapter3,thesethreefunctionsmaybeconductedbyoneormoreentities.CRVSIDlegislationshouldclearlystatewhichministry,agency,orotherentityisauthorizedandresponsibleforcarryingoutthefunctionsoftheCRVSIDsystem.Ifmorethanoneentityisinvolved,thissectionshouldclearlystatewhichentityisresponsibleforeachfunction.

(ii) Powers,dutiesandauthorityofthecivilregistration,vitalstatisticsandidentitymanagementauthority

230. CRVSIDlegislationshouldassignthefunctionsofestablishing,operating,andmaintainingCRVSIDsystemstothegovernmentagenciesidentifiedaboveandprovideacleardesignationofdutiesandresponsibilitiesforkeystepsofafunctioningsystem,including:

i. Thepowersandfunctionsofthecivilregistrationsystem,whichinclude:recordingvitalevents;storing,safe‐keepingandretrievalofvitalrecords;protectionofconfidentiality;certificateissuingandothercustomerservices;recordingandreportinginformationonvitaleventsforstatisticalpurposes;andprovidingreliableandtimelyinformationanddatatoothergovernmentagenciesandresearchinstitutions;247

ii. Thepowersandfunctionsofthevitalstatisticssystem,whichinclude:collecting,compiling,analyzing,evaluating,presenting,anddisseminatingvitalstatisticsderivedfromcivilregistrationdata;248

iii. Thepowersandfunctionsoftheidentitymanagementsystem,whichinclude:enrollingandvalidatingindividualsintheidentitysystem;issuingidentitycredentials;establishingprocessesforauthenticationofidentity;and,ifauthorized,maintainingacontinuouslyupdatedpopulationregister;and

iv. Thedutytoensuretheconfidentialityandsecurityofcivilregistrationandidentityrecords,whichistheresponsibilityofalldesignatedministriesandagencies.

                                                            247PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph285.248PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph40.

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231. Inaddition,CRVSIDlegislationshouldsetoutthepowersoftheCRVSIDagenciestoissueregulationstosetstandards,superviseandmonitorthesystems.TheregulatorypowersoftheCRVSIDagenciesshouldincludeissuingregulationsandinstructionstoensurethattheproceduresforregistrationandforissuingcertificatesandidentitycardsareuniformthroughoutthenationalterritory.Thisshouldincluderegulatoryauthorityto:reorganizecivilregistrationandidentityregistrationoffices;prepareandapproveofficialmodelsofcivilregistrationnotificationandregistrationdocumentsandcertificates,andidentityregistrationandcredentialdocuments;issuedirectivesandstandardoperatingprocedurestoimproveoperationandefficiencyoflocalregistrars;andanyothermatters.

232. ThepowersvestedintheCRVSIDagenciesshouldpermittheintroductionofnewtechnologiesintoCRVSIDsystemstoenhancetheperformanceofservices.Innewlyestablishedorresource‐constrainedsystems,theregistrationactivitymayinitiallyorpartiallybeperformedmanually,withgradualintroductionofelectronicordigitalmethods.Thepowervestedintheheadofagenciesshouldauthorize:managementofthephysicalandpersonnelresourcesneededtointroducenewtechnologiesintotheregistrationprocess,issuanceofinstructionstoestablishuniformcriteriainapplyingthenewtechnologies,anddevelopmentandimplementationoftrainingprogrammesforrelevantregistrationpersonnel.

(iii) Structureofthecivilregistrationandidentitymanagementauthority,andqualifications,powersanddutiesofregistrars

1. Structureofcivilregistrationandidentitymanagementauthority

233. Inordertoensurethatregistrationservicesareaccessibletothepublic,thecivilregistrationandidentitymanagementauthorityshouldmaintainprimaryregistrationofficesinlocationsthatcorrespondtotheminorcivildivisionsofthecountry,adjustingboundariesifnecessarybasedonpopulation,resources,accessibility,literacy,andsimplicityofregistration.Eachprimaryregistrationareashouldbethejurisdictionalterritoryof,andbemanagedby,onelocalregistrar.249Thecivilregistrationandidentitymanagementauthoritymayalsomaintainofficesthatcorrespondtomajorcivildivisionsofthecountry.Forexample,inadditiontovillageordistrictoffices,thenationalauthoritymayalsohaveofficesattheprovincelevel.Thesehigher‐levelofficesgenerallyhavesupervisoryauthorityoverthelowerlevelofficesintheirjurisdiction.

234. Thelegislationshouldaddressthestructureofthecivilregistrationandidentitymanagementauthorityandclearlyestablishlocationsofprimaryregistrationareasaswellaslocationsofhigher‐leveloffices.Thelegislationshouldallowflexibility,permittingsub‐unitstobeestablishedasneededatselectedlocationswithhighlevelsofvitalevents,suchashospitals,withouttheneedtoamendlegislation,asthisisakeyfactorinaffectingcompletenessofregistration.250

235. Generallythestatisticsagencyisacentralizedagencyandvitalstatisticsarecompiledatthecentrallevel.However,ifthestatisticsagencydoeshavelocaloffices,thestructureoftheagencyshouldbesetoutinlegislationorregulations.

2. Qualificationsandconductofregistrars

236. Registrarsholdsignificantpowerinregisteringevents,andenrollinganddeactivatinglegalidentity.Registrarsmayalsocollectfeesdirectlyfromindividuals,andthismakesthemvulnerabletocorruptionclaims.Therefore,clearrequirementsgoverningfitnesstoactasa

                                                            249PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph340‐346.250PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph347.

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registrarmustbeclearlyoutlined.Accordingly,legislationshouldsetforththerequirementsandqualificationsnecessarytofillthepositionsoflocal,regionalandnationalregistrar,andprescribehowtheseofficialsareappointed.Legislationshouldalsoaddresstheproperconductandethicalresponsibilitiesofthenational,regionalandlocalregistrars.Thelegislationshouldensurethatthenational,regionalandlocalregistrarsarefull‐timeofficials,enjoythestatusofcivilservice,andbeadequatelypaid.

237. Insomecountries,localelectedofficialsholdthepositionoflocalregistrarintheirofficialcapacity.Consequently,legislationcannotrequireorguaranteethequalificationsofthelocalregistrar.Intheseinstances,thereisusuallyacivilservantemployedtoactastheassistantregistrarwhohandlestheregistrationfunctions.Wherethisisthecase,legislativedraftersshouldsetforththerequirementsandqualificationsnecessarytofillthispositionofassistantregistrar.

3. Powersofthenationalregistrar

238. Theheadsofthecivilregistrationandidentitymanagementagencies(oftenreferredtoas“nationalregistrar”or“registrargeneral”)shouldberesponsibleforandempoweredtooverseeoperationofthecivilregistrationandidentitymanagementsystemsandauthorizedtoissueregulationsandinstructionstodoso.Thenationalregistrarshouldberesponsiblefor,ataminimum,managementandinspectionofregistrationservice;participationindraftingofregulationsandinstructions;assessingdegreeofcoverageandestablishingboundariesforlocaloffices;hiring,managementandtrainingofpersonnel;managementofphysicalresourcesandtechnology;resolutionofincidentsandappeals;promotingtheregistrationrequirementstothepublic;exchanginginformationwithotheragencies;andsafekeepingarchives.

239. Thevolumeofworkinmostcountrieswillrequirethenationalregistrartodelegatepowerstootherstoactontheirbehalf.Draftersoflegislationshouldcarefullyconsiderwhatdutiesaredelegablebythenationalregistrartoregionalandlocalregistrars.Thegoalshouldbetodelegatesufficientpowerstolocalregistrarstoincreaseefficiencyofthesystem.However,thismustbebalancedagainsttheneedforuniformproceduresandqualitycontrol.Ascapacityandskillsatregionalandlocallevelsimprove,additionalauthoritycanbedelegated.Thelegislationshouldrequiresupervisionovertheexerciseofanydelegatedduties.

4. Powersoflocalandregionalregistrars

240. Legislationshouldclearlystatethedutiesandpowersoflocalandregionalregistrars.Thedutiesandpowersoflocalcivilregistrarsusuallyincludeconductandoversightoverthefollowingcivilregistrationfunctions:

a. Recordingspecificinformationregardingvitaleventsaccordingtoestablishedmethodsandprocedures;

b. Ensuringcompliancewithregistrationlaw;

c. Ensuringtheaccuracyandcompletenessofeachrecord;

d. Adoptingsuchmeasuresasarerequiredtoenablethepublictobeinformedofthenecessity,proceduresandrequirementsofregistration,andthevalueofvitalstatistics;

e. Takingcustodyofrecords;

f. Issuingcertificatesorcopiesofthevitalrecordsuponrequest;

g. Providingcustomerservices251and

                                                            251HandbookofVitalStatisticsSystemsandMethods:Vol.I,Legal,OrganizationandTechnicalAspects,UnitedNationsPublication,SalesNo.E.91.XVII.5,UnitedNations,1991,paragraph328

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h. Ensuringtimelytransmissionofrecordstothenationalregistrar.

Thedutiesandpowersoflocalidentitymanagementregistrarsusuallyincludeconductandoversightoverthefollowingidentityregistrationfunctions:

a. Capturingandrecordingkeyidentityattributes;

b. Validatingtheidentityoftheindividualagainstexistingdata;

c. Issuingcredentials;and

d. Takingcustodyofrecordsandensuringtheirsecurityandconfidentiality.

Wherecivilregistrationandidentitymanagementresponsibilitiesareassignedtoasingleentity,alloftheabovefunctionswouldbetheresponsibilityofasinglelocalregistrar.

241. Regionalregistrars(inboththecivilregistrationandidentitymanagementsystem)shouldberesponsibleforoversightofalllocalregistrationofficesintheirarea.Regionalregistrationofficesmayalsoserveasaprimaryregistrationlocationandthereforeregionalregistrarsmay,inadditiontothepowersbelow,havethesamedutiesandpowersofalocalregistrar.Thedutiesandpowersofregionalregistrarsmayincludeconductandoversightoverthefollowingfunctions:

a. Verifyingandensuringtheaccuracyofregistrationinformationcollectedatregistrarofficeswithintheirjurisdiction;

b. Trainingregistrarswithintheirjurisdictiontoensureuniformityofprocedures;

c. Supervising,monitoringandinspectingregistrarofficeswithintheirjurisdiction;and

d. Hearingappealsofdecisionsofregistrarswithintheirjurisdiction.

242. Registrars,attheregionaland/orlocallevel,shouldhavethepowertodeployresourcesasneededtoreachremoteorunderservedarea.Mobileunitsshouldbeallowedforregistration.252Wheredistanceandterrainarefactors,localregistrarsshouldbeauthorizedtotravelthroughtheirdistrictinregularroundstocaptureunregisteredvitalevents.253

(iv) Coordinationamongstakeholders243. InlightofthemultiplestakeholdersinvolvedinCRVSIDsystems,itisimportanttohaveacoordinatingmechanismfortheiractivities.Closecoordinationandcollaborationacrossgovernmentagenciesimprovesthetimelyandefficientflowofinformation;aidsproductionoftimelyandaccuratestatistics;avoidsduplication,errorsoromissions;andensuresconcepts,definitions,andclassificationsareconsistentnationally.254Coordinationshouldtaketheformofaninteragencycommittee,comprisingrepresentativesofallagenciesinvolved,whichmeetatleastannuallytodiscussmattersaffectingtheagencies.255However,othercoordinationmethodsmayalsobeincludedinlegislation(forexample,empoweringasinglegovernmentagencytocoordinatetheactivitiesofCRVSstakeholdersandobligingstakeholdersto                                                            252PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph348.253PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph329.254PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph41,48.255PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs52,319‐22.

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collaboratewiththecoordinatingentity).Anycoordinatingmechanismshouldbeestablishedonapermanentbasis,meetregularly,andhavelegalstatusasmandatedbylaw.256

244. Theremayalsobecoordinationonspecifictopics.Forexample,aNationalMortalityWorkingGroupcanplayakeyroleinimprovingthecompletenessandqualityofmortalitydata,whichiscriticaltopublichealthdecision‐making.SuchagroupcouldcoordinateeffortstointroduceandrollouttheuseoftheWorldHealthOrganization’sInternationalFormofMedicalCertificateofCauseofDeath(MCCOD);introduceverbalautopsy(VA)useinacountry;andcoordinatemedicalcertificationofcauseofdeathtraining.Similarly,aVerbalAutopsyCommitteecanplayakeyroleinimprovingthecompletenessandqualityofmortalitydata.AworkinggrouporgroupsmaybeestablishedthroughtheCRVSIDlegislationorregulations,orthroughanothermechanism.Aworkinggroupmaybepermanentortime‐limited,dependingonthenatureoftheissueitismeanttoaddress.

(v) GeneralProvisionsandAdministrativeInfrastructureSummary245. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.Asimilarchecklistwillbeincludedattheendofeverysection,andinsomecasessub‐sections,throughouttheseGuidelines.

GeneralProvisionsandAdministrativeInfrastructure Yes/No

Areallbirths,deaths,foetaldeaths,marriagesanddivorcesrequiredtoberegistered?

Arebirth,death,foetaldeath,marriageanddivorcedefinedinaccordancewithUnitedNationsdefinitions?

Isacompulsory,universal,continuousandpermanentsystemofcivilregistrationestablished?

Dotheprinciplesofprivacy,confidentiality,accountabilityandtransparencyapplytotheCRVSIDsystem?

ArecertificatesandidentitydocumentsissuedbytheCRVSIDauthoritiesestablishedaslegallyvalidproofofvitaleventsandindividualidentity?

Arethefunctionsofestablishing,operating,andmaintaininganationalcivilregistrationsystem,anationalvitalstatisticssystem,andanationalidentitymanagementsystemexpresslyassignedtoagovernmentagencyoragencies?

Doesthecentralagencyoragencieshaveauthoritytoissueregulationsinordertooverseeoperationofthesystem?

Isthenationalregistrarauthorizedtodelegateauthoritytoregionalandlocalregistrars?

Doesthelocationofprimaryregistrationofficescorrespondtominorcivildivisions?

Doesthenational,regionalorlocalregistrarhavethepowertoestablishsecondaryregistrationofficesandauthorizemobileregistrationunits?

Arethereclearrequirementsandstandardsgoverningthequalificationsandconductofnational,regionalandlocalregistrars?

Areregistrarsfull‐timecivilservantsandadequatelycompensated?

Arethepowersanddutiesofregistrarsatthenational,regionalandlocallevelclearlydefined?

                                                            256HandbookofVitalStatisticsSystemsandMethods:Vol.I,Legal,OrganizationandTechnicalAspects,UnitedNationsPublication,SalesNo.E.91.XVII.5,UnitedNations,1991,paragraph270.

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HasacoordinatingmechanismorbodyconsistingofrepresentativesofallstakeholdersintheCRVSIDsystemsbeenestablished?

SECTION2.CIVILREGISTRATION

A. REGISTRATIONOFBIRTH246. Birthregistrationistheformalactofrecordingthefactsofabirthinthecivilregister.Thepersonwhonotifiestheregistraroftheeventisreferredtoasthe"informant".Theprocessbywhichtheinformantreportstheeventtothecivilregistrarissometimesreferredtoas"notification".Whenabirthisnotified,theregistrarverifiestheinformationprovided,includinganyrequireddocumentation,andthenrecordsdetailsofthebirth,thenewborn,andtheparentsintotheofficialcivilregister.Thesedetailsconstitutethebirthregistrationrecord.

247. Legislationonbirthregistrationshouldaddressallaspectsoftheprocessbywhichabirthisregistered.Thisincludesthefollowingtopics:informantsandprocessesforbirthsthatoccursinahealthfacilityandbirthsthatoccuroutsideahealthfacility,placeofregistration,proofrequiredtoregister,timeallowedforregistration,provisionoflateordelayedregistration,assignmentofauniqueidentitycodeatbirth,informationtobecollectedatregistrationforlegalandstatisticalpurposes,certifiedcopiesofbirthregistration,andspecialproceduresforcertainbirthcircumstances.Thesetopicsarediscussedindetailbelow.

(vi) Informants248. Registrationrecordsshouldbecompletedassoonaspossibleaftertheevent.Thesimplestandquickestmethodtoachievethisistorequireaninformanttoprovidetheneededinformationdirectlytothecivilregistrarsoonaftertheeventhasoccurred.257Theinformantisthepersonwhoreportstothelocalregistrartheoccurrenceofavitaleventwithintheprescribedtimelimit.258Theimportanceoftheinformantisthattheregistrarcanonlyregisteravitaleventonthebasisoftheinformant’sdeclaration,eitherverballyorinwriting.259Thedesignationofaninformantforeachtypeofvitaleventshouldbeestablishedclearlyandunequivocallyinthelegislationtoensurethattherewillbeoneandonlyonepersonprimarilyresponsibleforprovidingtheinformationneededfortheregistration.Notwithstanding,thelawmaydesignatealternativeinformantsandestablishtheorderinwhicheachofthemmustassumehisorherresponsibilities.Theappropriateinformantforalivebirth,inpriorityorderofpreference,is:1)theheadofthehealthfacility(forabirththatoccurredinahealthfacility)orthebirthattendant(forabirththatoccurredoutsideahealthfacility)2)themother,3)thefather,4)thenearestrelativeofthemother,5)anyotheradultpersonhavingknowledgeofthefacts.260

(vii) Processofregisteringbirthsoccurringinhealthfacilities

                                                            257PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph281.258PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph356.259PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph351.260PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph352‐355.

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249. Whenalivebirthoccursinahealthfacility,theheadofthehealthfacilityshouldbetheprimaryinformant.Thiswillhelpachievethegoalofregisteringthebirthassoonaspossibleaftertheevent.Unlikethefamily,whowillbebusywithanewborn,thehealthfacilityshouldbeabletonotifytheregistraralmostimmediatelyafterthebirth.Thelegislationshouldexplicitlystatewhattypeoffacilityisconsidereda"healthfacility"forpurposesofbeinganinformant.Somecountriesdefine"healthfacility"bythenumberofbedscontainedinthefacility;forexample,anyfacilitywithover10bedsmightbeconsideredahealthfacilityforpurposesofbeinganinformant.Othercountriesdefine"healthfacility"bythenumberandtypeofmedicalprofessionalsonstaff;forexample,anyfacilityinwhichamedicaldoctorispresentmightbeconsidereda"healthfacility"forthesepurposes.Whiletheheadofthehealthfacilityisultimatelyresponsibleforensuringthenotificationofthebirth,theyshouldbeabletodelegatethisresponsibilitytostaff.

250. Thelegislationshouldrequirethehealthfacilitytoprovidetothelocalregistrarallthelegalandstatisticalinformationnecessarytoregisterthebirth.Thisinformationisusuallycontainedina“notificationofbirthform”.(SectionJbelow,ContentsofRegister,providesdetailsonthisinformation).Thisinformationmaybeprovidedbyphysicalorelectronicmeans.Theprocessbywhichtheinformationisprovidedshouldbesetoutinregulationsorinstructions,asthiswillallowflexibilitytochangetheprocessasthesystemandtechnologydevelop.

251. Afterreceivingnotificationofabirth,theregistrarshouldverifytheinformationforaccuracyandcompleteness,officiallyregisterthebirth,andissueabirthcertificatetothefamily.261Somecountriesissuethebirthcertificatebymail;othersrequirethefamilytocomepickupthebirthcertificate.Infullydigitizedsystemsitmaybepossibletoissueacertifiedelectronicbirthcertificate.Becausethecertificateissuanceprocessmaychangeovertime,theprocessshouldbesetoutininstructionsinordertoallowmaximumflexibility.(SeeSectionIbelow,BirthCertificate,fordetailsoncertificateformatandissuance).

252. Whileideallythehealthfacilityistheinformant,insomecountriesthismaynotbepossibleduetolackofcapacityorresourcesatthehealthfacility.Forwhateverreason,iflawmakersareunabletoplaceresponsibilityonhealthfacilitiestobetheinformant,atwo‐stepprocessmaybeadopted.Inatwo‐stepprocess,thehealthfacilityissuesanotificationofbirthtothefamilyandtransmits(byphysicalorelectronicmeans)acopytothelocalregistrar.Tocompletetheregistrationprocess,thefamilymustprovideacopyofthenotificationofbirth,andanyotherrequiredinformationanddocumentaryevidence,totheregistrar.Theregistrarshouldverifytheinformationforaccuracyandcompleteness,officiallyregisterthebirth,andissueabirthcertificatetothefamily.Thistwo‐stepprocessmayresultinlowerregistrationrates,asfamiliesmaynotcompleteregistration.However,becausetheregistrarhasbeennotifiedofthebirthbythefacility,itwillbeawareofunregisteredbirths.

253. Witheitherprocess,thelegislationshouldbroadlydescribetheprocessbutleavethedetailsoftheprocesstobedescribedinregulationsorinstructions.Forcountriestransitioningfromapapertocomputerizedsystem,bothmanualandelectronicproceduresmayhappeninparallelforseveralyears.Therefore,thelegislationshouldavoidlanguagethatrequiressubmissionortransmissionofdocumentstobeeitherapaperordigitalformat.Inaddition,leavingthislevelofdetailtotheregulationsorinstructionswillallowflexibilityinamendingtheprocessastechnologyadvances.262

                                                            261PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph93‐97.262Foranin‐depthdiscussionoftheregistrationprocessforbirthsinahealthfacility,seePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph93‐97.

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254. Thenotificationofbirthformshouldnotbecontainedinorappendedtothelegislation.Rather,theformshouldeitherbeappendedtotheregulationsorincludedininstructionsfromthenationalregistrar.Thiswillallowforeaseofamendment.DataelementsrecommendedtobeincludedinanotificationofbirthformaresetoutinAnnexA.

(viii) Processofregisteringbirthoccurringoutsidehealthfacilities255. Birthsthatoccuroutsidehealthfacilitiescanbegroupedintotwocategories:thosethattakeplacewiththeassistanceofabirthattendantandthosethattakeplacewithoutabirthattendant.Manycountrieshaveincreasedtherateofregistrationofbirthsthatoccuroutsidehealthfacilitiesbyplacingresponsibilityonbirthattendantstonotifytheregistrarofbirthsinwhichtheyareinattendance.Thisallowsforquickernotificationofthebirthbyrelievingthefamilyoftheburdenoftravellingtotheregistrationofficesoonafterthebirthofachild.Forbirthswithoutanattendant,theparentsremaintheprimaryinformant.Thesetwoprocessesaredescribedbelow.

256. Forlivebirthsoccurringoutsideahealthfacilitywithabirthattendant,suchasadoctor,midwifeortraditionalbirthattendant,legislationshouldplacetheresponsibilityontheattendanttobetheprimaryinformantortonotifytheregistrarofthebirth.Ifthebirthattendantistheprimaryinformant,thelegislationshouldrequiretheattendanttoprovidealltheinformationrequestedinthenotificationofbirthformandanyotherrequiredevidence.Theregistrarshouldverifytheinformationforaccuracyandcompleteness,officiallyregisterthebirth,andissueabirthcertificatetothefamily.

257. Insomecountries,whereitisnotpracticaltohavebirthattendantsactasinformants,birthattendantsnotifytheregistrarofbirths.Aswiththeequivalenttwo‐setprocessinfacilities,thisprocessisverylikelytoreduceregistrationcoverageasitreliesonthefamiliestogototheregistrarfortheregistration.Iftheattendantisrequiredtonotifyabirth,theattendanttransmitsanotificationofbirthtotheregistrarandgivesacopytotheparents.Theparentsthencompletetheregistrationprocessbyprovidingthecopyofthenotificationofbirthtotheregistrarandanyotherrequiredinformationanddocumentaryevidence.Theregistrarverifiestheinformationforaccuracyandcompleteness,officiallyregistersthebirth,andissuesabirthcertificatetothefamily.

BoxX.Gambia.RoleofHealthWorkers

InGambia,theregistrationlawmandatespublichealthofficerstoactasdeputyregistrars,whoarechargedwithcollectingtherequireddetailsandfillingoutregistrationforms.

258. Thelegislationorregulationsshouldprovideaprocessifthebirthattendantisunabletocompletethenotificationofbirthformduetoilliteracyorotherreasons.Inthisinstance,themother,thefatheroracloserelativeshouldreporttheeventtothelocalregistrar,whopreparestheofficialbirthrecordintheregister.Likewise,Ifthereisnobirthattendant,themotherorthefatheristheinformantandshouldprovidetotheregistrartheinformationrequestedonthenotificationofbirthform,togetherwithanyotherrequireddocumentation.

259. Placingprimaryresponsibilityonparentstoreportbirthscanresultinlowregistrationrates.Manycountrieshaveseenbirthregistrationratesrisebydeputizinghealthworkers‐includingvaccinationworkers,nurses,doctorsandotherhealthprofessionalswhoseenewbornsforpaediatricvisits‐asinformants.Ifthesehealthworkersseeaninfantwhohasnotbeenregistered‐whetherduringavaccination,paediatricvisitorotherreason‐theycanusetheopportunitytoregisterthechild.SeeBoxXfordetailsoftheuseofhealthworkersasinformantsinBangladeshandRwanda.

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260. Aswithin‐facilitybirths,thelegislationshouldbroadlydescribetheprocessforregistrationofoutoffacilitybirths,leavingthedetailsoftheprocesstobedescribedinregulationsorinstructions.

(ix) Placeofbirthregistration261. Legislationshouldstatewhereregistrationofabirthmusttakeplace.Traditionally,legislationhaslimitedregistrationofvitaleventstoaprimaryregistrationareainacertainlocation.Theregistrationofavitaleventcanbebytheplaceofoccurrenceorbytheplaceofusualresidence.Mostcountrieshaveadoptedtheplaceofoccurrenceasanormfortheregistrationofbirths,deathsandfoetaldeaths,asthisfacilitatesandacceleratestheregistrationprocessbyputtingcivilregistrationwithinreachofthepopulation.263However,asCRVSIDsystemsbecomemorenetworkedwithincountries,itmaybepossibletoregisteravitaleventatanypointwheretheinformantcanaccessthesystem,astheinformationwouldgodirectlytoacentraldatabase.264

262. Legislationshouldgenerallyprovidethataninformantshouldnotifyabirthattheregistrationofficeinthelocationwherethebirthoccurred.However,draftersofthelegislationmaywhichtoallowforflexibilityregardingplaceofbirthregistrationandpermit,throughregulation,notificationatanylocationwheretheregistrationsystemmaybeaccessed.

(x) Proofrequiredforbirthregistration263. Registrarsshouldrequireproofastotheveracityoftheinformationtoberegistered.Theprooforevidencerequiredforregistrationmustbesufficientlystringenttoprovideassuranceoftheaccuracyoftheinformationwithoutbeingsoburdensomeastodiscourageorpreventregistration.Verificationoftheoccurrenceofavitaleventcanbeachievedthroughdocumentaryororalevidence.Documentaryevidenceisalwayspreferred.Forbirthregistration,themostcommonformofdocumentaryevidenceisthenotificationofbirth.However,ifthisisnotavailable,testimonyoraffidavitsofwitnessesmaybesubstituted.265,

264. Ifahealthfacilityorbirthattendantistheprimaryinformantandnotifiestheregistrardirectlyofabirth,withnoactionneededbytheparents,theprovisionoftheinformationinthenotificationofbirthformissufficientfortheregistrartorecordthebirthintheregistry.However,ifthemotherorfatherofachildistheprimaryinformant,thehealthsectorshouldbeobligedtoissueanotificationofbirthtotheparents,freeofcharge,forallmedicallyattendedbirths.Thisincludesbirthsattendedbyamidwifeortraditionalbirthattendant.Anotificationofbirthconstitutescriticaldocumentaryevidenceoftheoccurrenceofabirth,whichcanbeusedtosatisfycivilregistrationverificationrequirements.Consequently,itisimportantthatitbeissuedfreeofchargeandinauniformformatthroughoutthecountry.

265. Thelegislationorregulationsshouldspecifywhetheranyproofisrequiredinadditiontothenotificationofbirth,suchasanidentitycardorbirthcertificateofthemotherand/orfather.Itisimportantthatdocumentaryevidencerequirementsnotpreventtheregistrationofabirth.Therefore,ifadditionalevidenceisrequired,theregulationsshouldallowforalternativeevidenceifthemotherorfatherdoesnotpossesssuchdocumentation.Theregistrarshouldbe

                                                            263HandbookofVitalStatisticsSystemsandMethods,volumeI:Legal,OrganizationandTechnicalAspects,UnitedNationsPublication,SalesNo.E.91.XVII.5,UnitedNations,1991,paragraph177‐179.264PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph92.265PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph189‐192,365–366,368.

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authorizedtousediscretiontocompletetheregistrationprocesswiththeinformationavailable,inaccordancewithguidelinesissuedbythenationalregistrar.

(xi) AssigningofUniqueIdentityCode266. Anindividualentersintotheidentitymanagementsystematbirthwiththeassignmentofauniqueidentitycode(UIC).AUICisassignedtoonlyoneperson,andapersonshouldhaveonlyoneUIC.Thiscodeisassignedtoanindividualforlifeandgenerallycannotbechangedexceptunderspecifiedcircumstances,suchasidentitytheft.TheassignmentofaUICatbirthfacilitatesthelinkageofrecordsintheCRandIDsystems.

Dependingonthecountry,aUniqueIdentificationCode(UIC)maybereferredtoasaUniqueIdentificationNumber(UIN),PersonalIdentificationNumber(PIN),orsimilarterm.Bycontrast,theUNHandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,usestheterm"PIN"fortheidentifierassignedtoeachpersonbythegovernment.Inthisdocument,toavoidconfusion,weusetheterm“UIC”torefertotheidentifierassignedbythegovernmenttoindividuals.Somecountriesuselettersandothercharactersinadditiontonumbersintheidentifier,sothisdocumentusestheinclusiveterm“code”ratherthan“number.”InadditiontoaUIC,somesystemsuseanadditionalcharactersequencetoauthenticatetheidentityoftheindividual.Thisclosely‐guardedcodeisoftenknownasaPIN.Forexample,inEstonia,allpersonsareassignedaUICatbirth,andlaterinlifeselecttwoPINsthatareattachedtotheiridentitycredentialforpurposesofauthentication.Todistinguishbetweenthesetwotypesofcharactersequences,weuse"UIC"torefertothecharactersequenceassignedforlifetoallpersonsinthepopulationand"PIN"torefertoapersonalidentificationnumberusedforauthenticationorotherpurposes.

267. AUICmaybegeneratedbyeitherthecivilregistrationortheidentitymanagementagency(ifseparateentities).IfthecivilregistrationagencygeneratesandassignsaUICtoanewborn,theregistrarshouldsendtheUICalongwithbirthinformation(suchasname,dateandplaceofbirth,andnameofmother/father)totheidentitymanagementagency.IftheidentitymanagementagencygeneratestheUIC,theregistrarshouldsendarequesttotheidentitymanagementagency,whichthenissuesaUICandsendsittotheregistrar.Theregistrarthenentersthisinformationintothebirthrecord.266RegardlessofwhichentitygeneratestheUIC,legislationshouldrequiretheregistrartoensurethataUICisassignedandenteredintothebirthrecordforeverychildbornwithintheterritoryofthecountry,regardlessofcitizenship,ethnicity,nationality,orresidencystatus.

268. LawmakersshoulddeterminehowtheUICwillbeprovidedtotheparents.Forexample,theUICmaybeincludedonthebirthcertificateormaybeprovidedonaseparatedocument.TheprocessbywhichtheUICisprovidedtoparentsisbestcontainedinregulationsorprocedurestoallowforchangestotheprocessovertime.

(xii) Registrationdeadlines269. Thelegislationshouldspecifyatimeperiodinwhichabirthmustbenotified.Uniformprocessesandtimeperiodsfornotificationofvitaleventsshouldbeappliedthroughoutthecountry.Themaximumtimeperiodallowedfornotificationshouldbeasshortaspossiblesoastofacilitatecurrentandaccurateregistration.Deadlinesfornotificationareoftenbetween14‐30days,butvarybycountry.267

                                                            266FormoreinformationonoperationalproceduresforlinkthebirthregistrationrecordandUIC,seeIntegratingUniqueIdentificationNumbersinCivilRegistration,WorldBank,2018,pages15‐19.267HandbookofVitalStatisticsSystemsandMethods,volumeI:Legal,OrganizationandTechnicalAspects,UnitedNationsPublication,SalesNo.E.91.XVII.5,UnitedNations,1991,paragraphs180‐184.

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270. Asapracticalmatter,hospitalsandhealthfacilitiesshouldbeabletonotifybirthsalmostimmediatelyifthesystemiscomputerizedandlinkedtotheregistrar,whilenotificationofout‐of‐facilitybirthsoftentakelonger.Toaddressthis,thelegislationshouldprovideamaximumtimeframeinwhichabirthmustbenotifiedandtheregulationsmaysetashortertimeframeforspecificcircumstances,suchasbirthsinfacilitieswithcomputerizedsystems.

(xiii) Lateanddelayedregistration271. Themoretimethatpassesbetweentheoccurrenceofavitaleventandregistration,thelesslikelytheinformationprovidedabouttheeventwillbeaccurateandtrustworthy.Thereforeeveryeffortshouldbemadetoensureregistrationoccursasearlyaspossible.However,despitebestefforts,lateanddelayedregistrationsmaystilloccur.

272. Alateregistrationoccursafterthelegallyspecifiedtimeperiod,butwithinagraceperiod,usuallyconsideredoneyearafterthevitalevent.Delayedregistrationoccursafterthegraceperiod.Thelegislationshouldmakeprovisionsforthehandlingoflateanddelayedbirthregistration.Whilelateanddelayedregistrationshouldbediscouragedsothatvitaleventsareregisteredinatimelymanner,theproceduresshouldnotbesorestrictivethattheypreventlateanddelayedregistrationofevents.Lawmakersshouldtakeaccountofthedifficultiesinfindingorverifyingevidenceofpasteventswhilestrivingtomaintaintheintegrityoftherecords.Theseprovisionsshouldindicatetherequireddocumentaryevidencethatmaybeacceptable,basedonthelengthoftimeofthedelay.268

273. Ifabirthisnotifiedwithinoneyearofthedateofthebirth,andthebirthoccurredinahealthfacilityorwithanattendant,thelegislationshouldallowforregistrationwithanotificationofbirth.Ifthebirthwasathomewithoutanattendant,thelegislationshouldallowforregistrationwithprovisionoftheinformationrequestedinthenoticeofbirthform,andmayrequireadditionalevidence,suchasawitnessstatement.269

274. Afterayearhaspassed,legislationshouldrequireadditionalproofofthefactsofthebirth.Proofmayincludeanaffidavitofthosepresentatthebirth,amedicalrecordduringpregnancyorarecordofasubsequentpaediatricvisit,andsomeformofproofofresidencyatthetimeofbirth,suchasarentagreementorstatementfromavillageleader.270Insomecountries,fordelayslongerthanoneyear,thelegislationmayrequirejudicialproceduresanddecisions.However,thiscouldcreateabarriertoregisterabirthafterayear,particularlyinareaswherethenearestcourthousemaybeagreatdistanceaway.Whileevidencerequirementsshouldbestringentforlateanddelayedregistration,proofofbirthshouldnotbesoonerousastodisincentivizebirthregistration.Lawmakersmustbalancetheseconcernswhendraftingregulationsorinstructionsforlateanddelayedregistration.

(xiv) Birthcertificate275. Akeyresponsibilityoftheregistraristoissuebirthanddeathcertificates,whichserveasofficialevidenceoftheinformationonindividualvitaleventscontainedintheregister.Acertificateisadocument,inpaperorelectronicformat,issuedbytheregistrarandcontainingallorpartoftheexactinformationcontainedontheoriginalvitalrecord,andwhich,whenissuedbytheregistrar,hasthefullforceandeffectoftheoriginalvitalrecord.271Thesecertificatescancomeinseveralforms,includingacomputerprintout,aphotocopyorreproductionofthe

                                                            268PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs369‐374.269HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph103.270HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph161.271ModelStateVitalStatisticsActandModelStateVitalStatisticsRegulations,2011Revision,DepartmentofHealthandHumanServicesCentersforDiseaseControlandPrevention,2011,section2(c). 

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originalrecord,oraseparateformwithhandwrittenortypedinformation.Legislationshouldrequiresecuritymeasuresbeputinplaceforcertificateissuance(bothhardcopiesandelectronic)tominimizefraud.Thespecifictypeofsecuritymeasuresshouldbeaddressedinregulationsorinstructionstomaintainflexibility.Todetercounterfeitingofpapercertificates,safetypaper(paperthathasbeenspeciallypreparedtoreadilydiscloseerasures)shouldbeusedandcloselycontrolled.272Certificatesretrievedorreceivedelectronicallyshouldcontainothertypesofsecurityfeatures,suchasadigitalseal,chainorcode.273SeeBoxXforanexampleofeffectivesecurityfeaturesfoundintheelectronicretrievalsystemimplementedbytheCivilRegistrationandIdentificationServiceofChile.

BoxXChile.SecurityfeaturesintheproductionofcertifiedcopiesbytheCivilRegistrationandIdentificationService(SRCI)

TheCivilRegistrationandIdentificationServiceperformsregistrationandcertificationofvitaleventsbymeansofacentraliseddatabase.Whentheuniqueidentitycode(UIC)oftheregistrantisintroduced,thesystemautomaticallyfillsinthefieldsthatcanberetrievedfromfamilymembers’records.Thesefieldsarehardcoded,soonlyauthorisedregistrarscanmodifythem.Inordertoobtaincertifiedcopies,userscanaccessapublicdatabaseonline,wheredocumentscaneasilyberetrieved.Downloadeddocumentscontainadigitalverificationcodethatcanbereadandvalidatedbyotherserviceproviders,suchashealth,insuranceandeducationinstitutions,amongseveralothers.Thus,thesecurityfeaturesofthepaperaregivendiminishedattentionincomparisonwiththedigitalseal,chainorcode,whichallowsnotonlyverificationofthevalidityoftheinformationcontainedinthedocument,butalsoallowsforelectronictransmissionofthedata.Thissystemalsoenablestheobtainingofcertifiedcopies,recognisedbytheHagueApostilleConvention,fromoverseas.

276. Dependingontheinformationrequired,thecertificatemaycontainalltheinformationfromtheregister(fullorlong‐form)orlimitedinformation(partialorshort‐form).Theshortformmight,routinely,betheformofchoiceforprovidingcopies,exceptincircumstanceswheretheentireformisrequiredforaparticularlegaloradministrativeuse.Theformofthebirthcertificate‐longandshortform‐shouldbeincludedinregulationsorinstructionsratherthanthelegislationtopermitchangestotheformovertimeifnecessary.

277. Partialorshort‐formsmaycontainonlyinformationthatisinthepublicdomain–suchasfullname,nameofparents,sex,andplaceanddateofbirth.However,otherinformationcontainedinthelongform‐suchasissuesofpaternityandwedlock‐maybesensitiveanddisclosuretothewrongpersoncouldviolatetherighttoprivacy.Onlytheimmediatefamily,spouses,heirs,ortheirlegalrepresentatives,andthirdpartieswithalegitimateinterest,shouldhaveaccesstosuchsensitiveinformation.Governmentagenciesmayalsorequiresuchinformationforlegitimatepurposes.Thelocalregistrarshouldhaveauthoritytodeterminethelegitimacyofrequestsforcertificatescontaininginformationnotinthepublicdomain,inaccordancewithguidelinesissuedbythenationalregistrar.

278. Legislationshouldrequiretheregistrar,uponcompletionofregistration,toissueanoriginalbirthcertificatetotheparentsofthechildfreeofcharge.Ideally,thelocalregistrarhaspowertoissueabirthcertificate,asthiswillshortenthetimeframeofcertificateissuance.However,insomecountries,thelocalregistrarlackstheresourcesorcapacitytoissuethecertificate.Forexample,thelocalregistrarmaynothaveasufficientsupplyofsecuritypaperorthecertificateformorthemeanstoprinttheseforms.Intheseinstances,thecentralauthorityissuesthebirthcertificate,whichisthensenttothelocalregistrartobecollectedbytheparents.However,thiscancausesubstantialdelaysincertificateissuance.Asthecertificatecan

                                                            272PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph416.273HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph169.

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beanincentivetoregister,delayincertificateissuancecandepressratesofregistration.Thereforeproceduresshouldbeputinplacetofacilitatetheissuanceofcertificatesatthelocallevel.

279. Originalbirthcertificatesmaygetlostordestroyedovertimeandthereforeitisimportanttohaveaprocessfortheissuanceofaduplicatebirthcertificate.Informationnecessaryforcertificationmightbecontainedonlyinthelocalregisterwherethebirthwasregisteredifcommunicationbetweenthelocalandcentralregisterisinfrequent.Orinformationmaybecontainedalsointhecentralregisterifthereiseffectivecommunicationbetweenthelocalandnationallevel.Ifinformationiscontainedinthecentralregister,itispossiblethatitcouldbeaccessedfromanylocalregistrationlocation,whichmakestheprocessofrequestingaduplicatecertificateeasierforthosewhonolongerresideattheplaceofregistration.Therefore,stepsshouldbetakentospeedupprocessingandinformationsharingbetweenthelocalandnationallevel,inbothmanualandelectronicsystems.Thiswillallowtheswiftprocessingofduplicatecertificaterequestsfromanyregistrationdistrict,notjustthedistrictwherethevitaleventwasregistered.Regulationsorinstructionsshouldsetoutthespecificprocessforobtainingaduplicatebirthcertificate,andshouldaddressfromwhatdistrictofficeaduplicatecertificatemayberequested.

280. Thetraditionalmethodforrequestingacertificateinvolvedwalkingintothelocalregistrationofficeandrequestingthecopyatthecounter.Manycountries,however,havedevelopedadditionalprocedurestoaccommodatethepublic,suchasrequestsbymail,telephone,oronline.Whendevelopingalternativeformsofrequestingandprovidingcertificates,policymakersshouldensuretheprivacyandconfidentialityoftheprocess,aswellasestablishameanstoverifytheidentityoftherequester.274Theseproceduresarebesthandledininstructionsinorderretainmaximumflexibility.

(xv) Contentoftheentryinthebirthregister281. Informationprovidedbytheinformantduringnotificationisenteredintotheregisterandconstitutesthebirthregistrationrecord.Inatraditionalmanualregistrationprocess,alocalregistrarpreparestwodocuments‐avitaleventregistrationrecordandthecorrespondingstatisticalreport.Theregistrationrecord,duetoitslegalfunction,ispermanentlyfiledandstored.Thestatisticalreportisforwardedtotheagencyresponsibleforcompilingvitalstatistics.However,ascivilregistrationbecomescomputerized,thesetwocomponentsaremergingintoonecomputerizedinputinthesystem.Wheretheregistrationdocumentandthestatisticalreportarecombinedinasingleform(orsingleinputinthesystem),acleardistinctionshouldbemadebetweenthelegalandstatisticalcomponents.Thisisimportantbecausecertificatesaresubsequentlypreparedfromthecombinedform.Certificatesshouldcontainonlythelegalportionoftherecords;itemsthatarerelevantonlyforstatisticalpurposesmustnotbereproducedoncertificates.275

282. ThePrinciplesandRecommendationsforaVitalStatisticsSystemprovidesrecommendationsondataelementsthatshouldberecordedforstatisticalpurposes,includinghigh‐prioritytopicsaswellastopicsthatarealessurgentgoal.276ThesetopicsaresetoutinAnnexAandshouldbeincludedinthenotificationofbirthform.Theinformationforthelegalcomponentisminimal,andusuallyconsistsof:givenname,surname,dateofbirth,birthplace,sex,andnameofparents.

                                                            274HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs172‐174.275PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs374‐377.276PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph66,TableIII.1

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283. Whiletheregistrarshouldstriveforcompletelegalandstatisticalinformation,aninformant'sinabilitytoprovideinformationforanyonedatafieldshouldnotpreventregistration.Forexample,whileitispreferablethatinformationonbothparentsisprovided(inaccordancewiththeConventionontheRightsoftheChild),birthregistrationshouldnotbedeniedifthemothercannotorwillnotnamethefather,orifthefatherrefusestoacknowledgethechild.Similarly,ifaninformantisunabletoprovideinformationonotherdataelementsinthenotificationofbirthform‐forexample,theweightofachildbornathome‐thisshouldnotpreventregistration.Accordingly,registrarsshouldbeauthorizedtocompleteregistrationwiththeavailableinformationinordertofulfiltheirdutytostriveforuniversalregistrationcoverage.Thenationalregistrarshouldissueguidelinesoncompletionofregistrationwithmissinginformation,suchasamissingnameincasesofdelayednaming(seebelow),questionsofnationalityandcitizenship,andmissingpaternityinformation.

284. Inadditiontotheinformationregardingthecharacteristicsofthebirthandtheparents,dataelementsshouldinclude:informationregardingregistrationarea(territorialdistrict)andlocaloffice;numberofrecord;dateandplaceofregistration;identityofregistrant;andidentityoftheregisteringofficer.277

285. Legislationshouldnotprescribethepreciseformoftheregister‐incontrasttodataelementstobecaptured‐asthismaybeoverlyprescriptiveandpreventchangesintheformoftheregisterastechnologyadvances.

(xvi) Birthcircumstancesrequiringspecialproceduresi. Delayednamingandpermissiblenameofthechild

286. Achildhastherighttoanamefrombirth.However,inmanycommunitiesacrossdifferentcountrieschildrenarenamedonlyafteracertainperiodoftimefollowingtheirbirth,rangingfromafewdaystoseveralweeks,basedonvaryingreligiouspracticesandcustomaryorsocialnorms.Registrationlawsthatrequireregistrationwithanamecanhinderbirthregistrationinthosecommunitiesthatdelaynamingoftheirchildren.Toovercomethis,legislationmayallowtheregistrationofabirthwithoutaname(i.e.BabyGirlorBabyBoy)orwitha“temporary”nameandthenprovideaseparatecut‐offdateforinsertionofanamefollowingaspecifiedprocesssetoutinregulationsorinstructions.278

287. Countriesmayhavealawonpermissiblenamesforachild,whichmaygovernthegivennameandfamilyname.Registrarsshouldbeawareofthesesubstantivelaws.However,anyrequirementthatababymustusethesurnameofthefathermayhinderorpreventregistration.Ifthemotherisunableorunwillingtonamethefather,sheshouldbepermitteduseherfamilynameorachosenfamilyname,andregistrationshouldnotbedenied.Thenationalregistrarshouldissuanceinstructionsonpotentialissuesthatcanarisewiththenamingofachild.

ii. Registeringbirthofanintersexchild288. Intersexisacollectivetermusedformanynaturalvariationsinsexcharacteristicsandbodilycharacteristicsthatdonotmatchstrictmedicaldefinitionsofmaleorfemale.Thesecharacteristicsmaybechromosomal,hormonaland/oranatomicalandmaybepresenttodifferingdegrees.Manyvariantsofsexcharacteristicsareimmediatelydetectedatbirth,oreven

                                                            277HandbookofVitalStatisticsSystemsandMethods,volumeI:Legal,OrganizationandTechnicalAspects,UnitedNationsPublication,SalesNo.E.91.XVII.5,UnitedNations,1991,page23.278HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs155‐156.

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before.Sometimesthesevariantsbecomeevidentonlyatlaterstagesinlife,oftenduringpuberty.Thesearenaturalvariationsandintersexisnotamedicalcondition.279

289. Issuingabirthcertificatewithanassignedsexatbirthcanhaveanimpactonthefundamentalrightsofintersexpeople.Whenbasicaspectsofaperson’slegalstatus(e.g.birthordeathregistration),socialstatus(e.g.accesstoservices)orhealthconditionsaredefinedbythesexbinaryclassificationofbeingeither"male"or"female",intersexpeopleareoftendiscriminatedagainst.Thisisbecausetheirsexcharacteristicscausethemtofalloutsideofthisclassification.Itcanalsoleadtograveviolationsoftheirrightstophysicalandpsychologicalintegrityandotherfundamentalhumanrights.Therequirementtoclassifyachildaseithermaleorfemaleatbirthhascausedintersexpeopletobesubjectedtocosmeticandothernon‐medicallynecessarysurgeryininfancy,resultinginirreversiblesexassignmentandoftensterility,withoutinformedconsentofeitherthepersoninquestionortheirparentsorguardians.280

290. Recognizingthat therequirementtoassign"male"or"female"sexat birthcanleadtodiscriminationagainst intersexpeople,somecountrieshavechanged theirbirthregistrationpractices.Atleastfive EuropeanUnionMemberStatesnowallowasex‐ neutralidentificationtoberegisteredinbirth certificates,including"unknown"or"unclear"or leavingthesexdesignationblank.SeeBox X.IntersexBirthRegistration.However,leavingsexdesignationblankmayalsoviolaterights.InNovember2017,Germany'shighestcourtruledthatrequiringbirthregistrationaseithermaleorfemaleorleavingthesex‐markerblankviolatedtherighttopersonality,whichincludesgenderidentity.Thecourtruledthecountrymustprovideathirdgenderoptionbesidemaleorfemaleinthenation'sbirthregisterordispenseentirelywithinformationongenderincivilstatus.Advocacyaroundintersexregistrationisevolvingandtherearedifferingviews.Whilesomeadvocateforathirdgenderoption,someadvocatesfeelthatathirdsex‐markeroptionisstigmatizingandadvocatethatsex‐markersberemovedfrombirthcertificatesandidentitydocumentsentirely.

291. Intersexpeoplewillremainvulnerabletodiscriminationaslongasbirthandotherregistriesdonotrecordsexidentitiesappropriately.Thereforelawmakersshouldconsideralternativestosex‐markersinbirthcertificatesandotheridentitydocumentstoprotectintersexpeople.Thepossibilityofremovingsex‐markersfrombirthcertificatesshouldbeconsidered,oralternativelyincludingagender‐neutralsexmarker.

BoxX.IntersexBirthRegistration.

AtleastfiveEuropeanUnionMemberStatesallowasex‐neutralidentificationtoberegisteredinbirthcertificates.IntheUnitedKingdom,"unknownsex"mayberegistered.InLatvia,sexisnotincludedonthebirthcertificateofanintersexchild;instead‘unclearsex’isallowedinmedicalcertificatesissuedbymedicalstaff.IntheNetherlands,ifthesexofachildisunclear,thebirthcertificatecanstatethatthesexcouldnotbedetermined.Withinthreemonthsofthedateofbirth,anewbirthcertificateshouldbedrawnupandthefirstonedestroyed.Inthenewbirthcertificate,thesexofthechildshouldbementionedbasedonamedicalstatement.Ifnomedicalstatementissubmittedorifthesexcannotyetbedetermined,thenewbirthcertificateshouldindicatethatitisnotpossibletodeterminethesexofthechild.Onceanintersexperson

                                                            279Thefundamentalrightssituationofintersexpeople,EuropeanUnionAgencyforFundamentalRights,2015,page2,availableat:http://fra.europa.eu/en/publication/2015/fundamental‐rights‐situation‐intersex‐people.280Thefundamentalrightssituationofintersexpeople,EuropeanUnionAgencyforFundamentalRights,2015,page5.

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hasdecidedontheirsexidentity,theycanchangetheregistrationinaccordancewiththeCivilCode,butnotimelimitisset.InPortugal'sintersexcases,apersonreportingthebirthatthecivilregistryofficeisadvisedtochooseafirstnamethatiseasilyadaptedtoeithersex.Itisexpectedthatthebirthcertificatewillbeamendedaccordingly,onceasexcanbeattributedwithsomeprecision.281InNovember2017,Germany'shighestcourtruledthatthecountrymustprovideathirdgenderoptionbesidemaleorfemaleinthenation'sbirthregisterordispenseentirelywithinformationongenderincivilstatus.

iii. Registeringbirthsthatoccursinaprison

292. Pregnantprisonersarenotuncommoninfemaleprisons.Itisestimatedthat24,000to60,000womenarepregnantandincarceratedglobally.Likehealthfacilities,theheadofaprisonfacilityshouldberequiredtonotifythelocalregistrarofallvitaleventsthatoccurinaprison.Thisrequirementisparticularlyimportantforbirthbecausewomenwhogivebirthinprisonhavenoopportunitytoregisterthebirthoftheirchildwhileincarcerated.Accordingly,legislationshouldplaceresponsibilityontheheadofaprisontonotifytheregistrarofbirthsthatoccurinprison.Aswithhealthfacilities,theparticularsoftheprocessofnotifyingtheregistrarshouldbecontainedinregulationsorinstructions

iv. Registeringbirthtonationalsoccurringabroad

293. Vitaleventsoccurringtocitizenswhoareabroadtemporarilyshouldberegistered.282Whenachildisborntoparentswhoareresidingoutsidetheircountryofcitizenship,thecountryinwhichthebirthoccurredhasanobligationtoregisterthebirthandissueabirthcertificate.Whilethehomecountryoftheparentswillnotissueanewbirthcertificate,thereshouldbeaprocessbywhichtheparentscannotifythehomecountryofthebirth.Thisisimportantforpurposesofestablishingcitizenshipandreceivingapassportforthechild.Thelegislationshouldprovideaprocessforcitizensresidingabroadtonotifytheregistrar(orthepassportagency)ofthebirthofachild.Thisisusuallyfacilitatedbyacountry'sembassiesandconsulates.Thelegislationshouldaddresswhatdocumentaryevidenceisrequired,suchasabirthcertificateormedicalrecordofbirthfromthecountryofresidenceoraffidavitofabirthattendant.Regulationsshouldalsoaddresstheprocesstobefollowedbytheembassy,includinghowtheinformationistransmittedfromtheembassytothecentralregistrar.

294. Abirthcertificatefromthecountryofresidencemaynotbeintheofficialornationallanguageofthecountryofcitizenship.Acountry'slawsmayrequirecertifiedtranslationofthebirthcertificateandanyotherrequireddocuments,aswellasproofthatthedocumentsarevalid.IfacountryisaPartytotheApostilleConvention,validitymaybeestablishedundertheproceduresoftheConvention.Theregistrarshouldbeawareofanylawsrequiringtranslationandcertificationofvalidity.

v. Registeringbirthoccurringinamovingvehicle

295. Ifabirthoccursinamovingvehicle,suchasaship,airplane,trainorcar,aquestionarisesasto"placeofoccurrence"ofthebirthforregistrationpurposes.Ifthebirthoccursinamovingvehiclewithintheterritoryofthecountry,manycountriesconsidertheplaceofoccurrencetobetheplacewherethenewbornexitsthevehicle.Birthsthatoccurininternationalairspaceorwaterspresentatougherquestion.Somecountriesrequirethatifabirthoccursonaforeignshiporaircraft,thebirthmustberegisteredinthecountryinwhichtheshiporaircraftisregistered.Thelegislationshouldaddressthesequestionsandstatethepresumptionfor"place

                                                            281Thefundamentalrightssituationofintersexpeople,EuropeanUnionAgencyforFundamentalRights,2015,page5.282PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph296.

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ofbirth"forbirthsthatoccurinoronmovingvehicles,bothdomesticallyandinternationally.Forshipsandairplanes,thecaptainorpilotisusuallytheinformant.

vi. Registeringbirthtorefugees,undocumentedmigrants,internallydisplaced,statelesspersons,personsofundeterminednationality,andnomadicpopulations

296. Allbirthsthatoccurinthecountry‐includingbirthstorefugees,undocumentedmigrants,internallydisplacedpersons,statelesspersons,personsofundeterminednationality,andnomadicpeoples‐mustberegistered.Thelegislationshouldcontainspecificprocessesforregisteringthesepopulationsregardlessofwhetherthepersonhaslegalresidencystatus.Forabirthtoamother/fatherwholacklegalproofofidentity(birthcertificate,identitycard)duetostatelessness,internaldisplacement,refugeestatusorotherreasons,thelegislationshouldprovideforalternativeformsofdocumentaryevidenceandwitnessstatementstopermitregistration.283Thelegislationorregulationsshouldalsoallowforregistrationthroughmobileunitsinrefugeecampsandremotelocationstofacilitateregistrationofmarginalizedpopulations.

(xvii) BirthRegistrationSummary297. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

BirthRegistration Yes/NoAretheheadsofhealthfacilitiesresponsiblefornotifyingtheregistrarofbirthsthatoccurinfacilities?

Is"healthfacility"definedforpurposesofdeterminingwhetherafacilityhasaresponsibilityasaninformant?

Arelocalhealthworkersorlocalleadersresponsiblefornotifyingtheregistrarofbirthsthatoccuroutsidehealthfacilities?

Doesthelegislationpermitbirthstoberegisteredattheplaceofoccurrence(orwhereeverthesystemmaybeaccessed)?

Doesthelegislationaddresswhetherdocumentaryevidenceisrequiredtoregisterabirth?

Isauniqueidentitycodeassignedatbirth? Isthereaspecifiedtimeperiodwithinwhichabirthmustbenotified? Isthereaprocessforlateanddelayedregistrationthatspecifiesevidencerequiredtoregisterthebirth?

Areonlypersonswithalegitimateinterestabletoreceiveacopyofaperson'sbirthcertificate?

Doesthelawrequiresecuritymeasuresfortheissuanceofbirthcertificatestominimizetheriskoffraud?

Dolocalregistrarshavetheauthorityandcapacitytoissuebirthcertificates? IstheUnitedNationsrecommendedstatisticalinformationcollectedduringbirthregistration?

Isthereacleardistinctionmadebetweenlegalandstatisticalinformation? Doregistrarshavediscretion,subjecttoguidelines,tocompletetheregistrationprocessifsomerequestedinformationismissing?

Doesthebirthrecordcaptureinformationregardingregistrationarea(territorialdistrict)andlocaloffice,numberoftherecord,dateandplaceofregistration,andidentityoftheregisteringofficer?

                                                            283Forafullerdiscussiononspecialregistrationissuesandthesepopulations,seeHandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs180‐183.

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Isthereaprocesspermittingdelayednamingofachild? Isthereaprocessforregisteringachildasintersexatbirth? Areheadsofprisonsrequiredtonotifytheregistrarofbirthsthatoccurinprisons?

Isthereaprocessfornotifyingabirthtonationalstemporarilyresidingabroad?

Aretherespecialproceduresforregisteringbirthstorefugees,undocumentedmigrants,internallydisplaced,statelesspersons,personsofundeterminednationality,andnomadicpopulations?

B. REGISTRATIONOFFOETALDEATH298. Trackingstillbirthsandotherfoetaldeathsisimportantforstatisticalandpublichealthpurposes,andcountriesshouldthereforemaintainaseparatefoetaldeathregister,includingstillbirths.Becausethesefoetaldeathsareregisteredseparately,stillbirthsandotherfoetaldeathsshouldnotberegisteredinthebirthordeathregistries,astheydonotestablishalegalidentityoraffectcivilstatus.Foetaldeathsareregisteredforstatisticalpurposesonly.

299. Forinternationalcomparability,theWorldHealthOrganization(WHO)recommendsreportingoflatefoetaldeaths–forexample,third‐trimesterstillbirths–at≥1000gbirthweight,≥28completedweeksofgestationand≥35cmbodylength,withbirthweightgivenpriorityovergestationalage.Whilebirthweightandgestationalagearecloselylinked,theycannotbeusedinterchangeably,sincethereisarangeof“normal”birthweightsforagivengestationalageandgender,withsubstantialregionalvariations.Therefore,agestationalagethresholdhasbeenrecommendedasasingleparameter,becauseitisabetterpredictorofviabilitythanbirthweight,andinformationaboutgestationalageismorelikelytobeavailablethanbirthweightforstillbirths.284

300. Theinformantforafoetaldeathisthesameasforalivebirth:1)theheadofthehealthfacility(forafoetaldeaththatoccurredinahealthfacility)orthebirthattendant(forafoetaldeaththatoccurredoutsideahealthfacility)2)themother,3)thefather,4)thenearestrelativeofthemother,5)anyotheradultpersonhavingknowledgeofthefacts.285

301. Aswithalivebirth,theplaceofregistrationofafoetaldeathshouldbetheplaceofoccurrence.However,draftersofthelegislationmaychoosetoprovideflexibilitybyallowingregistrationatanylocationwheretheregistrationsystemmaybeaccessed,ifthesystemissufficientlynetworked.

302. Theprocessforregisteringafoetaldeaththatoccursinafacilityandafoetaldeaththatoccursoutsideafacilityissimilartotheprocessesforanin‐facilityandout‐of‐facilitylivebirth.However,itisrecommendedthatthenoticeoffoetaldeathformcontainsomedatafieldsspecifictofoetaldeath.Forrecommendedinformationtobecollectedforfoetaldeath,seeAnnexA.

303. FoetaldeathsshouldbeclassifiedusingtheWHOapplicationofInternationalClassificationofDiseases(ICD)todeathsduringtheperinatalperiod:ICD‐PM.ICD‐PMaimstolinkstillbirthsandneonataldeathstocontributingmaternalconditions,whereapplicable,inawaythatisconsistentacrossallsettings.Thiswillhelpstandardizeandincreaseinformationon

                                                            284MakingEveryBabyCount:Auditandreviewofstillbirthsandneonataldeaths,WorldHealthOrganization,2016,page18.NotethatThePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2,footnote3referencesanearlierWHOrecommendationonrecordingoffoetaldeaths.Theparagraphabovecontainsthemostrecentrecommendation.285PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs352‐355.

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causesofdeatharoundthecriticaltimeofchildbirth.286Regulationsorproceduresshouldsetouttheprocessforissuanceofafoetaldeathcertificate,asacertificatemayberequiredforburialorcremationofthefoetus.Seeparagraphs67‐72underRegistrationofBirthregardingcertificateissuance.

304. Insomecountries,therecordingoffoetaldeathsishandledbythehealthsectoronly,withoutreportingtothecivilregistrationauthority.Ifthismodelisfollowed,healthfacilitiesshouldreportfoetaldeathstothecentralhealthministry.Thehealthministryshouldprovidefoetaldeathincidenceinformationtothestatisticsagencyonaregular,periodicbasis.Healthfacilitiesshouldalsoprovideamedicalrecordofthefoetaldeathtotheparents,forpurposesofburialorcremationofthefoetus.

305. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

FoetalDeathRegistration Yes/NoArein‐facilityfoetaldeathsthatmeettheweight,weeksand/orbodylengthcriteriaregistered?

Areout‐of‐facilityfoetaldeathsthatmeettheweight,weeksand/orbodylengthcriteriaregistered?

Aretheheadsofhealthfacilitiesresponsiblefornotifyingtheregistrar(orcentralhealthministry)offoetaldeathsthatoccurinfacilities?

Arelocalhealthworkersorlocalleadersresponsiblefornotifyingtheregistraroffoetaldeathsthatoccuroutsidehealthfacilities?

Arefoetaldeathsregisteredattheplaceofoccurrence? Dolocalregistrarshavetheauthorityandcapacitytoissueafoetaldeathcertificates?

Doesthelawrequiresecuritymeasuresfortheissuanceoffoetaldeathcertificatestominimizetheriskoffraud?

IstheUNrecommendedstatisticalinformationcollectedduringfoetaldeathregistration?

Isthereacleardistinctionmadebetweenlegalandstatisticalinformation? Doesthebirthrecordcaptureinformationregardingregistrationarea(territorialdistrict)andlocaloffice,numberoftherecord,dateandplaceofregistration,andidentityoftheregisteringofficer?

C. REGISTRATIONOFDEATH306. Deathregistrationistheformalactofrecordingthefactsofadeathinthecivilregister.Thepersonwhonotifiestheregistraroftheeventisreferredtoasthe"informant".Theprocessbywhichtheinformantreportstheeventtothecivilregistrarissometimesreferredtoas"notification".Whenadeathisnotified,theregistrarverifiestheinformationprovided,includinganyrequireddocumentation,andthenrecordsdetailsofthedeathandthedecedentintotheofficialcivilregister.Thesedetailsconstitutethedeathregistrationrecord.

307. Legislationondeathregistrationshouldaddressallaspectsoftheprocessbywhichadeathisregistered.Thisincludesthefollowingtopics:informants;placeofregistration;theprocessforregisteringdeathsthatoccurinsideahealthfacilityanddeathsthatoccuroutsideahealthfacility;registeringdeathsinemergenciesanddisastersandmissingbodies;determinationandcertificationofcauseofdeath;timeallowedforregistration;provisionoflateordelayedregistration;informationtobecollectedatregistrationforlegalandstatistical

                                                            286MakingEveryBabyCount:Auditandreviewofstillbirthsandneonataldeaths,WorldHealthOrganization,2016,pages17,21.

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purposes;certifiedcopiesofdeathregistration;permitfordisposalofabody;andspecialproceduresforcertaindeathcircumstances.

(i) Informants308. Thedesignationofaninformantforeachtypeofvitaleventshouldbeestablishedclearlyandunequivocallyinlegislationorregulationstoensurethattherewillbeoneandonlyonepersonprimarilyresponsibleforprovidingtheinformationneededfortheregistration.Notwithstanding,thelawmaydesignatealternativeinformantsandestablishtheorderinwhicheachofthemmustassumehisorherresponsibilities.Theappropriateinformantforadeath,inpriorityorderofpreference,is:1)fordeathsthatoccurinahealthfacility‐theheadofthefacility;fordeathsthatoccuroutsideahealthfacilitywithmedicalsupervision‐themedicalprofessional;fordeathsthatoccurredoutsideahealthfacilitywithoutmedicalsupervision‐lawenforcementorcoroner'soffice;2872)thenearestrelative(e.g.,thesurvivingspouseorpartner;orabrother,asister,thefatherormotherofthedecedent),3)anyotheradultpersonhavingknowledgeofthefacts.288

(ii) Placeofregistration309. Thelegislationshouldstatethelocationwheredeathregistrationistooccur.Theplaceofregistrationshouldbetheplaceofoccurrence.However,draftersofthelegislationmaychoosetoprovideflexibilitybyallowingregistrationatanylocationwheretheregistrationsystemmaybeaccessed,ifthesystemissufficientlynetworked.

(iii) Processofregisteringadeathoccurringinhealthfacilities310. Whenadeathoccursinahealthfacility,themosteffectiveapproachtoensurecivilregistrationiscompletedassoonaspossibleistodesignatetheheadofthehealthfacilityasprimarilyresponsiblefornotifyingthecivilregistrarofthedeath.289Aswithbirthregistration,thelegislationshouldexplicitlystatewhattypeoffacilityisconsidereda"healthfacility"forpurposesofbeinganinformant.Somecountriesdefine"healthfacility"bythenumberofbedscontainedinthefacility;forexample,anyfacilitywithover10bedsmightbeconsideredahealthfacilityforpurposesofbeinganinformant.Othercountriesdefine"healthfacility"bythenumberandtypeofmedicalprofessionalsonstaff;forexample,anyfacilityinwhichamedicaldoctorispresentmightbeconsidereda"healthfacility"forthesepurposes.Whiletheheadofthehealthfacilityisultimatelyresponsibleforensuringthenotificationofthebirth,theyshouldbeabletodelegatethisresponsibilitytostaff.

311. Theheadofthefacilityshouldberesponsiblefortransmittingthemedicalcertificateofcauseofdeath(MCCOD)totheregistrar,whichservesthedualpurposeofnotifyingtheregistrarofthefactofdeathandprovidingCODinformation.TheMCCODmaybeprovidedbyphysicalorelectronicmeans.TheprocessbywhichtheMCCODisprovidedshouldbesetoutin

                                                            287Acoronerisresponsiblefortheinvestigationofdeathsbyexternalcausesoccurringwithinaspecificjurisdiction.Dependingonthejurisdiction,acoronermaybeanelectedorappointedofficial,andmaybealegaloramedicalprofessional.Bycontrast,amedicalexaminerisusuallyanappointedofficialwhosedutiesaresimilartoacoronerbutwhoisgenerallyrequiredtohavespecificmedicaltraining(suchaspathology)andisqualifiedtoconductmedicalexaminationsandautopsies.Somejurisdictionsuseacoronersystem,whileothersuseamedicalexaminersystem.Forthosethatuseacoronersystem,thecoronerisresponsibleforoverseeingtheinquirybyamedicalexaminer,forensicpathologist,and/orothertrainedprofessionals.Weusetheterm"coroner"hereintoreferthevarioussystemsofinquiryinplaceacrossjurisdictions.288PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs352‐355.289PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs350.

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regulationsorinstructions,asthiswillallowflexibilitytochangetheprocessasthesystemandtechnologydevelop.

312. AfterreceivingtheMCCOD,theregistrarshouldverifytheinformationforaccuracyandcompleteness,officiallyregisterthedeath,andissueadeathcertificatetothefamily.Somecountriesissuethedeathcertificatebymail;othersrequirethefamilytocomepickupthedeathcertificate.Infullydigitizedsystemsitmaybepossibletoissueacertifiedelectronicdeathcertificate.Becausethecertificateissuanceprocessmaychangeovertime,theprocessshouldbesetoutininstructionsinordertoallowmaximumflexibility.(SeeSectionJbelow,DeathCertificate,fordetailsoncertificateformatandissuance).Inthisone‐stepprocess,theregistrarcompletesregistrationwithoutadditionalstepsbythefamilyofthedeceased.

313. Whileideallythehealthfacilityistheinformant,insomecountriesthismaynotbepossibleduetolackofcapacityorresourcesatthehealthfacility.Forwhateverreason,iflawmakersareunabletoplaceresponsibilityonhealthfacilitiestobetheinformant,atwo‐stepprocessmaybeadopted.Inatwo‐stepprocess,thehealthfacilitysubmitsaMCCODtothelocalregistrarandprovidesacopyoftheMCCODtothefamily.Tocompletetheregistrationprocess,thefamilymustprovidetheinformationrequestedonthenotificationofdeathformtotheregistrar,togetherwiththecopyoftheMCCODandanyotherrequireddocumentaryevidence.Theregistrarmustthenmatchtherecordfromthehealthfacility(theMCCOD)withthecopyoftheMCCODprovidedbythefamily.290Theregistrarshouldverifyallinformationforaccuracyandcompleteness,officiallyregisterthedeath,andissueadeathcertificatetothefamily.Thistwo‐stepprocessmayresultinlowerregistrationrates,asfamiliesmaynotcompleteregistration.However,becausetheregistrarhasbeennotifiedofthedeathbythefacility,itwillbeawareofunregistereddeaths.

314. ThePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,statesthatcauseofdeathinformationmaybedisclosedtocloserelativesonlyandthecivilregistrarmustensuretheconfidentialityofthisinformation.291However,somecountriesmayrestricteventhefamily'saccesstoCODdeathinformationbyusingabifurcatedMCCODform.AbifurcatedMCCODformcontainsasectionforlegalinformationandasectionforstatisticalinformation.Withthistypeofform,theportionoftheformwithlegalinformationissubmittedtotheregistrarwithacopyofthisinformationissuedtothefamily,andthestatisticalinformationissubmitteddirectlytothestatisticsagency.Thereasonforthisisthatcertifiersofcauseofdeath(COD)arelesslikelytobebiasedintheirreportingoftheCODiffewerpeoplehaveaccessandknowledgetothatpotentiallysensitiveinformation.Forexample,aphysicianmaynotfeelcomfortablelistingHIVastheunderlyingcauseofdeathonaMCCODifitweretobehandedtothefamily.Withabifurcatedform,CODinformationgoestothestatisticsagencyonlyandthefamilyandcivilregistrararenotprovidedthisinformation.

315. Witheitheraone‐steportwo‐stepprocess,thelegislationshouldbroadlydescribetheprocessbutleavethedetailsoftheprocesstobedescribedinregulationsorinstructions.Forcountriestransitioningfromapapertocomputerizedsystem,bothmanualandelectronicproceduresmayhappeninparallelforseveralyears.Therefore,thelegislationshouldavoidlanguagethatrequiressubmissionortransmissionofdocumentstobeeitherapaperordigitalformat.Inaddition,leavingthislevelofdetailtotheregulationsorinstructionswillallowflexibilityinamendingtheprocessastechnologyadvances.

316. Thenotificationofdeathformshouldnotbeappendedtothelegislation.Rather,theformshouldeitherbeappendedtotheregulationsorprocedures.Thiswillallowforeaseofamendmentifneeded.Dataelementsrecommendedtobeincludedinanotificationofdeath

                                                            290HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs122‐123.291PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph498.

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formaresetoutinAnnexA.

(iv) Processofregisteringdeathoccurringoutsidehealthfacilities317. Whenadeathoccursoutsideahealthfacility,thereshouldbeaprocessfordeterminingthecauseofdeath(seeparagraphsXXbelow).Thisprocessimpactswhoshouldnotifytheregistrarofthefactofdeath.AsshowninFigure1,adeaththatoccursoutsideahealthshouldbereferredtothepolicetoinvestigateanddeterminewhetherthemannerofdeathissuspicious,i.e.,duetounnaturalcauses.Ifso,thecaseshouldbereferredtothecoroner,whoinvestigatesthedeath,notifiestheregistrarofthedeathandprovidescauseofdeathinformation.

318. Ifthepolicedeterminethedeathwasduetonaturalcauses,thepoliceshouldinquireifthedeceasedhasamedicalrecord.Ifso,themedicalpractitionerwhoprovidedcaretothedeceasednotifiestheregistrarofthedeathandprovidescauseofdeathinformation.Somejurisdictionswillauthorizethelastattendingphysiciantocertifythecauseofdeathandnotifythelocalregistrarwithoutpolicenotificationifthedeceasedwasrecentlyunderthecareofthephysician,withinacertaintimeframe.292Ifthepolicedeterminethatthecasewasduetonaturalcausesbutthereisnomedicalrecord,someentitymustberesponsiblefornotifyingthedeathtotheregistrar.Insomecountries,thecaseisreferredtoalocalcommunityleader,whonotifiestheregistrarofthedeath.Inothercountries,thepolicenotifytheregistrarandattesttothefactthatthedeathwasduetonaturalcauses.Notificationbythepoliceorcommunityleadermightbefollowedupbyaverbalautopsybytheregistrar,communityleader,orlocalhealthofficial.

319. Ifthedeathoccursinanareawheretherearenolocalpolice,ascouldoccurinremoteorveryruralareas,thecaseshouldbereferredtolocalleadersorauthoritiestodetermineifthereisamedicalrecord.Ifso,thesupervisingmedicalpractitionernotifiestheregistrarandprovidesCODinformation.Ifnot,thelocalleadernotifiestheregistrar,andthismaybefollowedupbyverbalautopsy.

Figure1

320. Fordeathsduetobothnaturalandunnaturalcauses,legislationshouldclearlyspecifywhoisresponsiblefornotifyingtheregistrarofthefactofdeath.Thefactofdeathshouldbenotifiedwithintherequiredtimeframeevenifacoroner'sinquiryintocauseofdeathisongoing.                                                            292SeeMedicalExaminers'andCoroners'HandbookonDeathRegistrationandFetalDeathReporting,U.S.DepartmentofHealthandHumanServicesCentersforDiseaseControl,2003Revision,page1.

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AfterreceivingtheinformationrequestedinthenotificationofdeathformorMCCOD,thelocalregistrarshouldverifytheinformationforaccuracyandcompletenessandofficiallyregisterthedeath.Aswithin‐facilitydeaths,thelegislationshouldbroadlydescribetheprocess,leavingthedetailsoftheprocesstobedescribedinregulationsorinstructions.

(v) Processofregisteringdeathsinemergenciesanddisasters,missingbodies,andbroughtindead

321. Emergenciesanddisasterspresentachallengefordeathregistrationbecausetheremaybealargenumberofdeathsthatoccurinashortperiodoftime.Becausethesearedeathsthatoccuroutsideahealthfacility,theymaybereferredtothepoliceandcoroner'soffice,astheprocessdescribedabovefordeathsduetounnaturalcauses.However,becausetheseauthoritiesmaynotbeequippedtodealwithalargenumberofdeathsatonce,emergencyrescueauthoritiesmaybedesignatedastheappropriateentitytoinvestigateandnotifytheregistrarofadeath.

322. Thelegislationshouldspecifywhatentityandpersonisresponsiblefornotifyingtheregistrarofadeathinanemergencyordisaster,e.g.,lawenforcement,coroner'soffice,emergencyrescueagency,ornextofkin.Thespecificprocessfornotifyingtheregistershouldbecontainedinregulationsorinstructions.

323. Missingpersonsshouldbereportedtopolice,whoshouldinvestigatewhetherthepersonmatcheswithanypersoninapolicedatabaseofunknownpersonsbroughtindead,sothedeathofthatpersonmightberegistered.Manycountrieshaveaprocessbywhichacourtmaydeclareapersondeadaftertheyhavebeenmissingforaprescribedperiodoftime.Insuchacase,thecourtshouldberequiredtonotifytheregistrarofthedeclarationofdeath.

324. Whereabodyismissingortherearenohumanremainsduetoanaturaldisasteroremergency,lawsshouldallowforafindingoffactofdeathwithoutthewaitingperiodrequiredforothermissingpersons,withappropriatedocumentation.Forexample,suchdocumentationmightincludeanaffidavitthattheindividualwaslastseenatthesiteofthedisaster,orthatthepersonisonthepassengermanifestofanairplanethathascrashed.Ifthisprocessinvolvesthecourt,thelegislationshouldrequirethecourttotransmitthedeclarationofdeathtotheregistrar.

325. Thelegislationshouldalsoprovideforaprocessfortheregistrationofadeathofapersonthatisbroughtindeadtoahealthfacility.Thelegislationshouldspecificallystatewhetheritisthedutyofthehealthfacilitytonotifytheregistrarofthedeath,orwhetherthehealthfacilityshouldreferthecasetothepolice,whoshouldthennotifytheregistrarofthedeath.

(vi) DeterminationandMedicalCertificationofCauseofDeath326. Understandingthemannerandcauseofdeath(“COD”)foralldeathsiscriticaltoensuringthatusablemortalitydataisavailableinacountry.“Mannerofdeath”categorizesdeathsintoseveralcategories,namelynaturalcauses,accident,suicide,homicideor“mannerundetermined.”Bycontrast,CODprovidesadiagnosisandassignsaspecificcause.CODare“allthosediseases,morbidconditionsorinjurieswhicheitherresultedinorcontributedtodeathandthecircumstancesoftheaccidentorviolencewhichproducedsuchinjuries.”293Countriesshouldstrivetohaveanaccurate,detailed,andlegallyvalidCODandmannerofdeathattachedtoeveryregistereddeath.

327. DeathsthatoccurinhealthfacilitiesunderthesupervisionofaphysiciantendtobethemostlikelytohaveanofficialCODdetermination.Bycontrast,naturaldeathsthatoccurinthehomeorcommunitymaybeespeciallyunlikelytohaveacauseassociatedwiththem.Similarly,intheeventofanaturalorman‐madedisasterorotheremergencyinvolvingmasscasualties,it                                                            293GlossaryofStatisticalTerms,OrganizationforEconomicCooperationandDevelopment,availableat:https://stats.oecd.org/glossary/detail.asp?ID=296

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maybemoredifficulttodetermineCODandthisresponsibilitymayfalltoarescueagency.Itisparticularlyimportanttohaveinformationonunnaturaldeaths(e.g.,homicides,poisonings,roadtrafficaccidentsandotherexternallycauseddeaths),asthisinformationcaninfluencepoliciesrelatedtodruguse,homicide,roadsafety,andotherpublicpolicy.

328. Legislationshouldaddressthefollowingpoints:1)whetheramedicalcertificateofcauseofdeathisrequiredinordertoregisteradeath,2)whatentityandwhichpersonisresponsiblefordeterminingandcertifyingcauseofdeath,fordeathsthatoccurinahealthfacilityanddeathsthatoccuroutsideahealthfacility(includingemergenciesanddisastersandbroughtindeath);3)theformofthecauseofdeathdeterminationorcertification;and5)howcauseofdeathinformationistransmittedtotheregistrarorstatisticsagency.Thesetopicsareaddressedbelow.

i. Compulsorymedicalcertificationofcauseofdeath329. Itisinternationalbestpracticetohaveanaccurate,detailed,andlegallyvalidcauseofdeath(COD)andmannerofdeathattachedtoeveryregistereddeath.Whileitisbestpracticetorequireacauseofdeathtoregisteradeath,countrieswillneedtoconsiderthisrequirementgivenlocalconditions.Insomecircumstances‐forexample,whenadeathoccursathome,wherehealthinstitutionsarescarceorlackmedicalstafftrainedtodetermineCOD‐itmaynotbepossibletoobtainamedicalcertificationofcauseofdeath.294IncountriesorcircumstanceswhereitisnotpracticalorpossibletohaveamedicallycertifiedCODforalldeaths,requiringaCODshouldnotpreventregistration.Inthosecircumstances,requiringonlyevidenceoffactofdeath,notcauseofdeath,maybethebestoption.

ii. PersonandentityresponsibleformedicalcertificationofCOD330. AcertifierofCODisthepersonauthorizedbylawtocertifythefactofdeath,themannerofthedeath,andthespecificdisease,injuryorothercausesofdeath.Legislationshouldstatewhatentityand/orpersonisresponsibleforcertifyingcauseofdeathbasedonthecircumstancesofthedeath.Forexample,foradeaththatoccurredinahealthfacility,thephysicianorsurgeonwhoattendedthedecedentduringhisterminalillnessisresponsibleforcertifyingtheCOD.Ifabodyisbroughtindeadtoahealthfacility,amedicalpractitionerwhoexaminedthebodyafterdeathoracoronermayberesponsibleforcertifyingCOD.Fordeathsduetounnaturalcauses,thecoronerisresponsibleforcertifyingCOD.Forahome‐baseddeathduetonaturalcauses,acertifiermayincludeamidwife,anurse,orothertrainedhealthprofessionalorlayperson.Itisimportantthatthelegislationorregulationsaddresseachtypeofsituation:in‐facilitydeath;deadonarrivalathealthfacility;communityorhome‐baseddeathduetonaturalcauses;deathduetoexternalcauses(e.g.,violentoraccidentaldeathorsuicide);andemergenciesanddisasters.ThedesignatedpersonshouldhaveclearauthorityandresponsibilitytocertifytheCODandmannerofdeath.Inaddition,fordeathsthatoccurinanappropriatelystaffedhealthfacility,thelegislativeframeworkshouldplaceresponsibilityonthefacilitytoensurealldeathsoccurringwithinthefacilityhaveamedicallycertifiedcauseofdeath,asfacilitiesareeasiertomonitorforcompliancethanindividuals.

iii. FormofCODdeterminationand/orcertification331. TheWorldHealthOrganization'sInternationalFormoftheMedicalCertificationofCauseofDeath(MCCOD)istherecommendedformforrecordinginformationregardingCODforcertification.TheformisdesignedtoelicittheunderlyingCOD.Underlyingcauseofdeathisdefinedas“thediseaseorinjurywhichinitiatedthetrainofmorbideventsleadingdirectlytodeath,orthecircumstancesoftheaccidentorviolencewhichproducedthefatalinjury.”295ThesediseasesandinjuriesshouldbecodedinaccordancewiththerulesoftheInternational                                                            294PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph499.295WorldHealthOrganizationwebsite,healthtopics,availableat:http://www.who.int/topics/mortality/en/

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ClassificationofDiseases(ICD),whichwasdevelopedbytheWorldHealthOrganizationandisthefoundationfortheidentificationofhealthtrendsandstatisticsglobally.ICDdefinestheuniverseofdiseases,disorder,injuriesandotherrelatedhealthconditions.Theseareorganizedsystematicallytoallowforsharingandcomparinghealthinformationacrossfacilities,regions,andtimes.296

332. Ideally,theMCCODisusedforalldeathsbecauseitcontainskeyinformationneededforlegalandstatisticalpurposes.Legislationshouldrequirethatthisformbeusedforalldeathsthatoccurinahealthfacilityandalldeathsreferredtothecoroner'soffice,providedstaffhavebeenadequatelytrained.However,somehealthfacilitiesandcoronerservicesmaynothavestafftrainedoncertifyingcauseofdeath.Inaddition,insomecountries,asignificantnumberofdeathsoccuroutsideofhealthfacilitiesorjurisdictionswithcoronerservices.WhereuseoftheMCCODisnotpractical,legislationshouldallowfortheuseofalternativemethodsofdeterminingCOD,suchasverbalautopsy.297

333. Verbalautopsy(VA)isaninterviewcarriedoutwithfamilymembersand/orcaregiversofthedeceasedusingastructuredquestionnairetoelicitsignsandsymptomsandotherpertinentinformationthatcanlaterbeusedtoassignaprobableunderlyingcauseofdeath.TheresultsoftheVAinterviewmaybeanalyzedusingacomputeralgorithm(AutomatedVA),whichgeneratesaprobableCODbasedontheintervieweeresponses;theCODgeneratedbyautomatedVAisnotalegallyvalidcauseofdeath.Alternatively,incountrieslikeBrazilwherealldeathsmustbemedicallycertifiedbyaphysician,verbalautopsyisusedasadecision‐supporttoolforphysicianswherethereisinadequateinformationonthedeceased’smedicalhistoryorthechainofeventsthatledtodeath.ForPhysicianCertifiedVerbalAutopsy,thephysicianreviewstheVAinterviewresultsandcertifiesthecauseofdeaththroughcompletionoftheMCCOD;inthesecases,theCODislegallyvalid.298

334. ItisimportantthatthelegislationorregulationsspecifytheformofCODdeterminationandcertificationforeachtypeofsituation:in‐facilitydeath,deadonarrivalathealthfacility,communityorhome‐baseddeathduetonaturalcauses,deathduetoexternalcauses(e.g.,violentoraccidentaldeathorsuicide),andemergenciesanddisasters.

iv. TransmissionofCODinformationtothecivilregistrarandstatisticsagency

335. TheCODinformation,whetherdeterminedthroughaMCCODorthroughVA,shouldbetransmittedtothecivilregistrarandstatisticsagenciestobeusedforlegalandstatisticalpurposes,asappropriate.TherearetwomodelsforsubmittingtheMCCODtotheregistrarandthestatisticsagency.InsomecountriesalltheinformationintheMCCODissubmittedtotheregistrardirectly,whichinturnsubmitsthestatisticalinformationfromtheMCCODtothestatisticsagency.Othercountriesuseabifurcatedform,containingasectionforlegalinformationandasectionforstatisticalinformation.Withthistypeofform,thelegalinformationissubmittedtotheregistrarandthestatisticalinformationissubmitteddirectlytothestatisticsagency.

336. Thedirectlinkfromcertifiertocivilregistrar,orfromcertifiertocivilregistrarandstatisticsagency,achievestwosimultaneousbenefits.First,theefficienttransmissionofinformationprovidesthenecessaryinformation,includingCOD,tothecivilregistrarandstatisticsagencywithoutplacinganadditionalburdenonanintermediary,oftenamourning

                                                            296PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph494.297PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs121‐123.298PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs499–501.

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family,tocarrytheMCCODtotheregister.Second,certifiersofCODarelesslikelytobebiasedintheirreportingoftheCODiffewerpeoplehaveaccessandknowledgetothatpotentiallysensitiveinformation.Forexample,aphysicianmaynotfeelcomfortablelistingHIVastheunderlyingcauseofdeathonaMCCODthatwillbehandedtothefamily.

337. ThedirectlinkbetweenotherdeterminersofCODandthecivilregistrationagencyisalsoimportant,althoughthereisnotyetaninternationalstandard.AlthoughUNguidancedoesnotcontainanexplicitrequirementforcoronerstoreportCODdirectlytothecivilregistrar,thispracticeisrequiredundertheUSmodellaw.

338. ThereiscurrentlynoconsensusamonginternationalexpertsregardingthereportingofVA‐generatedCODinformationtothecivilregistrar.DeterminationsofCODbyverbalautopsyarenotconsideredtobeaccurateattheindividuallevel,howevertheresultsprovideusefulpopulationleveldata.Informationoncauseofdeathatthepopulationlevelisimportantforpublichealthdecisionmaking,andCODdatageneratedthroughVAcanmakeasignificantcontributiontopublichealthdata.Duetothis,someexpertsrecommendthatCODinformationfromVAbedeliveredortransmitteddirectlytothestatisticsagency(nottheregistrar),asitisusedforstatisticalpurposesonly,notlegalpurposes.

339. IfcountriesdecidetocombinemedicallycertifiedCODdatawithVA‐generatedCODdata,theywillneedtoconsiderhowbesttopresentthedata,includingquestionsofweightingandclearlydelineatingsourceofCODdata(e.g.,medicallycertifiedversusVA‐generated).Recommendationsontheseissuesarenotcurrentlyavailable,giventhatroutineuseofVAintheCRVSsystemisjustdeveloping.

(vii) Registrationdeadlines340. Thelegislationshouldspecifythetimeperiodinwhichadeathmustbenotified.Uniformprocessesandtimeperiodsforregisteringvitaleventsshouldbeappliedthroughoutthecountry.Themaximumtimeperiodallowedfornotificationshouldbeasshortaspossiblesoastofacilitatecurrentandaccurateregistration.Deadlinesfordeathnotificationarearound3days,butvarybycountry.299Registrationnotifiedbyhealthfacilities,ratherthannextofkin,mayallowforshorterdeadlines.Therefore,thelegislationshouldprovideamaximumtimeperiodforregistration,andregulationsmayprovideforashortertimeperiodforspecificsituations,suchasin‐facilitydeath.

(viii) Lateanddelayedregistration341. Alateregistrationoccursafterthelegallyspecifiedtimeperiod,butwithinagraceperiod,usuallyconsideredoneyearafterthevitalevent.Delayedregistrationoccursafterthegraceperiod.Legislationshouldallowforlateanddelayeddeathregistration,withthespecificprocesssetoutintheregulationsorinstructions.Theseprovisionsshouldindicatetherequireddocumentaryevidencethatmaybeacceptable,basedonthelengthoftimeofthedelay.300Whilelateanddelayedregistrationshouldbediscouragedsothatvitaleventsareregisteredinatimelymanner,theproceduresshouldnotbesorestrictivethattheypreventlateanddelayedregistrationofevents.

342. Thelengthoftheperiodofdelaymayaffecttheevidencerequired.LateregistrationshouldbepermittedwithavalidMCCOD.IfthereisnoMCCOD,theregulationsorinstructionsshouldstatewhatalternativeevidenceoffactofdeathmaybeaccepted,suchanaffidavitofawitness,orarecordofburialorcremation.Delayedregistrationafteroneyearmayrequirejudicial                                                            299 Handbook of Vital Statistics Systems and Methods, volume I: Legal, Organization and Technical Aspects, 

United Nations Publication, Sales No. E.91.XVII.5, United Nations, 1991, paragraphs 180 ‐184. 

300PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs369‐374.

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proceduresanddecisions.301However,ifacountryisstrivingtoincreaseitsrateofdeathregistration,considerationshouldbegiventocreatinganon‐judicialprocedurefordelayeddeathregistrationwiththeprovisionofadequatedocumentationprovingthefactofdeath.

343. Malawihasestablishedapointsystemforlateregistrationofbirthsanddeaths.Thelatertheregistration,themorepointsthatareneededinordertoestablishthefactoftheevent.Differenttypesofdocumentationareassigneddifferentamountsofpointsbasedonthelevelofassurancetheyprovideasproofofthefactoftheevent.SeeBoxXfordetailsontheMalawipointsystem

BoxX.MalawiPointSystem

In2017,Malawiembarkeduponanationalidentityregistrationproject,whichaimedtoissueIDcardstoallcitizens.Inacountrywheremanypeoplelackdocumentation,determiningwhowasandwhowasnotacitizenwasachallenge.Todeterminewhoqualifiedasacitizen,Malawidevelopedascoringmodelthatassignedacertainnumberofpointstodifferentformsofidentification,with100pointsasthethresholdneededtoqualify.Forexample,apassportreceived40points,abirthcertificate60points,andadriver’slicense30points.Otheracceptabledocumentsincluded(butwerenotlimitedto)registrationandnaturalizationcertificates,utilitybills,andpaystubsfromgovernmentdepartments.Seethetablebelowforthefulllistofaccepteddocumentsandassignedpoint.Crucially,giventheprevailingabsenceofformaldocumentation,Malawialsoassigned80pointstoeachtraditionalauthorityorvillageheadwhocouldactasawitnesstoverifyaperson’scitizenship.

                                                            301SeeHandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph162.

Listofaccepteddocumentsandpointsassigned

NationalIDcardpresentedinpersonbybiologicalparent,whoisaMalawian(100)

Receiptpresentedinpersonbybiologicalparent,whoisaMalawianandregisteredpreviouslybysameBiometricRegistrationKit(BRK)(100)

Personaltestimonyofvillageheadandadvisor(80)

Certifiedandsignedletterfromvillageheadwithindicationofyourparentandlistofchildren(80)

Nameinvillageregister(80)Citizenshipornaturalizedcertificate(60)

Certifiedandsignedletterfromvillagehead(40)

Acertifiedcopyofadoptioncourtorder(inthecaseofanadoptedchildwhenoneorbothoftheadoptingparentsareMalawianCitizens)(40)

Newbirthcertificatepost2015(60) Oldbirthcertificatepre‐2015(30)

Malawiandiplomatic/servicepassport(70)

Malawianpassport(40)

Driver’slicense(30) Votercard(40)

Governmentpayslip(30)TwocommunitywitnessesregisteredbysameBiometricRegistrationKit(BRK)(mustbepresentwhenregistering)(100)

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Asnoscoringsystemisperfect,Malawialsocreatedanadjudicationcommitteetoinvestigateandmakedeterminationsfortheroughly3,400caseswhosefileseitherraisedquestionsorwereflaggedaspossibleduplicatesduringdeduplication.Theadjudicationcommittee,runbytheNationalRegistrationBureau(NRB),includesmembersfromthepolice,ImmigrationDepartment,andNRBofficialstomakethefinaldecisionforeachcase.302

(ix) Contentoftheentryinthedeathregister344. Asstatedabove(paragraphsxx‐xx),informationcollectedduringregistrationisprovidedforbothavitaleventregistrationrecordandacorrespondingstatisticalreport.Theregistrationrecord,duetoitslegalfunction,ispermanentlyfiledandstored.Thestatisticalreportisforwardedtotheagencyresponsibleforcompilingvitalstatistics.However,ascivilregistrationbecomescomputerized,thesetwocomponentsaremergingintoonecomputerizedinputinthesystem.Therefore,acleardistinctionshouldbemadebetweenthelegalandstatisticalcomponents.Itemsthatarerelevantonlyforstatisticalpurposesmustnotbereproducedoncertifiedcopiesofrecords.303

345. ThePrinciplesandRecommendationsforaVitalStatisticsSystemprovidesrecommendationsondataelementsthatshouldberecordedforstatisticalpurposes,includinghigh‐prioritytopicsaswellastopicsthatarealessurgentgoal.304ThesetopicsaresetoutinAnnexA.Theinformationrequiredforlegalpurposesforthedeathregisterismoreminimal.Theinformationmayconsistof:nameofthedeceased,placeanddateofbirth,placeanddateofdeath,sex,anduniqueidentificationcode.

346. Whiletheregistrarshouldstriveforcompletelegalandstatisticalinformation,aninformant'sinabilitytoprovideinformationforanyonedatafieldshouldnotpreventregistration.Theinformationrequiredforlegalpurposesversusadditionalinformationdesirableforstatisticalpurposesshouldbemadeexplicitlycleartopreventrefusalofregistrationiftheinformantisunableorunwillingtosupplythestatisticalinformation.Forexample,althoughcauseofdeathinformationisessentialforpublichealthpurposes,itshouldnotrigidlyberequiredtoregisteradeath,asthismightdeterorpreventregistrationofdeathsthatoccurathomeorinthecommunity.

347. Inadditiontoinformationregardingthedeathitself,dataelementsshouldinclude:informationregardingtheregistrationarea(territorialdistrict)andlocaloffice;numberofrecord;dateandplaceofregistration;identityofregistrant;andidentityoftheregistering

                                                            302Malik,T.,Malawi'sJourneyTowardTransformation:LessonsfromitsNationalIDProject,CenterforGlobalDevelopment,August,2018,pages25‐26.303PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs374‐377.304PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph66,TableIII.1.

EmploymentIDcard(10)Employmentdischargecertificate(10)

Marriagecertificate(10) Taxcertificate(5)

Anyotherofficialdocument(10)Letterfromthesocialwelfareofficerofthedistrict(inthecaseofanabandonedchildwhoisnow16yearsorabove)(40)

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officer.305Legislationshouldnotprescribethepreciseformoftheregister—incontrasttodataelementstobecaptured—asthismaybeoverlyprescriptiveandpreventchangesintheformoftheregisterastechnologyadvances.

(x) Deathcertificate348. CountrypracticesvaryoninclusionofCODinthedeathcertificateissuedbythecivilregistrar.UNguidanceprovidesthatclosefamilymembersshouldhavetherighttorequestCODinformationbeincludedinadeathcertificate.However,certifiersofCODarelesslikelytobebiasedintheirreportingoftheCODiffewerpeoplehaveaccessandknowledgetothatpotentiallysensitiveinformation.Forexample,aphysicianmaynotfeelcomfortablelistingHIVastheunderlyingcauseofdeathonaMCCODthatwillbehandedtothefamily.Asaconsequence,somecountriesdonotincludeCODinformationondeathcertificatesissuedbythecivilregistrar;othersdo.Somecountriesprovideforatwo‐partdeathcertificate‐onepartwiththestandardcertificateofdeathandasecondpartthatincludesconfidentialinformationoncauseofdeath.Similarly,theremaybealongandshortformcertificate.Theshortformcontainsbasicinformation,whichmaybeinthepublicdomain,suchname,sex,anddateandplaceofdeath.Thelongformcontainscauseofdeathinformation.

349. DuetothesensitivityofCODinformation,legislativedraftersshouldconsiderwhethertoincludeCODinformationinthedeathcertificate,orconsiderhavingatwo‐partorlongandshortformdeathcertificate.Theformatofthedeathcertificateshouldbeincludedintheregulationsorinstructions,ratherthanthelegislation,toallowforchangestotheformovertime.

350. Thelegislationshouldrequirethat,uponcompletionofregistration,theregistrarissueadeathcertificatetothedecedent'snextofkinfreeofcharge.Forthereasonsdiscussedabove(seeparagraphsXX),thelocalregistrarshouldhavethepowertoissueadeathcertificate.Aswiththeissuanceofabirthcertificate,thelegislationshouldrequiresecuritymeasuresbeputinplaceforcertificateissuance(bothhardcopiesandelectronic)tominimizefraud.Thespecifictypeofsecuritymeasuresshouldbeaddressedinregulationsorinstructionstomaintainflexibility.(Seeparagraph67abovefordetails).

351. Legislationshouldprovidefortheissuanceofaduplicatedeathcertificate.Regulationsorinstructionsshouldsetoutthespecificprocessforobtainingaduplicatedeathcertificate,andshouldaddressfromwhatdistrictofficeaduplicatecertificatemayberequested.Asdiscussedabove,withcomputerizationandtimelyinformationsharingbetweenlocalandcentralregisters,aduplicatecertificatemayberequestedfromanylocalregistraroffice.Theregulationsorinstructionsshouldalsoaddresstheprocessbywhichacertificatemayberequested,forexample,in‐person,bymail,byphone,orbyinternet,andhowtheidentityoftherequesteristobeverified(seeparagraphsXXabove).OnlyinterestedpartiesortheirlegalrepresentativesshouldbeabletorequestcertificatesthatcontainCODinformation.Governmentagenciesmayalsorequiresuchinformationforlegitimatepurposes.Thelocalregistrarshouldhaveauthoritytodeterminethelegitimacyofsuchrequests,inaccordancewithguidelinesissuedbythenationalregistrar.

(xi) Permitfordisposalofbody352. Applicablelawsshouldrequireapermittotransportanddisposeofabody.Thisrequirementisoftenincludedinmunicipallawsorregulations,butcouldalsobeincludedinthecivilregistrationlaw.Legislationshouldrequirethatadeathbenotifiedtotheregistrarbeforea

                                                            305HandbookofVitalStatisticsSystemsandMethods,volumeI:Legal,OrganizationandTechnicalAspects,UnitedNationsPublication,SalesNo.E.91.XVII.5,UnitedNations,1991,page23.

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permittodisposeofthebodyisissued,asthisincentivizesdeathregistration.306Toenforcethisrequirement,custodiansoffuneralandburialfacilitiesandcrematoriumsshouldberequiredtorequestproofofnotificationofthedeathbeforeproceedingwithservices.

353. Whileideallyalldeathsshouldberegisteredasaconditiontoissuanceofapermitfordisposalofabody,thismaynotbepracticalinsomecountries,particularlyinruralsettingswheretheregistrationofficeisfarfromtheoccurrenceofdeath.Wheredeathregistrationisnotpossiblebeforedisposalofabody,somecountriesrequirevillageleadersorcustodiansoffuneralfacilities,burialfacilitiesandcrematoriumstoprovidearecordofallfunerals,burialsandcremations.Thiswillalerttheregistrartothefactofadeaththathasnotbeennotified.Evenifregistrationisrequiredbeforeissuanceofadisposalpermit,somecountriesrequirecustodianstoverifyidentityofthedeceased(throughuniqueidentificationcode,identitycard,birthcertificateorothermeans)andprovideotherparticularstotheregistrar.Thiscanbeanalternativemeanstonotifydeath,orameanstoverifyidentityofthedeceased.

354. Legislationshouldaddresswhetherregistrationisrequiredtoobtainapermittodisposeofabody.Itshouldalsoaddressanyobligationsofcustodiansoffuneralfacilities,burialfacilitiesandcrematoriumstoproviderecordstotheregistrarofdisposalofabody.Iftheprovisionofrecordsisrequired,regulationsshouldprovidetimeframesandprocessesforcustodianstonotifytheregistrar.

(xii) Deathcircumstancesrequiringspecialproceduresi. Registeringthedeathofanunknownperson

355. Caseswherethedecedent'sidentityisunknownshouldbereferredtothepolice.However,thesedeathsshouldberegisteredwhiletheinvestigationispending,asinvestigationmighttakeasubstantialamountoftime.Legislationshouldplaceresponsibilityontheheadofthelocalpolicedepartmenttonotifytheregistrarofthedeathofanunknownpersonwithintheirjurisdictionwithinaspecifiedtimeframeafterthecaseisreferredtothepolice.Legislationshouldauthorizethenationalregistrartoissueregulationsorinstructionsonhowtoregisteradeathwhenthename(oranyotherinformation)isunknown.Generally,procedurespermittheregistrationofthedeathunderagenericname,suchasJohnDoeorJaneDoe,withaninvestigationnumber.

ii. Registeringadeathinprison

356. Whenadeathoccursinprison,theheadoftheprisonshouldberesponsibleforensuringthatcauseofdeathisdeterminedandcertified.Iftheinmatewasundermedicalsupervision,theheadoftheprisonshouldberesponsibleforensuringthatthesupervisingmedicalpractitionercompletesaMCCOD.Iftheresponsiblemedicalpractitionerisunabletodeterminecauseofdeathorsuspectsitmaybeduetoexternalcauses,thecaseshouldbereferredtolawenforcementforinquiry.Deathsduetoexternalcauses,includingviolenceoraccident,shouldbeinvestigatedbythecoroner'soffice.

BoxX.MinnesotaProtocol.

TheMinnesotaProtocolontheInvestigationofPotentiallyUnlawfulDeathrequirestheinvestigationofallpotentiallyunlawfuldeathsatthehandsofthestate.Thisincludesnotonlykillingsbystateofficialsanddeathsincustody,butalsocoversdeathslinkedtoapossiblestatefailure“toexerciseduediligencetoprotectanindividualorindividualsfromforeseeableexternalthreatsorviolencebynon‐Stateactors”.

357. Thecivilregistrationlawshouldrequiretheheadoftheprisontonotifytheregistrarintheareawheretheprisonislocatedofthedeathoftheinmate.Theheadoftheprisonshouldbe                                                            306HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs138‐140.

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requiredtonotifytheregistrarwhileanyinvestigationispending,inordertoensuretimelydeathregistration.Ifthedeathisduetonaturalcausesandtheprisonerwasundermedicalsupervision,theheadofthefacilityshouldberesponsibleforensuringthataMCCODiscompletedandtransmittedtotheregistrar.

iii. Registeringdeathtonationalsoccurringabroad

358. Vitaleventsoccurringtonationalswhoareabroadtemporarilyshouldberegistered.307Whenapersondiesabroad,thenextofkinorotherpersonwithknowledgeofthedeathshouldregisterthedeathwiththelocalauthoritieswherethedeathoccurred.Thedeathshouldalsoberegisteredintheperson’shomecountry.ItisparticularlyimportanttocapturedeathstonationalstemporarilyabroadsothattheirUICsmaybedeactivatedandarchived.Otherwise,suchnumberscouldbeusedforfraudulentpurposes.

359. Tobringthebodyorremainsbacktoaperson’shomecountry,thenextofkingenerallymustprovidethedeathcertificatefromthecountrywherethedeathoccurred(whichmayrequiretranslation)andpermissiontotransportthebodyorremainsfromthecountrywherethedeathoccurred.Oncethebodyisbackinthehomecountry,thenextofkinshouldtakethedeathcertificate(fromthecountrywheredeathoccurred)totheregistrarofficewherethefuneral,burialorcremationistooccur.Theregistrarwillnotissueanewdeathcertificate,asthedeathcertificatefromthecountrywherethedeathoccurredistheofficialdocument.Howevertheregistrarshouldissueadocumentnotingthereportingofthedeath.Thisallowsthefuneral,burialorcremationtoproceedinthehomecountry.Ifthedeathwasduetoexternalcauses,thenextofkinmayalsoneedtonotifythecoroner'sofficeandacertificatefromthatagencyalsomaybeneededtoproceedwithdisposalofthebody.

360. Adeathcertificateandotherdocumentsfromthecountryofresidencemaynotbeintheofficialornationallanguageofthecountryofcitizenship.Acountry'slawsmayrequirecertifiedtranslationofthedeathcertificateandanyotherrequireddocuments,aswellasproofthatthedocumentsarevalid.IfacountryisaPartytotheApostilleConvention,validitymaybeestablishedundertheproceduresoftheConvention.Theregistrarshouldbeawareofanylawsrequiringtranslationandcertificationofvalidity.

iv. Registeringdeathtonon‐citizensoccurringinthecountry

361. Allvitaleventsoccurringwithinacountry'sterritoryshouldberegistered.Therefore,thedeathofanon‐citizenwithinacountryshouldberegistered.Iftheindividualisapermanentresidentregisteredintheidentitymanagementsystem,thenotification,CODcertificationandregistrationprocessshouldbethesameasforcitizens.Iftheindividualistemporarilywithinthecountry‐suchasatouristortemporaryworker‐theregulationsshouldaddresstheprocessforprovisionofMCCODanddeathcertificatetonextofkinforuseinthedeceased'shomecountry.

v. Registeringdeathoccurringinamovingvehicle

362. Ifadeathoccursinamovingvehicle,suchasaship,airplane,trainorcar,aquestionarisesasto"placeofoccurrence"ofthedeathforregistrationpurposes.Ifthedeathoccursinamovingvehiclewithintheterritoryofthecountry,manycountriesconsidertheplaceofoccurrencetobetheplacewherethebodyisremovedfromthevehicle.Deathsthatoccurininternationalairspaceorwaterspresentatougherquestion.Somecountriesrequirethatifapersondiesonaforeignshiporaircraft,thedeathmustberegisteredinthecountryinwhichtheshiporaircraftisregistered.Thelegislationshouldaddressthesequestionsandstatethepresumptionfor"placeofdeath"fordeathsthatoccurinoronmovingvehicles,bothdomesticallyandinternationally.

                                                            307PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs296.

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vi. Registeringdeathtorefugees,undocumentedmigrants,internallydisplaced,statelesspersons,personsofundeterminednationality,andnomadicpopulations

363. Alldeathsthatoccurinthecountry‐includingdeathsofrefugees,undocumentedmigrants,internallydisplacedpersons,statelesspersons,personsofundeterminednationality,andnomadicpeoples‐shouldberegistered.Thelegislationshouldcontainspecificprocessesforregisteringthedeathsofthesepopulations,suchasthroughmobileunits,regardlessofwhetherthepersonhaslegalresidencystatus.308

(xiii) RegistrationofDeathSummary364. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

RegistrationofDeath Yes/NoAretheheadsofhealthfacilitiesresponsiblefornotifyingtheregistrarofdeathsthatoccurinfacilities?

Fordeathsduetonaturalcausesthatoccuroutsideahealthfacility,doeslegislationclearlystatewhoisresponsiblefornotifyingtheregistrarofthedeath?

Fordeathsduetoexternalcausesthatoccuroutsideahealthfacility,doesthelegislationclearlystatewhoisresponsiblefornotifyingtheregistrarofthedeath?

Whenabodyisbroughtindeadtoahealthfacility,doesthelegislationsclearlystatewhoisresponsiblefornotifyingtheregistrarofthedeath?

Isthereaprocessforregisteringdeathsresultingfromemergenciesanddisasters?

Doesthelegislationpermitdeathstoberegisteredattheplaceofoccurrence(orwhereeverthesystemmaybeaccessed)?

Doeslegislationaddresswhethercauseofdeathinformationisrequiredinordertoregisteradeath?

Doeslegislationclearlystatewhatentityandpersonisresponsiblefordeterminingandcertifyingcauseofdeathforalltypesofdeaths,includingdeathsthatoccurinahealthfacility,bodiesbroughtindeadtoahealthfacility,deathduetonaturalcausesthatoccursoutsideahealthfacility,deathduetoexternalcauses,andemergenciesanddisasters?

DoeslegislationaddressifandwhentheInternationalFormoftheMedicalCertificationofCauseofDeath(MCCOD)isrequiredtobeusedforrecordinginformationregardingcauseofdeath?

WhereuseoftheMCCODisnotrequired,doeslegislationaddressifuseofanalternativemethodofdeterminingCOD,suchasverbalautopsy,ispermitted?

Isthereaclearprocessfortransmittingcauseofdeathinformationtotheregistrarandthestatisticsagencyforalltypesofdeaths,includingdeathsthatoccurinahealthfacility,bodiesbroughtindeadtoahealthfacility,deathduetonaturalcausesthatoccuroutsideahealthfacility,deathduetoexternalcauses,andemergenciesanddisasters?

Isthereaspecifiedtimeperiodwithinwhichadeathmustbenotified? Isthereaprocessforlateanddelayedregistrationthatspecifiesevidencerequiredtoregisterthedeath?

                                                            308Forafullerdiscussiononspecialregistrationissuesandthesepopulations,seeHandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs180‐183.

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Areonlypersonswithalegitimateinterestabletoreceiveacopyofaperson'sdeathcertificate?

Doesthelawrequiresecuritymeasuresfortheissuanceofdeathcertificatestominimizetheriskoffraud?

Dolocalregistrarshavetheauthorityandcapacitytoissuedeathcertificates? IstheUnitedNationsrecommendedstatisticalinformationcollectedduringdeathregistration?

Isthereacleardistinctionmadebetweenlegalandstatisticalinformation? Doesthelawaddresswhethercauseofdeathinformationisincludedonthedeathcertificate?

Isdeathregistrationrequiredinordertoreceiveapermittodisposeofabody?

Arecustodiansoffuneralandburialfacilitiesandcrematoriumsrequiredtoprovidetheregistrarareportofbodiesreceivedfordisposal?

Istheheadofaprisonresponsiblefornotifyingtheregistrarofadeaththatoccursinaprison?

Isthereaprocessforregisteringthedeathof:Anunknownperson?Anationaltemporarilyresidingabroad?Aforeignerresidinginthecountry?Refugees,undocumentedmigrants,internallydisplaced,statelesspersons,personsofundeterminednationality,andnomadicpopulations?

D. REGISTRATIONOFMARRIAGE365. Marriageistheact,ceremonyorprocessbywhichthelegalrelationshipofspousesisconstituted.Thelegalityoftheunionmaybeestablishedbycivil,religiousorothermeansasrecognizedbythelawsofeachcountry.Somecountriesrecognizeotherformsoflegallyrecognizedpartnerships,suchascivilunions.Registeredpartnershipusuallyreferstoalegalconstruct,registeredwiththepublicauthoritiesaccordingtothelawsofeachcountrythatleadstolegalconjugalobligationsbetweentwopersons.309Allmarriages,civilunionsandotherlegallyrecognizedpartnershipsthatoccurinacountryshouldberegistered.Forsimplicity,allofthesetypesofpartnershiparereferredtobelowas"marriage".

366. Becausemarriagesareconductedinamannerthatisdependentonparticularsocietalconventions,thereisnostandardregistrationprocessacrosscountries.310However,therearecommonelementsthatareoftenaddressedinlegislationorregulationsconcerningmarriageregistration,including:placeofregistration,applicationformarriage;lateanddelayedregistration,informationcollected,issuanceofthemarriagecertificate,namechangeprocedures,andtheprocessforregisteringmarriagesthatoccurredabroad.Lawmakersshouldconsiderandaddressthesetopicsinlegislationorregulationsgoverningmarriageregistration.Ifadifferentregistrationprocessexistsformarriageandothercivilunions,thelegislationorregulationsshouldspecificallyaddressthesedifferences.

(i) Placeofregistration367. Countriesmayrequiremarriageregistrationinthelocationwherethemarriageceremonytookplaceortheplacewhereoneortheotheroreitherspouseresides.Somecountriesmaypermitmarriageregistrationatanyregistrarlocationwithinthecountry,particularlyifthesystemiscentrallynetworked.Flexibilityregardingthelocationofmarriageregistrationmayhelpincreasemarriageregistrationratesinsomecountries.Conversely,rigidlyrequiringmarriageregistrationinaspecificlocation‐forexample,attheregistrationofficeintheareaof                                                            309PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.310HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs142‐143.

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residenceofoneofthespouses‐maycreatebarrierstoregistrationifthemarriageceremonyoccursoutsidethatarea.Lawmakersshouldconsidertheoptionsforplaceofregistrationofmarriageandspecificallyaddressinthelegislationthelocationwhereamarriageshouldberegistered.

(ii) Applicationprocess:proofrequired,waitingperiod,durationofvalidityofapplication368. Acountry'sfamilylawwillgenerallyaddresssubstantiverequirementsformarriage,includingforexample,theageatwhichapersoncanconsenttomarriage,andrestrictionsonremarriage,polygamousunions,andmarriagebetweenpersonswhoarerelated..Theremustbeaprocesstoensurethattheserequirementsaremet.Generallythisoccursthroughanapplicationprocess,sometimesreferredtoasanapplicationforamarriagelicenseoranoticeofmarriage.

369. Thisapplication,whensignedbybothpersonsinthepresenceoftheregistrar,mayactasproofofconsenttomarry.Alongwiththeapplication,generallybothspousesmustpresentproofofidentityandproofoflegalagetomarry.Ifeitherspousehasbeenmarriedpreviously,theymustalsopresentproofofdissolutionofthepreviousmarriageorproofofdeathofaspouse.Theremayalsobeastatementdemonstratingthepersonswhoaretomarryarenotcloserelatives.

370. Thisapplicationgenerallymustbefiledwithinaspecifiedtimeperiodbeforethemarriageceremony.Forexample,intheUnitedKingdom,noticeofmarriagemustbegiventotheregistraratleast28daysbeforeamarriageceremony.Thisisoftenreferredtoasthewaitingperiod,andtheremaybearequirementthatnoticeofthemarriagebepublishedattheregistrationofficeorotherlocationduringthisperiod.Legislationorregulationsshouldaddresshowlongawaitingperiodisrequiredafterfilingoftheapplicationbeforethemarriageceremonycantakeplaceandstatewherenoticeofthemarriagewillbepublished,ifthesearerequirements.Theserequirementsmayalsobecontainedinacountry'sfamilylaw.

371. Theapplicationisusuallyvalidforaspecifiedperiodoftime,forexampleoneyear,duringwhichthemarriageceremonymusttakeplaceand/orcompletionofregistrationoccurattheregistrationoffice.Ifthemarriagedoesnottakeplacewithinthistimeperiod,theapplicationexpiresandthemarriageisnotregistered.

372. Somecountriesrequireacivilceremonytakeplaceattheregistrarofficeafterthewaitingperiodandbeforethevalidityoftheapplicationexpires.Wherethisisthecase,theregistrarissuesthemarriagecertificateafterthecivilceremony.Areligiousorothertypeofceremonymaybecelebratedafterthecivilceremony.

373. Othercountriesdonotrequirethatthemarriagetakeplaceinfrontoftheregistrarandprovideforanalternativeprocesstocompletethemarriageregistration.Forexample,ifareligiousofficiantorothermarriageofficiantconductstheceremony,thatmarriageofficiantisrequiredtosubmitdocumentationtotheregistrarverifyingthefactofmarriage.Theregistrarthenissuesthemarriagecertificate.IntheUnitedKingdom,ifacouplemarriesintheAnglicanChurchtheydonotneedtogivenoticeattheregistraroffice;theAnglicanministercollectstherequiredapplicationinformationfromthespousesandregistersthemarriage.

374. Somecountrieshavelowmarriageregistrationrates,oftenduetoalackofunderstandingofthemarriageregistrationprocess.Forexample,couplesare"married"inreligiousorcustomaryceremoniesthatarerecognizedinthecommunityasmarriage;however,thecouplefailstoapplyfororcompleteregistrationofthemarriagewiththeregistrar,resultinginamarriagethatisnotlegallyrecognized.Ifacountryrequiresthemarriagetobeenteredintointhepresenceoftheregistrar,educationcampaignsshouldmakethisknown.Alternatively,countriesshouldconsiderpermittingandrequiringreligiousandotherofficiantstocompletetheregistrationprocessbyfilingproofthatthemarriageoccurred.

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(iii) Lateanddelayedregistration375. Asdiscussedintheprecedingparagraph,somecountrieshavelowmarriageregistrationratesbecausecouplesaremarriedinreligiousorcustomaryceremoniesthatnotlegallyrecognized.Aprocessforregisteringthesemarriagesisimportantforlegitimationofchildren,propertyrights,inheritanceandotherlegalpurposes.Therefore,lawmakersmaywishtoconsidercreatingaprocessbywhichamarriagecanberegisteredretroactivelybyprovidingproofthatthemarriageoccurredatsometimeinthepast,suchasaffidavitsorstatementsofwitnessestotheweddingceremony.

(iv) ContentsofRegister376. Themarriageapplicationshouldcontainthedataelementstoberecordedintheregister,includingcharacteristicsofthespousesandcharacteristicsoftheevent.311Theapplicationformshouldnotbeincludedinthelegislation,butrather,appendedtotheregulationsorcontainedininstructionsforeaseofamendment.Forrecommendedstatisticaldataelements,seeAnnexB.Aswithregistrationofbirthanddeath,theregulationsorinstructionsshouldclearlystatewhichelementsarerequiredforlegalpurposesandwhicharerequiredforpurelystatisticalpurposes.

(v) Marriagecertificate377. Thelegislationshouldprovidethatuponcompletionofmarriageregistration,theregistrarshouldissueamarriagecertificatetothespouses.Theformofthemarriagecertificateshouldnotbecontainedinthelegislation,butratherinregulationsorinstructionstoallowforflexibility.Aswithbirthanddeathcertificates,thelocalregistrarshouldhavetheauthoritytoissueamarriagecertificate.Inaddition,thelegislationshouldrequiresecuritymeasuresbeputinplaceforcertificateissuance(bothhardcopiesandelectronic)tominimizefraud.Thespecifictypeofsecuritymeasuresshouldbeaddressedinregulationsorinstructionstomaintainflexibility.(Seeparagraph67abovefordetails).

(vi) Procedurefornamechange378. Inmanycountries,itiscommonforaspousetochangetheirfamilynameaftermarriage.Regulationsfrequentlyprovideaprocessfornamechangeaftermarriagethatissimplerthanthestandardprocess,whichusuallyinvolvesthecourts.Thesimplifiedprocessmayentailprovidingproofofmarriage(marriagecertificate)totheidentitymanagementauthorityorsomeotherprocessofverifyingthefactofmarriage.Theidentitymanagementauthoritythenauthorizesthenamechangeontheidentitydocumentissuedbythatauthority.Thenamechangeonthatidentitydocumentcanthenbeusedtochangethenameonotherdocuments.

(vii) Processforregisteringmarriagesthatoccurredabroad379. Ingeneral,unlessamarriageabroadbreaksthelawsofthecountryofaperson'sorigin,marriagesthatarelegallyperformedandvalidabroadarealsolegallyvalidinthecountryoftheperson'sorigin.Accordingly,substantivefamilylawshouldrecognizeamarriagethatoccursabroadaslegallyvalidandrecognizeamarriagecertificatefromamarriageabroadasprovidinglegallyvalidproofofthemarriage.

380. Countrypracticesvaryonregistrationofamarriagethatoccurredabroad.ForexampleintheUnitedKingdom,citizensandresidentsoftheUnitedKingdomarenotrequiredtoregisteramarriageperformedabroad.312However,theymayapplyforanOverseasMarriageCertificateiftheywish,whichprovideslegallyvalidproofthatthemarriageoccurred.313Ifregistrationofthemarriagethatoccurredabroadisrequiredorpermitted,thelegislationshouldaddresswhat                                                            311PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,AnnexI.312SeeGov.UKat:https://www.gov.uk/marriage‐abroad313SeeGov.UKat:https://www.gov.uk/government/publications/overseas‐marriage‐certificate

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documentaryevidenceisnecessaryforregistration(e.g.,amarriagecertificatefromtheforeigncountry).Regulationsmayrequiretheforeignmarriagecertificatetobevalidatedbythecountryinwhichthemarriagewasperformed.314Regulationsmayalsorequireacertifiedtranslationofamarriagecertificateinaforeignlanguage.

(viii) MarriageofForeignNationals

381. Marriagetoaforeignnationalisgenerallysubjecttoimmigrationrequirements.Theselawsmayrequirespecialfiancéorspousevisas,andmayhavedifferentwaitingperiodrequirements.Registrarsshouldbeawareofimmigrationlawstoensurecompliance.

(ix) RegistrationofMarriageSummary

382. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

RegistrationofMarriage Yes/NoIsplaceofmarriageregistrationspecified? Isproofofageandconsentrequiredtoregisteramarriage? Doesthelawaddresswhetherthereisamarriageapplicationprocess? Ifthereisanapplicationprocess,doesthelawspecifyifthemarriagemustoccurwithinaspecifiedtimeperiodafteranapplicationisfiled?

Doesthelawspecifyifthereisawaitingperiodandpublicationofthependingmarriageafterapplicationformarriage?

Doesthelawaddresswhethermarriagemustbeenteredintobeforetheregistrar?

Doesthelawaddresswhetherreligiousofotherofficiantsarepermittedtolawfullymarryacouple?

Isthereaprocessforlateanddelayedregistrationofmarriage? Ifso,doesthisprocessspecifytheevidencerequiredforlateanddelayedregistration?

IstheUnitedNationsrecommendedstatisticalinformationcollectedduringmarriageregistration?

Isthereacleardistinctionmadebetweenlegalandstatisticalinformation? Dolocalregistrarshavetheauthorityandcapacitytoissueamarriagecertificate?

Doesthelawrequiresecuritymeasuresfortheissuanceofdeathcertificatestominimizetheriskoffraud?

Isthereasimplifiedprocessforchangingone'snameaftermarriage? Doesthelawaddresswhetherthereisaprocessforregisteringamarriagethatoccurredabroad?

E. REGISTRATIONOFDISSOLUTIONOFMARRIAGEORCIVILUNION383. Therearevariouslegalmeanstodissolveamarriageorcivilunion,eachofwhichhasdifferentlegalimplications.Adivorceisthefinallegaldissolutionofamarriage;thatseparationofspouseswhichconfersonthepartiestherighttoremarriageundercivil,religiousand/orotherprovisions,accordingtothelawsofeachcountry.Incountriesthatrecognizeregisteredpartnerships,alegaldissolutionofaregisteredpartnershipreferstothelegalfinaldissolutionofsuchapartnership,accordingtonationallaws,conferringonthepartiestherighttore‐enter

                                                            314ThismaybesubjecttotherequirementsoftheApostilleConventionifbothcountriesarePartiestotheConvention.

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intoanotherpartnershipormarriage.315Annulmentistheinvalidationorvoidingofamarriagebyacompetentauthority,accordingtothelawsofeachcountry,whichconfersonthepartiesthestatusofneverhavingbeenmarriedtoeachother.316JudicialSeparationisthedisunionofmarriedpersons,accordingtothelawsofeachcountry,withoutconferringonthepartiestherighttoremarry.317Acountry'sfamilylawgovernswhichtypesofdissolutionofmarriageorpartnershiparelegallyrecognized.

(i) Processforregisteringdissolutionofunion384. Thedissolutionofamarriageorcivilunion‐whetherbydivorce,dissolutionofregisteredpartnership,judicialseparationorannulment‐fallsunderthejurisdictionofthecourts.Becausetheprocessforregisteringeachtypeofdissolutionissimilar,forsimplicitytheword"dissolutionofunion"isusedforallprocesses.

385. Whenacourtgrantsarequestfordissolutionofunion,thisinformationmustbesubmittedtotheregistrarinorderforthedissolutiontobematchedagainstthemarriagerecordandrecorded.Thereforecourtsshouldberequiredtocollectspecificinformationaboutthespousesandthemarriage.Afterthedissolutiondecreeisissued,thedecreeandtherequiredinformationshouldbesubmittedtothelocalregistrarofficeinthearea(e.g.,province,district)wherethedissolutiondecreewasissued.Legislationshouldrequirethecourtstosubmitthisinformationtothelocalregistrationofficewithinaspecifiedtimeperiod.

386. Somecountriesdonotplacethisrequirementonthecourts,butinsteadplaceresponsibilityonthepartiestosubmittheinformationtothelocalregistrar.However,thisprocessislikelytoresultinalowerrateofdissolutionofunionregistrationthanaprocessinwhichthecourtreportsondissolutions.Toencourageregistrationofdissolutionofunionwheretherecipientofthedissolutionistheinformant,thecivilregistrationlawshouldrequireproofofregistrationofdissolutionbeforeremarriage.

(ii) ContentsofRegister387. Theinformationcollectedbythecourt(oralternatively,providedbythepartiestothedissolution)shouldcontaincharacteristicsofthepartiestothedissolutionandcharacteristicsoftheevent.318Aswithregistrationofbirthanddeath,regulationsorinstructionsshouldclearlystatewhichelementsarerequiredforlegalpurposesandwhicharerequiredforpurelystatisticalpurposes.Informationcollectedforlegalpurposesisminimalandmayincludethenameofthespouses,dateandplaceofthedissolution,andthejudicialauthoritygrantingthedissolution.Forrecommendedstatisticaldataelements,seeAnnexB.Therecordshouldincludethedateandplaceoftheuniondissolved.Thisidentifyinginformationwillhelptheregistrarmatchthedissolutionofunionrecordtothecorrespondingmarriageorcivilunionrecord.

(iii) Divorce/Dissolutioncertificate388. Thelegislationshouldprovidethatupondissolutionoftheunion,thepartiestothedissolutionshouldeachbegivenacertificateofdissolutionoftheunion.Insomejurisdictionsthecourtissuesthecertificate,inotherjurisdictionstheregistrarissuesit.Theformofthecertificateshouldnotbecontainedinthelegislation,butratherinregulationsorprocedurestoallowforflexibility.Thecertificateneedonlycontainlegalinformationandshouldnotcontain

                                                            315PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.316PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.317PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph2.318PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,AnnexI.

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anysensitivestatisticalinformation.

(iv) Namechangeafterdivorce/dissolutionofmarriage/civilunion389. Theregulationsshouldprovideforasimplifiedprocessforaspousetochangetheirnamebacktothenametheyusedpriortomarriage.Oftenthismaybedoneatthesametimeandthroughthesamecourtthatgrantsthedissolutionofunion.

(v) Processofregisteringadivorce/dissolutionthatoccurredabroad390. Acountry'sfamilylawwillgenerallyaddresswhenandtowhatextentaforeigndissolutiondecreeisrecognizedaslegallyvalid.Foreigndissolutiondecreesareusuallyrecognizedasvalidifcertainproceduralrequirementshavebeenmet(suchaspropernoticetotheparties).Thecivilregistrationlawshouldprovideaprocessforregisteringadissolutionthatoccurredabroad.Theregulationsshouldaddresswhomayregisterthedissolution(i.e.,eitherpartytothedissolution)andwhat,ifany,documentaryevidenceinadditiontotheforeigndissolutiondecreeisrequired.

391. Regulationsmayrequiretheforeigndissolutiondecreetobevalidatedbythecountryinwhichthedissolutionwasgranted.ThismaybesubjecttotherequirementsoftheApostilleConventionifbothcountriesarePartiestotheConvention.Regulationsmayalsorequireacertifiedtranslationofadissolutiondecreeinaforeignlanguage.

(vi) RegistrationofDissolutionofUnionSummary

392. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

RegistrationofDissolutionofMarriage Yes/NoDoesthelegislationaddresswhethercourtsarerequiredtonotifytheregistrarofdissolutiondecreesgranted?

IstheUnitedNationsrecommendedstatisticalinformationregardingdivorcecollected(byeitherthecourtsortheregistrar)?

Isthereaprocessforissuingacertificateofdissolutionoftheunion? Isthereasimplifiedprocesstochangeone'snamebacktoone'snamepriortomarriage?

Isthereaprocessforregisteringadissolutionthatoccurredabroad?

F. CORRECTIONSANDAMENDMENTSTOTHERECORD393. Becausevitaleventrecordsservealegalpurpose,itisessentialthattheyaccuratelyreflectthecharacteristicsoftheeventandthepersonsrelatedtotheevent.Therearetworeasonswhyitmaybenecessarytochangeavitaleventrecordinordertomaintainaccuracy:1)theoriginalrecordcontainederrorsoromissionsthatrequirecorrection,and2)circumstancesregardingtheeventhavechangedandrequireamendingtherecord.Examplesofthefirsttypeofchangeincludeobviouslyspelling,dateandtypographicalerrors,andaddinguncontestedomittedinformation,suchasthelatenamingofababy.Examplesofthesecondtypeofchangeincludeadoption,contestedpaternity,divorce,annulment,judicialseparation,declarationofdeathforpersonsmissingforastatutorilydefinedperiodoftime,namechange,andsexchange.Generally,onlytheregistrantortheregistrant'slegalrepresentativehavetheauthoritytorequestorapplyforacorrectionoramendment.

(vii) Authoritytoamendregistrationrecord(roleofregistrarandcourts)394. Theauthoritytocorrectoramendtherecordmayrestwiththecivilregistrationauthorityorthecourts,dependingonthetypeofchangesought.Thecivilregistrationagency

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shouldhaveauthoritytocorrecterrorssuchasobviousspelling,dateortypographicalerrors.Theregistrarmayrequiredocumentaryevidenceforcertaintypesofchanges.Forexample,ifafather'snameismisspelledonabirthcertificate,theregistrarmayrequestacopyoflegallyvalididentificationfromthefathertoverifytheerrorandensuretheaccuracyofthecorrection.Providingtheregistrarauthoritytomakethesetypesofcorrectionsrelievestheapplicantofhavingtospendtimeandmoneyapplyingtothecourts,andrelievesthecourtofadditionalworkload.

395. Anindividualshouldbeabletoappealtothecourtsiftheyfeeltheyhavenotbeenabletoobtainsatisfactoryresolutionoftheirissuethroughanapplicationtotheregistrar.However,inmanycountries,beforeappealingtothecourts,anindividualmustappealalocalregistrar'sdecisiontoahigheradministrativelevel,uptothenationallevel,beforeappealingtothecourts.Thisisreferredtoas"exhaustionofremedies"andservestwopurposes.First,itallowstheregistrationauthoritiestheopportunitytocorrectthemistakewithoutburdeningthecourts.Second,itcreatesarecordoftheadministrativedecisionforthecourttoreview.

396. Forcorrectionsoramendmentsthatinvolvechangedcircumstancesthatinvolvechangedcircumstancesorinvolvetherightsofothers(e.g.,aspouseorachild),aregistrantortheirlegalrepresentativegenerallymustapplydirectlytothecourts.Thesetypesofamendmentsusuallyincludeadoption,surrogacy,paternity,divorce,annulment,judicialseparation,namechangeandsexchangeandarediscussedbelow.

(viii) Amendmentsrequiringacourtorder

397. Adoptionsmustbeapprovedthroughajudicialprocess.Countrylawsvaryregardingthelegalrequirementsandarrangementsforadoption.Manyjurisdictionsrequirethatadoptionsbekeptconfidential.Thisisaccomplishedbypreparinganewbirthrecordreflectingthenewparents'birthfactsandsealingfromthepublicthepre‐adoptionfactsofbirth.Theplaceanddateofbirthofthechildremainunchangedintherecord,aswellanyuniqueidentificationcode,ifoneisassigned.319Ifachildisadoptedfromaforeigncountry,mostcountrieshaveaprocessbywhichtheadoptiveparentsmayapplyforadomesticbirthcertificate.Thisgenerallyinvolvesprovidingtoacourtacertifiedcopyofthefinaladoptiondecreefromtheforeigncountryandawrittenrequestforanewbirthcertificate.

398. Surrogacyisanarrangementwherebyawomanagreestocarryapregnancyforanotherpersonorpersonswhowillbecomethenewborn'sparentsafterbirth.Nationallawsregulatingsurrogacyvarysubstantially,fromtotalbanningofthepracticetoallowingitandspecifyingconditionstoincludeintheagreementbetweentheparties.Regardlessofhowsurrogacyisregulated,civilregistrationinsurrogacyishandledsimilarlytothatforadoption.Theoriginalbirthrecordcontainstheinformationofthebiologicalmother.Afterthebirth,theparentsinitiatetheprocessoflegaladoptionandtheproceduresdescribedaboveforadoptionarefollowed.

399. Arequesttoamendthefather'snameonabirthregistrationrecordmayrequireadministrativeactiononlyormayrequirejudicialaction.Forexample,ifthefatherfreelyacknowledgespaternityandthemotherconsents,lawsofthecountrymayallowtheregistrartofillinthemissingpaternalinformationonthebirthrecordwithoutapplicationtothecourts.However,ifpaternityisdisputed,amendingtherecordrequiresajudicialdecision.320Afteradjudication,thejudicialdecreeshouldbetransmittedtotheregistrarsothattheregistrarmaymakeanotationonthebirthrecordregardingpaternity.

                                                            319HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph157.320HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs151‐152.

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400. Asdiscussedinthesectiononregistrationofdivorce,uponreceiptofthejudicialdecreeorinformationregardingthedivorcefromthecourt,theregistrarshouldmatchthedivorcerecordtotheoriginalmarriagerecordandannotatetherecordaccordingly.Whenthedivorceoccursinaplacedifferentfromwherethemarriagewasregistered,theregistrarwhoreceivesthedivorcenotificationshouldnotifytheregistrarinthelocationwherethemarriagetookplacesothatanotationcanbemadeontheoriginalmarriagerecord.Iftheregistrationsystemisnetworkedtoacentraldatabase,thisstepisnotnecessary.

401. Inmanyjurisdictions,changeofsexonabirthrecordandidentitydocumentsinvolvesacourtdecisionandoftenrequiresproofofsexreassignmentsurgery.However,thisischanginginsomejurisdictions.AbouthalfofthestatesintheUnitedStatesnolongerrequireproofofsurgeryorcourtordersbeforeallowingachangeofsexonbirthrecordsandidentitydocuments.321Removingthesebarriersreducesthecostandtimeoftheprocessandhelpsprotecttheprivacyoftheapplicant.Ifacourtorderisrequired,courtsshouldberequiredtotransmitthisinformationtotheregistrar,whothenshouldrecordtheamendmentintherecord.

(ix) PreservationoftheoriginalrecordAdditionsorchangestotherecord(otherthancorrectionsofminorerrors)shouldbemadeinsuchawayastonotaltertheoriginalentry.322Theprocessforchangingtherecordwilldifferforpaper‐basedandcomputerizedsystems.Forexample,inpaper‐basedsystems,thelayoutoftheregistrationrecordshouldhaveamplespaceforenteringthosenotationsandadditions.Further,thechangesshouldbemadeinduplicatesothatcopiescanbeforwardedtothecentralstorageplaceandotherarchives.Forallamendmentsandcorrections,everycopy,eitheractiveorarchival,shouldbeamendedtoreflectthechanges.323Whiletheprinciplesarethesameasforpaperrecords,themethodsusedformakingamendmentsandcorrectionsincomputerizedrecordsdiffer.Annotationsincomputerfilescanbemadeinasectionoftherecorddesignedforannotations.Whenuploadedtoacentralsystem,allrecordsinthesystemshouldreflectthechange.Computerizedrecordsallowchangestobetrackedbytheperson,dateandplacethechangewasmade.

402. Legislationandregulationsshouldcontainclearprovisionsforamendingrecords,includingcorrectingerrors,namechanges,disputedentries,adoptions,andotherchangedcircumstances.Thelegislationshouldspecifywhomayrequestorapplyforacorrectionoramendmenttoarecord.Thelegislationshouldalsospecifywhatentity‐thecivilregistrarorthecourts‐hastheauthoritytoamendtheregistrationrecordandunderwhatcircumstances.Becauseprocessesforpaper‐basedandcomputerizedsystemswilldiffer,thespecificprocessformakingamendmentsandcorrectionsshouldbesetoutininstructions,whichcanbeeasilyamendedifneeded.

(x) CorrectionsandAmendmentsSummary

403. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

Correctionsandamendmentstotherecord Yes/No

                                                            321NationalCenterforTransgenderEquality,Issues:IdentityDocumentsandPrivacy,availableat:https://transequality.org/issues/identity‐documents‐privacy.322PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph409.323PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph414.

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Isthereacleardistinctionbetweentypesofcorrectionswithinthejurisdictionofthecivilregistrarandamendmentswithinthejurisdictionofthecourts?

Isthereaprocessforappealingthedecisionofalocalregistrartoregionalandnationallevelregistrationofficials,beforeappealingtothecourts?

Isthereaprocesstoissueanewbirthcertificateafterachildisadopted? Isthereaprocesstoamendnameandsexonabirthcertificate? Areamendmentstotherecordmadeinsuchawayastonotaltertheoriginalentry?

Areamendmentsandcorrectionstotherecordmadeinsuchawayastoensurethateverycopy,eitheractiveorarchival,reflectsthechanges?

G. SUBMISSIONOFLOCALREGISTRARRECORDSTONATIONALREGISTRAR404. Thelegislationshouldsettimeframesforthetransferofinformationfromthelocalregistertothecentralizedregister.Fornon‐computerizedsystems,thisshouldcoverthetimingandfrequencyofdeliveryofcopiesofregistersand/orcompilationofreportsderivedfromregisters.Forcomputerizedregisters,thisshouldcoverthefrequencywithwhichelectronicrecordsaretransmittedtothecentralregister.Thismaybesimultaneouswithregistration(wherelocalregistersarelinkedtocentralregisters),daily,weeklyormonthly.Thetimingmaybedifferentfornon‐computerizedandcomputerizedsystems.Thereforeifacountryhastwotypesofsystemsinusesimultaneously,thelegislationshouldprovideamaximumtimeframeforsubmissionofrecordsandregulationsmayprovideashortertimeframeforthosedistrictsthatarecomputerized.Theprocessshouldbeaddressedinregulationsorinstructionstoallowforflexibilityasthesystemtechnologyadvances.

405. Regardlessofwhetherthesystemiscomputerizedornon‐computerized,alocalregistrarmustsubmitrecordsofallvitaleventsoccurringintheterritoryofthereportingofficialduringthereportingperiod.

406. Mongoliaprovidesanexampleofacountrywithdualprocessesfordistrictsthathaveonlineaccesstothecentraldatabaseanddistrictsthatdonothaveonlineaccess.Districtsthatdonothaveaccesstotheonlinesystemforcivilregistrationcompleteregistrationoffline.ThecompleteregistrationformisprintedwithaQuickResponse(QR)codeinmachine‐readableformat.TheseformsaredeliveredtotheprovinciallevelofficewheretheQRcodeisscannedandinformationisenteredintothecentralsystem.324SeeBoxXfordetailsonthetransferofrecordsonandofflineinMongolia.

BoxX.Mongolia.TransferofrecordsonandofflineMongoliahasachievedveryhighbirthanddeathregistrationinrecentyears.Animportantfactorinthisisthattheyhaveintroducedanelectronicsystemfordatacapture.Digitaldatathathasbeencollectedfromthelocalregistrationunitsistransmittedthroughtheonlinesystemtothecentraldatabasewherepossible.However,asthegreaterpartofthedistricts(soums)isnotyetabletohavedirectaccesstotheonlinesystemforcivilregistration,anofflineprogramhasbeenintroducedintheseoffices.

Theregisteratthedistrictlevelentersavitaleventusingtheofflineprogram.Thisprogramincludeschecksandcontrolsandensuresthattheformsareentirelyfilledoutandinlinewithnationallystandardizedquestions.Ifoneinformationitemismissing,awarningisshownbytheregistrationprogramandnofurtherprocessingisaccepted.Oncetheregistrationiscomplete,

                                                            324HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,page183.

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thelocalcivilregistrarprintstheofficialregistrationformincludingaQRcodewhereinformationhasbeensavedinamachine‐readableformat.

Theregistrarandtheinformantsigntheregistrationform,whichissealedbytheregistrar.Theregistrationform(whichcontainsalsodigitalinformationintheQRcode)isthendeliveredtotheprovince(aimag)registrationunitwhereasuperiorregistrarverifiestheinformationontheregistrationform,aswellasotherattacheddocuments(suchasthebirthnotificationformissuedbythehealthfacility,copiesoftheIDsofparents,andacknowledgementofparentage).Ifeverythingisinorder,theinformationwillbescannedthroughtheQRcodeandenteredintotheonlineregistrationsystem.Ifnot,acorrectionprocedurewillberequiredandtheregistrationformwillbereturnedtothedistrictregistrar.Atregistrationcentreswithoutaccesstointernet,informationaboutvitaleventsisalsocomputerized.ThecomputersareusedtoprintaQRcodewithallrelevantinformationonacopyofthecertificate,whichisthenforwardedtothehigher‐levelcivilregistrationcentre,wheretheQRcodeisscannedandthisinformationisenteredonlineintothenationaldatabase.

Beforetheofflinesystemwasintroduced,inaccurateinformationonvitaleventsduetounintentionalmistakesoftenoccurred.Sincetheofflineprogramhasbeeninplace,themistakescausedbymanualerrorshavealmostdisappeared.Also,significanttimeissavedasdataonlyhavetobeenteredonceandmanyerrorsareavoidedduetoautomaticchecks.325

407. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

Submissionofrecordstonationalregistrar Yes/NoIsthereacleartimeframewithinwhichregistrarsmusttransmitrecordstothenationalregistrar?

Doeslegislationallowfordevelopmentofbothpaper‐basedandelectronicsubmissionprocesses,ifneeded?

H. FEES

(i) Feesforregistration408. Toencourageregistration,thelegislationshouldclearlystatethatregistrationofabirth,foetaldeathanddeathwithinthetimeperiodprescribedbythelawisfreeofcharge.Instructionsmightaddresswaystoensurethatnofeesarecharged,suchasthedisplayofsignsatregistrationofficesnotifyingthepublicofservicesthatarefreeofchargeandestablishingahotlineforpubliccomplaints.

409. Whilemanycountrieschargeformarriageregistration,draftersofthelegislationshouldconsidermakingthisprocessfreeifmarriageregistrationratesarelow.Regulationsorinternalproceduresshouldaddressthesefeestructures,asfeesmaychangeovertime.

410. Some countries apply fees in cases of delayed registration of vital events,with ratesrelatedtotheextentofthedelay.326However,incountrieswhereregistrationratesarelowandofficialsareattemptingtoincreaseratesofregistration,lateregistrationfeesmayhindertheseefforts.

                                                            325HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,page183.326PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph363.

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411. Ifhigherfeesareimposedonnon‐citizens,thedraftersshouldensurethatthesehigherfeesarenotimposedonrefugees,statelesspersonsorothervulnerablepopulations.

BoxX.Uganda:Waivingfeeforvulnerablenon‐citizensInUganda,in2012,theAttorneyGeneralexercisedhispowersundersection24oftheBirthsandDeathsRegistrationActof1973andwaivedtheregistrationfeespayablebyrefugeesinordertoregisterabirthordeath.Previously,refugeeshadbeenrequiredtopay$40(thesameasforforeigners)inordertoobtainabirthordeathcertificate.

(ii) Feesfororiginalandduplicatecertificateissuance412. Thefirst(original)certificateforabirthanddeathandshouldbefreeofcharge.Feesmaybe charged for duplicate birth and death certificates, but should be appropriate so as not todiscourageapplicationforaduplicatecertificate.327Appropriatefeesmaybechargedforothertypes of certificates, including marriage and divorce. These fees should be addressed inregulationsorinstructionstoallowforadjustmentsovertimeandshouldbeminimalorpricedsoasnottodisincentivizeapplicationforaduplicatecertificate.

(iii) Feesforcorrectionsandamendments413. Minor corrections due to clerical errors should be permitted free of charge. 328 Theadditionofababynamewithinthetimeframeforlatenamingshouldalsobefreeofcharge.Feesmay be charged other types of amendments, including amendments made due to adoption,establishmentofpaternity,namechange,andsexchanges.

(iv) Feesforuseofdataforresearchpurposes414. Researchersmaysometimesrequestdata fromcivilregistrars foracademicpurposes.Legislation should specify under what circumstances data from the civil registrar may beprovidedtoresearchers,inaccordancewithprivacyprovisions(SeeSectionFourbelow).Ifdataisprovidedtoresearchers,feesmaybecharged.Thefeestructureshouldbesetoutinregulationsorinstructions.

(v) FeesSummary

415. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

Fees Yes/NoIsregistrationofbirth,foetaldeath,anddeathwithintheprescribedperiodfreeofcharge?

Iflateanddelayedregistrationfeesapply,arethesefeesreasonable? Isthefirst(original)birthanddeathcertificateprovidedfreeofcharge? Arecorrectionsduetoclericalerrorsfreeofcharge? Ifdataisavailabletoindependentresearchers,isthereafeestructureforthisdatause?

SECTION3.IDENTITYMANAGEMENT

                                                            327PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph363.328SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph363.

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A. IDENTITYMANAGEMENTPRINCIPLESANDLIFECYCLE416. AsdiscussedinChapterOne,aperson'sentryintotheidentitymanagementsystemstartsatbirthwiththeissuanceofabirthcertificateandassignmentofaUniqueIdentityCode(UIC),whichisassignedforlife.Laterinlife,anindividualwillobtainadigitalidentity,ore‐identity,whichisasetofelectronicallycapturedandstoredattributesandcredentialsthatcanuniquelyidentify a person.329 These digital identities are created and used as part of a life cycle thatincludes four fundamental stages: (a) registration, including enrolment and validation, (b)issuanceofdocumentsorcredentials,(c)authenticationforservicedeliveryortransactions,and(d) closure/deactivation and archiving. This section discusses the lifecycle of identitymanagement,withafocusonpolicydecisionsthatshouldbemadebylawmakersbeforedraftinglegislationonidentitymanagement.Thissectionalsoaddressestheprincipleofuniversality(asitappliestoidentitycredentialprovision)andfeesthatmaybechargedtoindividualsandotherusersofthesystem.

(vi) Universality417. Theabilitytoproveone'sidentityisfundamentaltotheenjoymentofhumanrightsaswellasgovernmentandprivatesectorservices.Therefore,aswithcivilregistration,proofofidentityshouldbeprovidedwithoutdiscriminationordistinctionbasedongeography;racial,ethnicorreligiousgroup;statusasamemberofanomadic,indigenous,nativeoraboriginalpopulation;statusasdisplaced,stateless,refugee,asylumseeker,orpersonofundeterminednationality;orstatusasaforeignnationalborninthecountryortemporaryworker;oranyothercharacteristic.

BoxX.India:DelinkingIDfromCitizenshipIntheAadhaarsystem,auniqueidentifyingnumberisprovidedtoanyonewhoregisters,regardlessofcitizenship.

(vii) AssignmentofUniqueIdentityCode418. Asdiscussed inChapterOne (paragraphsXX), aUnique IdentityCode (UIC) is a codeassignedforlifetoanindividual.AnindividualshouldhaveonlyoneUICandeachUICshouldbeassigned to only one individual.With the assignment of a UIC, an individual's record acrossvariousregisterscanbelinked.Forexample,anindividual'sbirthregistrationrecordandidentityinformation,includingbiometrics,canbelinkedtofirmlyestablishthattheinformationinbothrecords unequivocally belongs to one individual. The UICmay be used by other governmentactorsaswell,suchashealthandsocialservices,inordertolinkrecordsacrossvariousagencies.TheUIC,whenlinkedwithbiometricsinanidentityrecord,helpspreventduplicationofidentityinthesystem;itensureseachperson'sidentityisregisteredinthesystemonlyonce.AUICshouldbeclosedatdeath.Thisensuresthattheidentitycannolongerbeusedandhelpspreventidentitytheft.

1. AssignmentofUICatbirth419. Assignment of a UIC at birth, rather than when a person has reached a certain age,facilitates linkage of the civil registration and identitymanagement systems. As discussed inparagraphs xx above, a UICmay be generated by either the civil registration or the identitymanagementagency(ifseparateentities).IfthecivilregistrationagencygeneratesandassignsaUICtoanewborn,theregistrarshouldsendtheUICalongwithbirthinformation(suchasname,dateandplaceofbirth,andnameofmother/father)totheidentitymanagementagency.IftheidentitymanagementagencygeneratestheUIC,theregistrarshouldsendarequesttotheidentitymanagementagency,which then issuesaUICandsends it to theregistrar.Theregistrar thenentersthisinformationintothebirthrecord.

420. RegardlessofwhichentitygeneratestheUIC,legislationshouldrequiretheregistrarto

                                                            329TechnicalStandardsforDigitalIdentity,WorldBank,2017,page2.

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ensurethataUICisassignedatbirth.LegislationshouldmakeclearthataUICisassignedtoallnewborns,regardlessofcitizenship,nationalityorresidencystatus.

2. AssignmentofUICafterbirth

421. IftheassignmentofaUICatbirthisanewrequirementinacountry,manypeoplewillhavebeenbornbeforetherequirementcomesintoeffect.Inaddition,therewillbepeoplethatimmigrateintoacountry.ThesepeoplewillnothavehadanopportunitytoreceiveaUICatbirth.Therefore,legislationshouldrequireallindividualspermanentlyresidingwithintheterritorialjurisdictionofthecountry,whowerenotpreviouslyassignedaUIC,toapplyforaUICbyacertainage.AUICshouldnotbedeniedbasedoncitizenship,nationalityorresidencystatus,asitdoesnotconfercitizenshiporanyspecificlegalrights.

3. UICcharactersequence

422. The characters in a UIC may be alphabetic and/or numeric. The content of thealphanumericcharactersintheUIChasimportantimplicationsforsecurity.Inmanycountries,charactersequencesweretraditionallybasedonpersonalinformation,suchasdateandplaceofbirth.Today,randomsequences(alsoreferredtoas“unintelligiblesequences”)arepreferred,ascharactersequencesbasedonpersonalinformationmaybeeasilycomprehended,allowingtheinformationand/orUICtobeusedfraudulently.SuchasecuritybreachoccurredinSouthKorea,whichusesdigit sequencesbasedondateofbirth. SeeBoxX fordetailsonhowSouthKoreaaddressed this situation. In addition, character sequences that contain variables for personalstatussuchascitizenshipmaymakeindividualsvulnerabletodiscrimination.Further,citizenshipmay change during the course of a person's lifetime through naturalization and therefore avariablebasedonthisstatuscouldlaterrequirere‐characterizationoftheUICsequence.

423. LegislationshouldaddressthekeyelementsoftheUIC,requiringforexamplethataUICbeunique,unintelligibleandrandom.OtherelementsoftheUIC(forexample,numberofcharactersanduseofchecksum)shouldbewithinthejurisdictionoftheidentitymanagementagencytodetermine,eitherthroughregulationsorinstructions.

BoxX.SouthKorea:IntelligibledigitsequenceIdentitynumbersstartedtobeissuedinthe1960s.Thefirstfewdigitsaretheuser'sdateofbirth,followedbyaoneformaleortwoforfemale.Duetotheeaseofdeterminingaperson'sIDnumber,thegovernmentestimatedthatanestimated80%ofthecountry'spopulationhadtheirIDnumbersandpersonaldetailsstolenfrombanksandothertargets.Duetothis,inrecentyears,thegovernmentnowoffersPINstobeusedwithIDnumbers,whichincreasessecurity.

(viii) Registration:EnrolmentandValidation424. As discussed in Chapter 1, identity registration entails enrolment in the system andvalidationofidentity.Enrolmentinvolvescapturingandrecordingkeyidentityattributesfromapersonwho claims a certain identity,whichmay includebiographical data andbiometrics.330Once a person has claimed an identity during enrolment, their identity is then validated bycheckingtheattributespresentedagainstexistingdata.331

1. Biometrics:typeofbiometricsandageofcollection

425. Biometrics is the measurement of unique physical characteristics that can be used forautomatedrecognition.Biometricsmayincludeaphotoreadablebyfacialrecognitionsoftware,thecaptureofonetotenfingerprints,andirisscan,orotherevolvingtypesofbiometrics.Upuntilrecently,biometricshavebeencollectedsomewherebetweentheagesof15to18years,partlybecause it has been difficult to reliably capture biometrics on the very young. However, as

                                                            330TechnicalStandardsforDigitalIdentity,WorldBank,2017,page3.331TechnicalStandardsforDigitalIdentity,WorldBank,2017,page4.

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biometrictechnologyimproves,somecountrieshavestartedcapturingbiometricsearlierinlife.IndiaandMexico,forexample,nowbegincapturingbiometricsattheageof5andthenrecapturedbiometricsattheageof15.SeeBoxX,Chapter1.Perucapturesafootprintatbirthandcapturesotherbiometricslaterinlife.SeeBoxXfordetailsonPeru.

426. Whilebiometrics isemergingas thecoreof identitymanagement,some individualsmayhavebiometricsthatarehardtocapture.Forexample,manuallabourersortheelderlymayhavewornfingerprintsthatcannotbecapturedclearly;andirisscansmaybedifficulttocaptureonpeople with cataracts. Due to this, lawmakers will have important policy decisions to makeregardingwhattypesofbiometricsarecapturedandatwhatage.Evenwiththebestofsystems,biometric capture an fail. (See Chapter 1, paragraphs xx). Therefore, policy makers shoulddeterminewhatbackupmeasureswillbeput inplaceforthose individualswhosebiometricscannotbeusedinthesystem.

427. Legislationshouldauthorizeanagencytocollectbiometrics.Becausebiometrictechnologyischangingrapidly,thetypeofbiometricscollectedshouldnotbeprescribedinthelegislation.Instead,thelegislationshoulddelegateauthoritytotheidentitymanagementagencytoestablishregulationsonthetypeofbiometricscollected.Thelegislationmayspecifyatorbywhatageaperson must enrol (or is permitted to enrol, if not mandatory) and have their biometricinformationcollected,orauthoritymaybedelegatedtotheidentitymanagementagencytomakethisdetermination,astheageofenrolmentmayberelatedtothetypeofbiometricscollected.Althoughauthority todetermine age and typeof biometricsmaybedelegated to the identitymanagementagency, the legislationshouldspecify if there areanyconstraintson the typeofbiometricsthatmaybecollected.Forexample,insomecountriesthecollectionofDNAorbloodsamplesviolatestherighttoprivacy.Accordingly,thecollectionoffingerprints, irisscans,andveinpattern‐recognitionmightbeallowed;however,collectionofDNAorbloodsampleswouldbeprohibited.

2. Validation

428. Thevalidationprocessensuresthattheidentityexists(i.e.,thatthepersonisalive)andisclaimedbyonlyoneperson(i.e.,itisuniqueinthedatabase).Thisprocessisimportanttoensurethattherearenoduplicateidentitiesinthesystem.FortheUNrecommendedmodelofintegratedcivilregistrationand identitymanagementsystems,validationagainst information in thecivilregister should be required. 332 This incentivizes birth registration, in essence making it arequirementinordertoenrolintheidentitymanagementsystem.Ifapersonwhosebirthhasnotbeen registered applies to enrol in the identity management system, ideally, the identitymanagementagencywouldassist the individual in registering theirbirthbeforeenrolling theindividualintheidentitysystem.

429. Dependingontheageofenrolment,thevalidationprocessmightalsorequirecheckingtheclaimed identity against other databases or checking other forms of proof of identity. Forexample, if enrolment is at a veryyoung age, connecting the child's identity to theparents isgenerally sufficient.However, if enrolment is at later age, additional documentationmightberequired,suchasschoolrecordsorotherformsofidentificationtoensurethatthepersoniswhotheyclaimtobe.Policymakerscouldconsider introducingapointsystem,requiringacertainnumberofpointstoestablishidentitywithhighlytrustworthydocumentsassignedmorepointsthanotherdocuments.SeeBoxXontheMalawipointsystem.

430. Legislation may state how an identity is validated, or it may delegate authority to theidentitymanagementagencytodeterminethevalidationprocess,includingwhichdatabasesarecheckedandwhatidentityinformationshouldbeprovided.

                                                            332HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraphs456‐457.

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(ix) CredentialIssuance431. Asdiscussed inChapter1(paragraphsXX),after registrationan identityprovider issuesidentity credentials. Common types of electronic credentials fall into three categories: 1)somethingyouknow(e.g.,apassword),2)somethingyouhave(e.g.,anIDcard,mobilephoneoracryptographickey),orsomethingyouare(e.g.,afingerprintorotherbiometricdata).333

432. Commontypesofelectroniccredentialtechnologyinclude:

● Smartcards:cardsofferadvancedsecurityfeaturesandrecorddigitalcryptographickeyand/orbiometriconanembeddedcomputerchip.Smartcardscancomeintheformofacontact/contactlesscard,orNearFieldCommunication(NFC)‐enabledSIMcard.Datastoredonasmartcardcanbeaccessedoffline forauthenticationwherethereisnointernetconnectionormobilenetwork.

● Two‐dimensional(2D)barcodecard:Cardscanbepersonalizedwithanencrypted2Dbarcodecontainingaperson’spersonaldataandbiometrics,eitherinsteadoforinadditiontoachip.The2Dbarcodeisacost‐efficientmeanstoprovideane‐identityandtoauthenticateholdersbycomparinglivebiometricswiththatonthecard.IthasbeenwidelydeployedinAfrica,LatinAmericaandtheMiddleEast,includinginGhana,MaliandLebanon.

● Mobileidentity:Mobilephonesandotherdevicescanbeusedtoprovideportablee‐identity and authentication for a variety of online transactions. For example,providerscanissueSIMcardswithdigitalcertificatesoruseothermobilenetworkassetsthatcanenablesecureandconvenientidentityandauthenticationofusersforeGovernment(eGov)servicesandotherpublicorprivateplatforms.

● Identity(credential)inacentralstore/Cloud:UnlikeportablecredentialssuchassmartcardsandSIMcards,somesystemsstorecertificatesandbiometricsonaserveronly.Inthiscase,aphysicalcredentialstoragedevicemaynotbeissued.AUICmaybeissuedinnon‐electronicform(forexample,India’sAadhaarprogramissuesonlyapaperreceipt).Atamper‐resistantenvironmentofcryptographickeygenerationandmanagementtosecuretheIDcredentialinthecentralstoreagainsttheftwillincreasethesecurityandassuranceleveloftheidentitysystem.334

433. Lawmakersmustmakeseveralpolicydecisionsregardingcredentials,includingthetypeofcredential issued, informationpresentedon,orknowable from, the credential, and credentialvalidityandexpiration.

(x) Typeofcredential434. Thereareadvantagesanddisadvantagestoeachtypeofcredentialandpolicymakersshouldweightheseindeterminingthetypeofcredentialtobeused.Forexample,smartcardswithchipsor2Dbarcodespermitauthenticationofanidentityoffline,whichisimportantincountrieswhereinternetconnectivityisnotwidelyavailable.However,smartcardscanbeexpensivetoproduce.Credentials stored in a central store can produce enormous cost savings, as has been theexperiencewithIndia'sAadhaarsystem.However,storingcredentialsinacentralstorecanleavethesystemvulnerabletosecuritybreaches.ThishasbeentheexperienceinIndia,whereidentitynumbers and information may have been sold or made public inadvertently on multipleoccasions.

435. Technology is changing rapidly.Therefore, it is bestnot to specify the typeof credentialsysteminlegislation.Rather,authorityshouldbedelegatedtotheidentitymanagementagencyto determine the type of credentials to be issued and the technology system used with thecredential (e.g., chip, bar code, etc). The identity management authority should promulgate                                                            333TechnicalStandardsforDigitalIdentity,WorldBank,2017,page4.334TechnicalStandardsforDigitalIdentity,WorldBank,2017,page4.

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credential standards in regulations or procedures. This will allow for changes, if needed ordesired,astechnologyadvances.

1. Informationpresentedonorincredential

436. Manycountrieshaveadifferenttypeofidentificationcardforcitizensandnon‐citizens.Forexample,inThailand,non‐citizensaregivenapink‐colouredcard;Thaicitizensaregivenabluecard.However,acredentialneednotbetiedtocitizenship.Forexample,India'sAadhaarsystemwas revolutionary in providing a UIC to all residents of the country, with no informationcontainedinthatUICregardingcitizenshiporresidencystatus.

437. Informationoncitizenship,ethnicityorresidencystatusmaymakeanindividualvulnerabletodiscrimination.Thereforepolicymakersshouldcarefullyconsiderwhetheritisnecessarytoincludethis information,orotherinformationthatmaybethebasisfordiscrimination,ontheface of the ID card or other physical credential. It is important to note that only limitedinformationisnecessaryonthefaceofthecredential,particularlyifacredentialhasbiometrics,achip,aPINorotherauthenticatingmethodassociatedwithit.

438. If a physical credential is used, the legislationmay authorize the identitymanagementagencytodeterminewhatinformationispresentedonthecredential.However,policymakersmaywishtoprovideparameterstotheagencyand,forexample,statethatthefaceofcredentialsmay not identify an individual as member of a minority or marginalized segment of thepopulation,asthismayleadtodiscrimination.

2. Credentialvalidity/expiration

439. Theperiodofvalidityofcredentialsvariesfromcountrytocountryandmaybedependenton the type of credential. For example, theUIC assigned in the IndianAadhaar systemneverexpires. However, in many countries that use an ID card with a photo, the ID cardmust berenewedwithanewphotoperiodically,usuallywithinaperiodof10years.

440. Becausetheperiodofvalidityisrelatedtothetypeofcredential,policymakersmaychoosetodelegateauthoritytotheidentitymanagementagencytodeterminetheperiodofvalidity.Ifauthorityisdelegated,theidentitymanagementagencyshouldalsohaveauthoritytoestablishtheprocessforrenewingcredentials.

(xi) Authentication441. Onceapersonhasbeenregisteredandcredentialed,theycanusetheircredentialtoaccessbenefitsandservices,suchashealthservicesandbanking.Inordertoaccessservices,theusermustbeauthenticatedusingoneormorefactorsthat,likecredentials,generallyfallintooneofthree categories—something you know, something you have, something you are. 335Authenticationusingtheseattributescanoccurthroughvariouspathways,including:

● Smart cards: People with smart cards can authenticate their identity using multipleauthenticationfactorsforvaryinglevelsofassurance.Forexample,asimplePINforlowriskusecasesoradigitalsignaturebasedonpublickeyinfrastructure(PKI)technologyforhighriskusecases.Fingerprintscanbeusedtoestablishanon‐ambiguouslinkwiththeuser.Becausetheystoredatalocallyonachip,smartcardscanalsobeusedforofflinedigitalauthenticationorremotelocationswhereconnectivityislimited.

● Mobile identity:Usingsmartphoneapplications,UnstructuredSupplementaryServiceData(USSD)orShortMessageService(SMS)‐basedauthenticators,orSIMcards,mobileidentitycanincorporatemultipleauthenticationfactorsforvaryinglevelsofassurance.Forexample,asimplePINforlowriskusecases,multiple‐factorauthenticationsolutions

                                                            335Othertypesofinformation,suchaslocationdataordeviceidentity,maybeusedbyanverifiertoevaluatetheriskinaclaimedidentity,buttheyarenotconsideredauthenticationfactors.Grassi,P.,et.al,NISTSpecialPublication800‐63‐3,DigitalIdentityGuidelines,page12.

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(including with the use of biometrics) or a mobile signature based on public keyinfrastructure (PKI) technology with a secure element (SE) for high‐risk use cases.Authentication can be strengthened by using third and fourth factors such as theindividual’slocationorbehaviour.

● ID in the central store/Cloud: Instead of issuing an e‐identity document or mobilecredential,ane‐identitysystemcanrelyonbiometricsforremoteauthentication.Inthiscase,anidentityisassertedandverifiedviaacomputerorotherdevicewithabiometricreaderthatconnectstotheCloud.ACloud‐basedsystemeliminatestheneedandcostofphysicalcredentials,butrequiresrobustICTinfrastructureforconnectivityandsecurityofthecentralstorage.336

442. Biometricauthenticationcansometimesfailtorecognizeanindividualeventhoughtheyarewhotheysaytheyare.ThiscouldpotentiallyresultintheownerofanIDbeingrejectedfortheservices the individual isseeking.Forexample inMarch2018, theUnique IDAuthorityofIndia(UIDAI),whichisthecustodianofAadhaar’sdatabase,statedthatbiometricauthenticationfailure rate for fingerprints (after three attempts) was nearly 12 percent in governmentprograms,5percentinbanksand3percentfortelecomoperators.Otherreports,suggestarateofbetween2and4percentafterrepeatedattempts.337Thishighlightstheimportanceofhavingeffective protocols to manage exceptions, such as mobile one‐time password (OTP) orauthenticationbyalocalauthority.InAndhraPradesh,thevillagerevenueofficerisallowedtoauthenticate a beneficiary if needed as a last resort—a human response to a shortcoming oftechnology.338

443. Theprocessofauthenticationisrelatedtothetypeofbiometricsandtechnologyadoptedinenrolmentandcredentialissuance.Therefore,policymakersmaychoosetodelegateauthoritytotheidentitymanagementagencytodeterminethemethodofauthentication,includingwhethersingle or multi‐factor authentication is used. No matter what type of technology andauthentication process is adopted, the identitymanagement agency should have authority toestablishalternativeauthenticationproceduresincaseofauthenticationfailure,suchasmobileone‐timepassword(OTP),alternativebiometricorauthenticationbyalocalauthority.

(xii) Deactivation/ClosureandArchiving444. DeactivationofaUICandidentitycredentialupondeathisimportantinordertopreventidentitytheft.Anefficientandeffectiveconnectionbetweenthecivilregistrationandtheidentitymanagement systems is thebestway toensure that thisdeactivatedoccursupondeath.Thisshouldoccurwhenthecivilregistrartransfersinformationfromthedeathrecordtotheidentitymanagementsystem.TheremaybeotherreasonsfordeactivationofaUICoridentitycredential,suchasfraudulentuseoftheidentity.

445. After closure of a UIC and identity credential, identity records should be retained andpermanently archived. Country practices vary on the reuse of a UIC after closure. In somecountriesanUICisneverreused;inothersanUICisnotreusedforatleast50to100years.

446. LegislationshouldrequirethedeactivationofaUICandassociatedidentitycredentialupondeath. The procedures for that deactivation, including the reuse of UIC, should be set out inregulationsorinstructions.

                                                            336TechnicalStandardsforDigitalIdentity,WorldBank,2017,pages4‐5.337Gelb,A.andMukherjee,A.,TheAadhaarDebate:WhereDoWeGofromHere?,CenterforGlobalDevelopmentblogpost,availableat:https://www.cgdev.org/blog/aadhaar‐debate‐where‐do‐we‐go‐here338Gelb,A.andMukherjee,A.,TheAadhaarDebate:WhereDoWeGofromHere?,CenterforGlobalDevelopmentblogpost,availableat:https://www.cgdev.org/blog/aadhaar‐debate‐where‐do‐we‐go‐here

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B. FEES

(xiii) FeeforIdentityCardIssuance447. Manycountrieschargeafeeforidentitycredentialissuanceandthereisnobestpracticeregardingfees.However,ifobtaininganidentitycredentialismandatory,policymakersshouldconsiderprovidingtheoriginalidentitycredentialfreeofchargeorforaminimalfee.Feesmaybe charged to replace a lost identity credential. This fee structure should be addressed inregulationsorinstructions.

(xiv) FeeforPrivateInstitutionalUse448. As discussed in paragraphs xx above, individuals may use their identity credentials toauthenticatetheiridentityinordertoaccessservices.Privateinstitutionalusers,suchasbanks,thatwishtousetheidentitymanagementsystemforidentityauthenticationpurposesmaybechargedafeeforthisservice.Thelegislationshouldauthorizetheidentitymanagementagencytosetfeesforauthenticationservices.Feesshouldbeestablishedinregulationssothattheymaybemoreeasilyadjustedovertime.

(xv) IDENTITYMANAGEMENTSUMMARY

449. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

IdentityManagement Yes/NoIsproofofidentityprovidedtoallpersons,withoutdiscrimination,withintheterritoryofthecountry?

Isauniqueidentitycode(UIC)assignedatbirth? IsthecharactersequenceoftheUICrandom? Doesthelawaddressthescopeofauthorityoftheidentitymanagementagencytocollectbiometrics,withspecifiedconstraints?

Doesthelawaddresstheageatwhichofbiometricsarecollected? sthereaprocessforvalidatingtheidentityofapersonwhentheyenrolintheidentitymanagementsystem?

Isauthoritydelegatedtotheidentitymanagementagencytodeterminethetypeofcredentialsissuedandmethodofauthenticationused?

Doestheinformationcontainedonorinthecredentialsprotectagainstdiscriminationbynotprovidinginformationonstatusasmemberofaminorityormarginalizedgroup?

IsthereaclearprocessfordeactivatingaUICandidentitycredentialupondeath?

Areidentitycredentialsprovidedfreeofchargeorforareasonablefee? Isthereafeestructureforprivateinstitutionalusersofthesystem?

SECTION4.THEPOPULATIONREGISTER450. The population register is a data system used for continuous recording, and/orcoordinated linkage, of selected information pertaining to each member of the residentpopulationofacountry, insuchawayastoprovide thepossibilityofdeterminingup‐to‐dateinformationconcerningthesizeandcharacteristicsofacountry'spopulationatanygiventime.Thepopulationregisteristheproductofacontinuousprocess,inwhichnotificationsofcertainevents, which may have been recorded originally in different administrative systems, are

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automaticallylinkedtoitonacurrentbasis.339

451. Not all countries maintain a population register. However, for those that do, thepopulation register is essentially a computerized database with a separate record for eachindividualinthecountry.Thepopulationregistercanbeacentralizeddatabaseoritcanconsistof regional/provincial databases that are inter‐linked. Agencies in charge of operating andmaintainingapopulationregisterdifferfromonecountrytoanother.Inmanycountries,itistheresponsibilityofhomeaffairsandpolice.Inothercountries,itisundertheresponsibilityoftaxauthorities.Frequently,thecivilregistrationortheidentitymanagementagencymaymaintainthe population register. There were cases where the population register was located in thenationalstatisticaloffice;yet,theyweresubsequentlymovedtoanagencythathasmoredirectaccesstothepopulation.340

452. Theprimaryfunctionofthepopulationregisteristoprovidereliableinformationfortheadministrative purposes of government, particularly for programme planning, budgeting andtaxation.Theregistersarealsouseful inotheradministrativeareas,suchasvoting,education,militaryservice, social insuranceandwelfare, and forpoliceandcourt reference. Informationsubmittedbythecivilregistrationagency,aswellasotheragencies, iscrucial forkeepingthepopulationregisteruptodate.341

A. INFORMATIONTOBESUBMITTEDTOTHEPOPULATIONREGISTER453. The more information included in the population register, the richer the variety ofpossibleanalysesofpopulationstructuresanddynamics,but,atthesametime,thegreatertheconcernsaboutconfidentialityandthemorecomplextheissueofmanagement.Therefore,duringthe development of a population register, countries might benefit from progressiveimplementation, entailing, at the beginning, inclusion of only a minimum amount ofinformation.342

454. Thecontentofaspecificpopulationregistervariesfromcountrytocountry.However,itcommonlycontainsthenamesofapersonandher/hisparents,dateandplaceofbirth,address,andUIC.343Aperson'sfirstentry intothepopulationregistergenerallyhappensatbirth.Afterbirthregistration,thecivilregistrationagencysubmitsbasicfactsaboutachild(name,parents,place/dateofbirthandUIC)tothepopulationregister.Firstentryintothepopulationregistercan also happen when a person immigrates to a country and is assigned a UIC, after whichimmigration or other agency submits their basic information to the population register.SubmissionoftheUICsoonafteritisassignedisessential,asthisallowsthepopulationregisterto link with other databases and to maintain continuously up‐to‐date information about thepopulation.

455. Generally,thecivilregistrationauthorityalsosubmitsinformationaboutthefactoftheoccurrenceofothervitalevents‐marriage,divorce,adoption,legitimation,recognition,anddeath‐tothepopulationregister.Thiskeepsthepopulationregisteruptodateregardingaperson'scivil status. While legal information is generally submitted, policymakers should considerwhether other information in the register, captured for statistical purposes, is needed in the                                                            339PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs454.340HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph438.341SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph472.342SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph481.343 Handbook on Civil Registration and Vital Statistics Systems: Management, Operation, Maintenance, 

Revision 1, United Nations Publication, Sales No. XXX, 2018, paragraph 443. 

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populationregister.Ifthestatisticsagencycompilesvitalstatisticsfrominformationprovidedbythe civil registration agency directly, rather than from the population register, then statisticsinformationcollectedduringcivilregistrationneednotbesubmittedtothepopulationregister.

456. Countrypracticesvaryonwhatinformationissubmittedfromtheidentitymanagementsystemtothepopulationregister.Insomecountries,biometricsaresubmitted,inotherstheyarenot. Policymakers should take into account data protection and privacy concerns whendeterminingwhether this informationshouldbe submitted to thepopulationregister.Even ifbiometric information isnot submitted, the identitymanagement agencymightplay a role inkeepingthepopulationregisteruptodate.Forexample, inChile,whenapersonrenewstheirnationalidentitycardtheyaregiventheopportunitytoupdatetheiraddress,andthisresidenceinformationisthenupdatedinthepopulationregister.344

457. Iffunctionalregisters‐‐suchasvoterregisters‐‐arelinkedtothepopulationregister,policymakers should considerwhat information collected by these other agencies should betransmittedtothepopulationregister.

458. Legislationshouldaddresstheminimuminformationthecivilregistrationagencyandidentitymanagementagencyarerequiredtosubmittothepopulationregister.Iftheagencyincontrolofthepopulationregisterhasrule‐makingauthority,thisagencymightrequireadditionalinformationtobetransmittedtothepopulationregisterthroughregulations.Legislationmightalsoaddresstheinformationtobesubmittedfromfunctionalregisterstothepopulationregister.

B. TRANSMISSIONPROCEDURES459. Information from the civil registration and identity management agencies mustsomehowbeaccessibleinthepopulationregister.However,apopulationregisterneednotbeeitheraphysicalorsingleconsolidatedlist(eitherinpaperorelectronicformat),butcanbeanetworkofregisterslinkedinacoordinatedway.Insuchsystems,itmaybethattheinformationisnotphysicallysubmittedortransmittedfromthecivilregistration,identitymanagement,andotheragencies,tothepopulationregistrar;rather,theregistersmaybelinked,throughaUIC,sothatacompleterecordmayberecreatedatanytime.345ThisisthecaseinEstonia,asdescribedinBoxX.

460. The process for collecting information in the population register, whether throughtransmissionorlinkage,willdependonthelevelofdigitizationandtypeofsystem.Recordsmaybe transmittedmanuallyorelectronically,ordatabasesmaybe linked.Manualandelectronicsystemsmaybeusedconcurrentlyformanyyearsinacountryasitdigitizesitssystem.Inthesecircumstances, it is important that the regulations allow for both manual and electronicprocesses.Therefore,processesfortransmissionorlinkageshouldbespecifiedinregulationsorinstructions,soastoallowforchangestotheprocessovertime.

Estonia:PersonalControloverdataWhile the Estonian eID is anchored in the national population register, databases aredecentralized,witheachgovernmentagencyandserviceproviderstoringonlythedatanecessaryfortheirownpurposes.Databasesarelinked,toallowforexchangeofinformationbetweenstateentitiesandwithprivateentities.Individualshavecontrolovertheirdataandifoneentitywishestoseedatainotherentity'sdatabase,theindividualmustconsenttothis.Thisallowsresidentsmaximumaccessandcontrolovertheirdata,includingcheckingwhohasaccesseddataandwhen.Abusebypublicofficialsispunishablebyimprisonment.

                                                            344HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,page155(textbox).345SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph469.

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C. TRANSMISSIONFREQUENCY461. Regulations should address the frequency of transmission of records from civilregistrationandidentitymanagementagenciestothepopulationregister.Becausethepopulationregistermaybelinkedtonumerousservices(e.g.,voterregistration,education,taxation,socialsecurity,healthbenefits),thereisgoodreasontoupdatethepopulationregisterasfrequentlyaspossible.Theregulationsshouldspecifythefrequencyofupdating,e.g.,daily,weekly,ormonthly,which likely will depend on the mode of transmission and the degree of digitization andinterconnectionacrosssystems.Toallowforflexibility,regulationsmayaddresstheminimumfrequency of transmission, and instructions may establish greater frequency as technologydevelops.

D. DATAPROTECTIONANDPRIVACYDURINGTRANSMISSIONTOANDSTORAGEINTHEPOPULATIONREGISTER

462. Legislation shouldmandate that individual data and informationbeprotectedduringtransmissionto,andstoragein, thepopulationregister.Data isparticularlyvulnerableduringtransmission and therefore encryption should be required (for electronic transmission ofinformation).However, technicalspecificationsonencryptionshouldbe left to instructionstoallowforchangingtechnology.SeeSectionSixbelowformoreonDataProtection,PrivacyandSecurity.

E. POPULATIONREGISTERSUMMARY

463. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

PopulationRegister Yes/NoIsinformationrequiredtobetransmittedtothepopulationregisterfromthecivilregistrationandidentitymanagementagenciesclearlydefined?

Isthetimeframeforsubmissionofinformationtothepopulationregisterspecified?

Doeslegislationallowfordevelopmentofbothpaper‐basedandelectronicsubmissionprocesses,ifneeded?

Doeslegislationrequirethatpersonaldataandinformationbeprotectedduringtransmissionto,andstoragein,thepopulationregister?

SECTION5.VITALSTATISTICS

A. VITALSTATISTICSTOBEDERIVEDFROMCIVILREGISTRATIONDATA464. Vitalstatisticsconstitutethecollectionofstatisticsonvitaleventsinalifetimeofapersonas well as relevant characteristics of the events themselves and of the person and personsconcerned.346Vitalstatisticsprovidecrucialinformationonthepopulationofacountry,347whichisaprerequisitetosocioeconomicplanningandinformeddecision‐making.Thecivilregistrationsystem is the ideal source from which to derive accurate, complete, timely and continuousinformationonvitalevents. Thereforevitalstatisticsshouldbederivedfromcivilregistrationdata.

465. ThePrinciplesandRecommendationsforVitalStatisticsSystems,Revision3,providesalistofrecommendedtopicstobecollectedforstatisticalpurposeswhenregisteringbirths,deaths,                                                            346PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph1.347PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph1.

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marriages,anddivorces.Thelistincludeshigh‐prioritytopics,whichareanimmediategoal,aswellastopicsthatarealessurgentgoal.348Therecommendedtopicstobecollectedforbirths,deaths,marriagesanddivorcesarecontainedinAnnexesAandB.

466. Legislationshouldrequirethatvitalstatisticsbederivedfromcivilregistrationdataandshoulddelegateauthoritytothecivilregistrationagencytoissueregulationsorinstructionsthatstatetheinformationtobecollectedwhenregisteringbirths,deaths,marriagesanddivorces.Theregulationsorinstructionsshouldclearlystatewhatinformationisrequiredforlegalpurposesandwhatinformationisdesiredforstatisticalpurposes.Thesedataelementsshouldbeincludedinnotificationsformsasdiscussedinthesectionsabove.

B. SUBMISSIONOFSTATISTICALINFORMATIONTOSTATISTICSAUTHORITY467. The civil registration agency must submit statistical information collected duringregistration to the vital statistics agency in order for the agency to compile andpublish vitalstatistics.Thereforelegislationshouldrequiresubmissionofstatisticalinformationonaperiodicbasis. Legislation should require thatwhen records are submitted from the civil registrationauthoritytothevitalstatisticsauthority,namesonrecordsandotheruniqueidentifiersmustberemovedsoastoensureconfidentiality.

468. Specificproceduresforsubmissionofstatisticalinformationfromthecivilregistrationagencytothestatisticsagencywillvarydependingonthelevelofintegration,connectivityanddigitizationofacountry'scivilregistrationandvitalstatisticsagencies.Forexample,ifthetwosystems are computerized and integrated, submission may be automated and happencontinuously,ordailyorweekly.Inpaper‐basedsystems,submissionmightbelessfrequent,suchasmonthlyorquarterly.Thereforethespecificprocessforsubmission,includingthefrequencyofsubmission,shouldbeaddressedinregulationsorinstructions,ratherthanlegislation,toallowforchangesovertime.

C. COMPILATIONOFVITALSTATISTICS469. The compilation of vital statistics data is the process of condensing and summarizinginformationonvitaleventsbyclassifyingandtabulatingthedatawithincategoriesorgroupsinorder to produce vital statistics according to a predetermined tabulation programme. Vitalstatisticsshouldbecompiledforthetotalgeographicalareaofthecountry,foreachofthemajororminorcivildivisions,andforeachprincipaltownandcity.Vitalstatisticsshoulddistinguishbetweenurbanandrural forat least thecountryasawholeand foreachmajororothercivildivision.349

470. National vital statistics should be compiled uniformly for the country, using commondefinitions,classifications,coding,querying,dataentryandeditingproceduresthroughout.Toensureuniformity,compilationofvitalstatisticsshouldtobeundertakenbythecentralagency,rather than compiled at the local level. In caseswhere thenumbers of vital eventswould beoverwhelminglylargeifprocessedatthecentrallevel,adecentralizedapproachmaybeadoptedwherebysub‐nationalofficesaresetup tocarryoutallor selecteddata‐processing functions,subject toguidelines issuedby thecentralagency.350Duringcompilation, thestatisticsagencyshouldconductaninternalreviewtovalidatethedataandensurethereisnomissing,duplicative,improbableorerroneousdata.SeeBoxXonCanada'sinternalreviewmechanism.

                                                            348PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph66,TableIII.1.349PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph213.350PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph218.

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471. Legislationshouldrequirethecompilationofvitalstatisticsbythestatisticsauthorityonaregularperiodicbasis,forexamplemonthly,quarterlyorannually.Theprocessforcompilationshouldbesetoutininstructionsinordertoallowforflexibility.Instructionsshouldaddressthefollowingtopics:controlofreceiptofstatisticalreports,editing,querying,imputationofmissingorinconsistentdataitems,codingofdata,qualityassurance,andtabulation.Whencompilationiscarried out in a decentralizedmanner, the central agency should issue detailed guidelines toensureuniformity.ThesetopicsarediscussedindepthinPrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,paragraphs220‐256.

BoxX.Canada.Internalreviewmechanismsforvitalstatistics

Coverage.AlthoughvitaleventregistrationdataarereceivedbyStatisticsCanadaonadailybasis,andvolumesaremonitoredonaweeklybasis,dataareprocessedonayearlybasis.Onceallthemicrodataforareferenceyearareextracted,areconciliationofdataholdingstakesplace.Duringthisstep,differentsourcesofdataaregathered:theelectronicNationalRoutingSystem(NRS)messages,digitisedimagesofeventregistrations,causeofdeathdatafromautomatedcauseofdeathcodingsoftwareextract,andthehighestregistrationnumberreportedbythejurisdiction.Thesearecomparedinordertodeterminewhetherallrecordshavebeenreceived.Ifforexample,therearemorerecordsonthecauseofdeathcodeddatathanthereareelectronicdeathmessagesforaparticularjurisdiction,thejurisdictioniscontactedandaskedtosendthemissingdata.

Thenextstepistheeliminationofpossibleduplicateswithinajurisdiction,amongjurisdictions,andovertwoyearsofdata.Mostofthepossibleduplicatesidentifiedthroughthisprocess,whichisbasedonasetofkeyfields,canberesolvedatthecentraloffice,whichthencancelstheduplicaterecord.Forthosethatcannotberesolved,thejurisdictionsforwhichthereareduplicaterecordsarecontactedforresolution.

Missing, improbable,anderroneousdata. Themicrodata are then run through a series ofvalidationedits.Historically,vitalstatisticsrecordsinerrorhavebeencorrectedorverifiedbymanuallygoingtothedigitisedimage(ormicrofilm)oftheregistrationtoconfirmorcorrecttheinformationinthefieldthatfailedtheedit.Thisprocessislengthyandlabourintensive.Wherepossible, automated corrections or data conversions have been programmed for systematicerrors,basedoninformationavailableinotherdataelements.Forexample,iftheageofmotherfieldisblankbutthedateofbirthfieldcontainsdata,theagewillbederivedusingthedateofbirthanddateofevent.Thiswaytheparityofthemothercanbebetterverifiedduringtheeditingstage. Another example iswhere the province of residence ismissing and the postal code isavailable, theprovinceisderivedby lookingat the first letterof thepostalcode.Certaineditscorrectlogicerrors(e.g.verifymaritalstatusas"single"fordeathsofchildrenundertheageof15).

Thefinalpieceoftheevaluationwillbetomeasurethevalueofthecorrectionsontheprecisionoftheestimates.

Cause of death editing is a separate process and a shared responsibility. The three largerjurisdictionsmaintain their own trained causeofdeath codingstaff and code their owndata.StatisticsCanadaprovidescauseofdeathcodingfortheremainingjurisdictions.StatisticsCanadaprovides the training forall causeofdeathcodersandalso conductsa causeofdeath reviewwhereinvalidcause,rarecodes,firsttimeusedcodes,ageandcausecorrelations,maternaldeathsarereviewed.Thereviewalsoensuresconsistentapplicationoftheclassificationandaddressesknownproblemswiththeautomatedmortalityclassificationsystem.Validitycheckssuchasageandcauseorsexandcauseareaddressedduringtheeditingprocess.

D. PUBLICATIONANDDISSEMINATIONOFVITALSTATISTICSREPORTS472. Annualpublicationofvitalstatisticsreportsoffergovernmentagenciesandotherusersadependablesourceofvitalstatisticsdataandprovidethevitalstatisticsagencywithvisibilityintermsofitsfulfilmentofnationalneeds,itspurposeanditsimportancetosociety.Therefore,legislation should mandate that the statistics agency publish and disseminate vital statistics

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reportsanddataonaregularbasis,andatleastannually.351

473. Regulationsshouldaddresstheageof thedata ‐ the timeframewithinwhich thedatamustbereported.Thisisusuallywithin18months.Forexample,publicationofdatafortheyear2017wouldbepublishedbyJune2019.Thiswouldallow6monthstocloseoutthedatafrom2017,allowingforlateregistration,andthenoneyearforcompilationandpublication.Reportsonvitalstatisticsforanycalendaryearshouldbebasedoneventsthatactuallyoccurredduringthecalendaryearandnotonthosemerelyregisteredduringthatperiod.Thedateofoccurrenceas the basis for tabulation requires the determination of a terminal date after which finaltabulationcanbemade. Instructions issuedbythestatisticsagencyshouldprovidea"cut‐off"date,andfinaltabulationsshouldbemadeonthebasisofstatisticalreportsreceivedbeforethatcut off date. Report received after the cut off date should be tabulated separately by date ofoccurrence to provide for the analysis of the problems of delayed registration and delayedreporting.352

474. Regulations or instructions may address the means of dissemination (e.g., paperpublications,bulletinsandelectronicmedia),aswellascontentandformat.353

E. VITALSTATISTICSSUMMARY475. Toaidindrafting, thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

VitalStatistics Yes/NoArevitalstatisticsderivedfromcivilregistrationdata? Isthecivilregistrationauthorityrequiredtotransmitdatatothestatisticsauthorityonaregularbasisandwithinaspecifiedtimeframe?

Isidentifyinginformationremovedfromdatasubmittedtothestatisticsauthority?

Arevitalstatisticscompiledforthetotalgeographicalareaofthecountry,foreachofthemajororminorcivildivisions,andforeachprincipaltownandcity?

Arevitalstatisticscompiledonaprescribedregular,periodicbasis? Arevitalstatisticspublishedatleastannually?

SECTION6.DATAPROTECTION,PRIVACYANDSECURITY476. Manycountrieshavedataprotectionslawsthatregulatethecollection,storageanduseofdatabybothgovernmentandprivatedatacollectors.CRVSIDsystemsshouldbesubject tothese laws, while allowing data to be used for legitimate government purposes. It isrecommended that countries develop a general data protection law. If such a law exists,lawmakers should consider including provisions in CRVSID legislation that state how theprovisionsof ageneraldataprotection lawspecificallyapply to civil registrationand identityrecords. If a general data protection law does not exist, CRVSID legislation should containprovisionsthatprovidefortheprotectionofpersonalinformationcontainedincivilregistration

                                                            351SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs258‐273foradiscussionon"Presentationofresultsanddatadissemination".352PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph245‐251.353SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs258‐273foradiscussionon"Presentationofresultsanddatadissemination".

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and identity records, including information transferred to the population register. Someinternationallyrecommendedprinciplesfortheprotectionofdataarediscussedbelow.

477. TheOrganization forEconomicCooperation andDevelopment (OECD) has developedguidelinesgoverningtheprotectionofprivacyofpersonaldata,whichapplywhetherthedataisinthepublicorprivatesector.TheseGuidelinessetoutthefollowingeightprinciples:354

i. Collection Limitation Principle: There should be limits to the collection ofpersonaldataandanysuchdatashouldbeobtainedbylawfulandfairmeansand,whereappropriate,withtheknowledgeorconsentofthedatasubject.

ii. DataQualityPrinciple: Personal data should be relevant to the purposes forwhichtheyaretobeused,and,totheextentnecessaryforthosepurposes,shouldbeaccurate,completeandkeptup‐to‐date.

iii. Purpose Specification Principle: The purposes for which personal data arecollectedshouldbespecifiednotlaterthanatthetimeofdatacollectionandthesubsequentuselimitedtothefulfilmentofthosepurposesorsuchothersasarenot incompatiblewiththosepurposesandasarespecifiedoneachoccasionofchangeofpurpose.

iv. UseLimitationPrinciple:Personaldatashouldnotbedisclosed,madeavailableorotherwiseusedforpurposesotherthanthosespecifiedinaccordancewithParagraphiiiexcept:a)withtheconsentofthedatasubject;orb)bytheauthorityoflaw.

v. SecuritySafeguardsPrinciple:Personaldatashouldbeprotectedbyreasonablesecuritysafeguardsagainstsuchrisksaslossorunauthorisedaccess,destruction,use,modificationordisclosureofdata.

vi. Openness Principle: There should be a general policy of openness aboutdevelopments,practicesandpolicieswithrespecttopersonaldata.Meansshouldbereadilyavailableofestablishingtheexistenceandnatureofpersonaldata,andthemainpurposesoftheiruse,aswellastheidentityandusualresidenceofthedatacontroller.

vii. Individual Participation Principle: Individuals should have the right:a)toobtainfromadatacontroller,orotherwise,confirmationofwhetherornotthedatacontrollerhasdatarelatingtothem;

b)tohavecommunicatedtothem,datarelatingtothem i.withinareasonabletime; ii.atacharge,ifany,thatisnotexcessive; iii.inareasonablemanner;and iv.inaformthatisreadilyintelligibletothem;

c) to be given reasons if a request made under subparagraphs (a) and (b) isdenied,andtobeabletochallengesuchdenial;and

d)tochallengedatarelatingtothemand,ifthechallengeissuccessfultohavethedataerased,rectified,completedoramended.

viii. AccountabilityPrinciple:Adatacontrollershouldbeaccountableforcomplyingwithmeasureswhichgiveeffecttotheprinciplesstatedabove.

478. Applyingthesegeneralprinciplesensurestheprotectionandprivacyofpersonaldata,whilestillallowingCRVSIDsystemstofunctioneffectivelyandfulfiltheirintendedpurposes.How                                                            354TheOECDPrivacyFramework,OrganizationforEconomicCooperationandDevelopment,2013,page14‐15.

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theseprinciplesmightbeappliedtoCRVSIDsystemsisdiscussedbelow.Becausethereissomeoverlapintheseprinciples,thediscussionisstructuredaroundhowtheprinciplesapply:1)atthetimeofcollectionandupdating(collectionlimitation,dataqualityandpurposespecificationprinciples);2)atthetimeofaccessanduse(uselimitationandsecuritysafeguardsprinciples);3) during storage, transmission, and archiving (security safeguards principle); and 4) toindividual rights and remedies (openness, individual participation, and accountabilityprinciples).

A. COLLECTIONANDUPDATING:COLLECTIONLIMITATION,DATAQUALITYANDPURPOSESPECIFICATIONPRINCIPLES

479. Having CRVSID legislation, regulations and instructions that specify the exactinformationtobecollectedwithcivilregistrationandidentityregistrationhelpsensurethatthecollection of data is obtained lawfully and fairly, in conformitywith the collection limitationprinciple. Thepreamble or general provisions of CRVSID legislation should clearly define thepurposes‐legal,statistical,andadministrative‐forwhichthedatawillbeused(seeparagraph9above).Thisservestonotifythepopulationofthepurposesandusesofthedatacollected,inlinewiththepurposespecificationprinciple.Ifdataistobeusedforotherpurposesinthefuture,lawsshouldbepromulgatedoramendedtoreflecttheseuses.

480. Inaccordancewiththedataqualityprinciple,"personaldatashouldberelevanttothepurposesforwhichtheyaretobeused."Whileawidearrayofinformationiscollectedduringcivilregistration,thisprincipledoesnotrestrictthecollectionofstatisticalinformation.However,itdoesrequirethatindividualrecordsbeanonymizedbeforesubmissiontothestatisticsagency,asthisensuresthatinformationcollectedforstatisticaluseisnotusedforotherpurposes.Foridentityregistration,expertsrecommendthatinformationcollectedduringenrolmentbekepttothe minimum needed to validate an identity ‐ for example, name, limited biographicalinformation,andbiometrics.

481. The continuous and permanent nature of civil registration and identitymanagementhelpsensurethatpersonaldataisaccurate,completeandkeptuptodate,inlinewiththedataquality principle. An individual’s right to correct and amend their own data (as discussed inparagraphsxx ‐correctionsandamendmenttotherecord)andtoappealdecisionsrelated tocorrections and amendments (paragraphs xx ‐ administrative and judicial review) also helpsensuredataquality.

B. ACCESSANDUSE:PURPOSESPECIFICATION,USELIMITATION,ANDSECURITYSAFEGUARDS482. Thepurposespecification,use limitationandsecurity safeguardsprinciples state thatdata should be used only for its specified purpose and should be protected from access byunauthorizedpersons.Differentcategoriesofgovernmentofficialsandnon‐governmentpersonshavediverseneedsforaccesstoanduseofdatafromCRVSIDsystems.Inkeepingwiththe“uselimitation”and“securitysafeguards”principles,legislationshouldaddressthesediverseneedsforallthosewhomaybeabletoaccesstherecords.Thisincludescivilregistrationandidentitymanagementofficials, vital statistics officials and independent researchers, other governmentofficials,vendorsandcontractors,andnon‐governmentalandprivateinstitutionalusers.Thesearediscussedbelow.

483. Accessbycivil registrationand identitymanagementofficials: Legislation shouldallowaccesstovitaleventrecordsandidentityrecords,includingtherighttochangeoramenddata,forofficial legal,administrativeandstatisticalpurposesonly.Legislationshouldestablish thataccess to civil registration and identity records is limited to only the necessary officials.Regulationsorinstructionsshouldestablishahierarchyforallowingdifferentlevelsofaccesstotherecords,limitingthisaccesstoonlythatwhichisnecessaryforthespecificlegal,authorized

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administrativeorstatisticalpurposeinquestion.355

484. Accessbyvitalstatisticsofficialsandindependentresearchers:AsdiscussedintheVitalStatisticssection,paragraphsxx,individualrecordssubmittedfromthecivilregistrationagencytothestatisticsagencyshouldbesubmittedwithidentifyinginformationremoved.Thispreventsunauthorized access to personal information and ensures that statistical data is used for itsintended purpose. Academic and independent researchers may also wish to access civilregistrationdata.Legislationorregulationsmayprovidethataccesstocivilregistrationrecordsmaybeprovidedtocertainusersforlegitimateresearchpurposesonly.Accessmayincludedataatanaggregatedlevelaswellasindividualvitalstatisticsrecords.However,accesstoindividualrecordsshouldonlybeallowedwithidentifyinginformationremovedfromthefiletoprotecttheprivacyof individuals, and subject to auseragreementonconfidentiality and theuseofdatabetweenthestatisticalagencyandusers.356SeeBoxXforanexampleofhowNorwayhandlesrequestsforaccesstodatainthepopulationregisterfromgovernmentandprivateresearchers.

485. Accessbyothergovernmentofficials:Othergovernmentagencies,suchashealthorsocialservices, may have need to access civil registration and identity records. Regulations orinstructions should establish procedures for other agencies to request access to or copies ofrecords or data for official government purposes and should provide that any disclosure ofinformation that might identify a person has been specifically authorized with the nationalregistrar, eitherby legislation, regulation, instructionor agreement.357Aswith accessby civilregistrationandidentityofficials,accessshouldbepermittedonlytotheextentnecessaryforthespecificadministrativepurposeandlevelsofaccessshouldbeestablished.

486. Accessbyvendorsandcontractors:Civilregistrationandidentitymanagementagenciesmayhaveneedtocontractwithtechnologyfirmsandothervendorstocarryoutspecificfunctionsofthesystem.Forexample,theidentitymanagementagencymaycontractwithavendortoprovideauthentication services, including point‐of‐service equipment and platform software; orenrolmentintheprogrammightbesub‐contractedtoavarietyofentities,aswithIndia'sAadharsystem.Vendors'andcontractors'accesstodatashouldbelimitedtoonlythatwhichisessentialto carryout the task required. Contractsbetween the government agencyandvendor shouldcontainprovisionsthatexplicitlysetoutwhatdatamaybeaccessed,howitmaybeaccessedandused,andlimittheabilityofthevendor/contracttostoreandretainthatdatatoonlythatwhichis necessary for the specified task. As with government officials, contractors should haveprotocolsthatestablishahierarchyoflevelsofaccess.

487. Accessbynon‐governmentalandprivate institutionalusers: Legislation or regulationsshould address access by private institutions that use the identity management system forauthentication purposes. The legislation or regulations should address the level of access,includingaccesstoonlythatdatathatisnecessaryforauthentication.Themeansforaccessingthatdatashouldensurethattheprivateinstitutiondoesnothavetheabilitytocollectandstorethat data, but only to use it for the authentication purpose at the time of request. Specificproceduresforaccessingdatashouldbedetailedininstructionsorauseragreement.

488. Toensurethatonlyauthorizedpersonnelaccessdata,somecountrieshaveasystemtomonitor and track system users who access records. Policy makers may wish to considerimposing a general requirement that digital systems be designed in such a manner as toautomatically and continuouslykeepa logofpersonnel that access records. Instructionsmay

                                                            355HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph485‐488.356PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraphs269,299.357PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph417.

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addresstechnicalspecificationsandproceduresforsuchasystem.

Norway:PrivacyandUseofDatabyGovernmentandResearchers

RequestsonaccesstothedataoftheCentralPopulationRegister(CPR)inNorwayarehandledbytheowneragency,theNationalTaxAdministration.TheTaxAdministrationdistributesdatadirectlyanddailytoafewlargeusers,includingStatisticsNorway,theNorwegianLabourandWelfareAdministration,theDirectorateofImmigrationandtheNorwegianMappingAuthority.Otherusers(morethan2,200)receivetheinformationthroughaprivatecompanyaccordingtoanagreementwiththeTaxAdministration.Usersmayonlyreceivedataafteranapplicationthatexplainsthereasonsforneedingthedata.TheusersonlyreceivethedataintheCPRthattheyareentitledto,accordingtothelaw.

On the other hand, Statistics Norway handles requests for microdata for research projects,relating to persons, establishments and enterprises. Researchers from approved researchinstitutions inNorwayhave to apply to theDataProtectionAuthority or one of the RegionalEthicalCommitteesforpermissiontousemicrodata,whilepayingforthecostsofproducingthedatafiles.Transferofpersonaldataoutsidethecountry'sbordersisnotallowedaccordingtotheStatisticsAct.TherehavenotbeenanyveryseriouscasesofmisuseofdatafromtheCPR,butithasbeenrevealedthatinahandfulofcases,conditionsforreceivingmicrodatawereviolated,suchassharingthedatawithotherresearchersorexportingdatatoothercountries.

Themicrodataareanonymizedbeforebeingreleased,whichmeansthatvariablesthatcanbeusedtodirectlyidentifyanindividualareremovedfromthefile,suchasnameandPlN.Sinceitmaybepossibletouseothervariables,suchasaddress,fulldateofbirth,etc.,toindirectlyidentifyindividuals,usersneedtosignanon‐disclosuredeclaration.Furthermore,microdataarereleasedforaspecificprojectandmustbeeradicatedwhensucharesearchprojectisfinished.Microdatathatmaybereleasedforresearchincludedatafromadministrativeregisters,populationcensusesand sample surveys, and cover labour market, population, social security, income, wealth,educationalactivityandattainment,healthandestablishmentsandenterprises.

AccordingtotheNationalRegistryActpublicauthoritiesandenterprisesareabletoobtainnon‐confidential informationfromtheCPRthroughlistsbasedonpersonal identificationnumbers.Privatebusinessesandactorsareabletoobtainnon‐confidentialinformationfromtheCPRaboutnamed identifiable individuals. The principle of confidentialitywill not apply for informationelements such as name, date and place of birth, gender, personal identification number,citizenship,marital statusanddateof death.The confidential itemswill include amongotheraddress,parents,spouse,childrenandadoption.

C. STORAGE,TRANSMISSIONANDARCHIVING:SECURITYSAFEGUARDS489. Asreflectedinthe“securitysafeguardsprinciple”,dataincivilregistrationandidentitymanagement systems must be secured and protected from loss or unauthorised access,destruction,use,modificationordisclosureofdata.Unauthorizeduseandaccesswerediscussedabove.Herewediscussmeasurestopreventloss,destructionandunauthorizedmodificationordisclosureduringtransmission,storageandarchiving.

490. Data isparticularlyvulnerableduringtransmissionandthereforemeasuresshouldbeputinplacetosafeguarddataduringtransmission.Specificprocessestoprotectdatawilldifferformanualanddigitalsystems.Formanualsystems,recordsshouldbephysicallyprotectedfromtampering and improper access and use when being transferred from local registrars to thecentral authority. Where registration records are transmitted electronically, end‐to‐endencryptionshouldbeused.Measuresandtechnologyusedtoensureprivacyandsecurityshouldbesetoutininstructionssothattheymaybemoreeasilyamendedastechnologyadvances.

491. Special consideration should be given to issues of privacy and security when recordlinking is used, as linking may provide opportunities for inadvertent and inappropriate

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disclosures. 358 If record linking is employed, regulations should address how access toinformationanddataelementswillbelimitedtoonlythoseofficialswithauthorizationandneedtoaccessthatinformation.

492. Protectionofdatafromlossanddestructionduringstorageandarchivingrequiresprotocolsfor maintenance and backup systems. For digital civil registration and identity managementsystems(includingthepopulationregister),proceduresforstoringandpreservingrecordsrelyoncurrentgeneralpracticesformaintenanceandbackup.Acommonapproachconsistsofhavingtwoserverssimultaneouslyonlineandmirroringeachothersothateachinteractionandinputofanewrecordisrecordedonboth.Anothercommonpracticeistohavedailybackupsfromthemain servermaintaining the database/population register, thus ensuring the preservation ofrecords.Frequently,themirrororbackupserverislocatedinadifferentgeographicalarea,evenadifferentcountry,asariskmitigationstrategy.Ifthiscourseofactionistaken,dataprotectionmeasuresforthemirrorservermustbetaken,particularlyiftheserviceisoutsourcedtoaprivatecompany.359

493. Legislationshouldrequirethattherebemaintenanceandbacksystemstopreventthelossandensurethesecurityofcivilregistrationandidentitydata.Thelegislationshouldnotaddressthetypeoftechnologyused,thefrequencyofbackup,orotherdetailsregardingmaintenanceandbackup procedures. This is better addressed in internal agency instructions, so theymay berevisedinresponsetoneeds.

D. PROTECTIONOFINDIVIDUALRIGHTS494. The“openness”and“individualparticipation”principlesinvolveaperson’srighttoknowwhoisusingtheirdata,whatdataisused,andtocorrectoramendthatdata.Legislationshouldstate that all persons have a right to know how their civil registration and identity data iscollected,used,storedandshared,andarighttocorrectandmodifyone'sowncivilregistrationandidentityrecords,subjecttoproperdocumentaryorotherevidentiaryproof, inaccordancewithprovisionsofthelaw.Provisionsthataddressamendmentsandcorrectionsofvitaleventsrecords and identity documents, as well as provisions on administrative and judicial appealprocesses,helpensuretheserights.Providingforsanctionsandpenalties(paragraphsxxbelow)ensures that data controllers are held accountable for compliance, in accordance with theaccountabilityprinciple.

E. DATAPROTECTION,PRIVACYANDSECURITYSUMMARY495. Toaidindrafting, thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

DataProtection,PrivacyandSecurity Yes/NoArethegeneralOECDprinciplesofdataprotectionreflectedinCRVSIDlegislation?

Isdatacollectedlimitedtothatwhichisnecessaryforitsintendedpurpose? Isaccesstoanduseofdatalimitedtoonlynecessaryofficials? Isahierarchyallowingdifferentlevelsofaccesstotherecordsestablished? Isaccesstorecordsbycivilregistration,identitymanagement,andothergovernmentofficialspermittedonlytotheextentnecessaryforthespecificadministrativepurpose?

Isaccesstodatabyindependentresearcherssubjecttoconfidentialityagreementsandonlywithidentifyinginformationremoved?

                                                            358PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph425.359HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph251.

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Arevendors'andcontractors'accesstodatashouldbelimitedtoonlythatwhichisessentialtocarryoutthetaskrequired?

Areprivateinstitutionaluserspreventedfromstoringaccesseddata? Aredigitalsystemsdesignedinsuchamannerastoautomaticallyandcontinuouslykeepalogofpersonnelthataccessrecords?

Areproceduresestablishedtoensuretheconfidentialityofvitaleventandidentityrecordsduringtransmission,storage,archiving?

Areback‐upsystemsmaintained? Doindividualshavearighttoknowwhoisusingtheirdataandwhatdataisused?

Doindividualshavearighttocorrectandamendtheirdata,inaccordancewithprovisionsoflaw,includingarighttoappealdecisionsregardingcorrectionandamendmentofdata?

SECTION7.COMPLIANCE,ENFORCEMENT,RIGHTSANDREMEDIES

A. MONITORINGANDINSPECTION

(i) MonitoringandInspectionofcivilregistrationandidentityregistrationoffices496. Aperformance‐monitoringprogramisanintegralpartofcivilregistrationandidentitymanagementsystems.Routinemonitoringandinspectionofaregistrar'sworkisrequiredinordertocontinuetoimprovetheefficiency,effectivenessandqualityofthesystems.Periodicinformationonthesystems’performanceprovidesinformationonwhetherthesystemsarebeingconductedeffectively.Tothisend,thePrinciplesandRecommendationsforaVitalStatisticsSystemrecommendstrackingthetotalnumberofregistrationsofeachtypeofvitalevent,atleastonamonthlybasis,andateverygeographicaloradministrativelevel.Similarly,thetotalnumberofcertificatesissuedforeachtypeofvitaleventshouldbetrackedperiodicallyandateverygeographicalandadministrativelevel.Withtheseindicators,amanager,nationalorlocal,willbeabletodetectunexpecteddropsorspikesinregistrationflow.360361Similarly,performanceofidentityregistrationandcredentialissuancemaybetracked.

497. Legislationshouldauthorizeandrequirethenationalregistrartoimplementaperformance‐monitoringprogramandconductroutineandadhocinspectionsoflocalregistrationoffices.Detailsonthemonitoringandinspectionprogramshouldbeaddressedininstructions,whichshouldincludethemethodandfrequencywithwhichroutineinspectionsoflocalregistrarsareconducted.Inaddition,instructionsshouldaddressproceduresforconductingadhocinspections,asnecessary,torespondtospecialsituations,suchasanofficethatisunderperformingorissuspectedofabuseofauthority.

(ii) Monitoringandevaluationofinstitutionalprocesses498. Completenessofcivilregistrationcanonlybeachievedifthelegalobligationofotherstakeholders‐suchasthehealthsector,police,coroner'soffice,andcustodiansoffuneral,burialandcremationfacilities‐toreportornotifyvitaleventsismonitoredandenforced.Asystemofsupportivesupervisionandmonitoringislikelytobemoreeffectivethanasystemoffinesandpenalties,inpartbecausetheinfrastructurerequiredtoadjudicatefinesandpenaltiesmaynotbeavailable.Forexample,courtsmaybebacklogged,appealproceduresmaybelengthy,and

                                                            360HandbookonCivilRegistrationandVitalStatisticsSystems:Management,Operation,Maintenance,Revision1,UnitedNationsPublication,SalesNo.XXX,2018,paragraph203‐204.361SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph335.

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collectionoffinesmaybedifficult.362Incontrast,agoodsystemofreporting,monitoringandfeedback‐includingregularreportsfromthoseobligedtonotifyvitaleventswhichcanthenbecomparedagainstbirthanddeathregisters‐maybemorefeasibleandeffective.

499. Legislationshouldrequiremonitoringofinstitutionsthatareresponsibleforreportingornotifyingvitalevents.Thespecificmonitoringprocessmaybesetforthinregulationsorinstructions.

B. ADMINISTRATIVEANDJUDICIALREVIEW

500. DecisionsmadebyofficialswithintheCRVSIDsystemcanhavelegalconsequencesthatmayfundamentallyimpactaperson’slife.Reasonablemindsmaydisagreeabouthowtoresolvecertaindifficultsituationsandthereforedecisionsmadebycivilregistrationandidentitymanagementofficialsshouldbesubjecttoadministrativeandjudicialappeal.Theseproceduresareoftencontainedincountry’sadministrativeprocedurelaw.

501. Ifacountrydoesnothaveapplicableadministrativeprocedurelaw,CRVSIDlegislationshouldprovideforanappealprocess.Policymakersshouldconsiderrequiringadministrativeappealbeforeappealtothecourts.Thiswillpreventoverloadingofthecourts,providethecivilregistrationandidentitymanagementagenciesthechancetocorrectanyerrors,andestablisharecorduponwiththecourtcanactifsatisfactoryreliefisnotgrantedintheadministrativeprocess.Anadministrativeprocessgenerallyprovidesforappealfromadecisionatthelocalleveltoahigher‐level(suchasprovincial),anduptothenationallevel.Afterexhaustionofthisprocess,appealmaybetakentoacourtwithappropriatejurisdiction.

502. Legislationshouldallowforappealfromregistrardecisions;forexample,arefusaltoregisteravitaleventorissueanidentitycredential.Legislationshouldpermitappealwithinprescribedperiodsoftime.Regulationsorinstructionsshouldcontaindetailedproceduresforprocessingtheappealsothatthenationalregistrarwillhavethecompetentauthoritytoruleonthefiledappeal.Inallcases,ifsatisfactoryreliefhasnotbeengrantedthroughtheadministrativeappealprocess,anindividualshouldbepermittedtoappealtoacourtwithappropriatejurisdiction.

C. OFFENSESANDPENALTIES

(i) Disciplinarysanctions,civilandcriminalpenaltiesforfailuretocarryoutdutiesandmisconductbyregistrars

503. Civilregistrarsandidentitymanagementofficials,aspublicservants,areexpectedtofaithfullycarryoutthelaw.Whereacivilregistraroridentitymanagementofficialfailstocarryoutdutiesorabusestheirauthority,legislationshouldexplicitlyprovideforpenalties.363Thereshouldbecleardisciplinaryproceduresandpenaltiesforinstancesofdeliberatemisconductbyregistrars,includingfraudulentregistrationsorinappropriatedisclosures,364aswellasforabuseofpowersanddiscretion.Incriminalcases,theheadofthecivilregistrationand/oridentitymanagementagencyshouldbeaccountabletothecompetentlawenforcementauthorities.Regulationsshouldsetoutdisciplinarysanctions,aswellascivilandcriminalpenalties,forinstanceswhereacivilregistraroridentitymanagementofficial:

1. Failstoregisteravitaleventoritscharacteristics,asreportedbytheinformant;

                                                            362PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph294.363PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph338‐339.364PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph326.

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2. Failstoregisteranindividualintheidentitymanagementsystem,wherethereisarighttosuchregistration;

3. Loses,damagesoraltersanyregisteredrecordsorpermitssuchloss,damageoralterationtooccur;

4. Breachesaperson’srighttoprivacyandprotectionoftheirdata;

5. HasbeenfoundguiltyofviolatingtheprovisionsofCRVSIDlegislationorregulations;

6. Failstofilloutandsubmitstatisticaldocumentation;365

7. FailstotransmitdatainaccordancewiththeprovisionsofCRVSIDlaw.

504. Whetheraviolationmeritsdisciplinarysanctionsorcivilorcriminalpenaltiesshouldbedeterminedbytheseverityoftheviolation,inaccordancewithnationallaw.

(ii) Offensesandpenaltiesforothergovernmentofficials505. Legislationshouldprovidefordisciplinarysanctionsandcivilpenaltiesforothergovernmentofficialsthatfailtocomplywiththelaw,includingentitiesthatarerequiredtonotifyvitaleventstothecivilregistrarandgovernmentofficialsthatfailtotransmitinformationtothepopulationregisterasrequiredunderthelaw.

(iii) Thirdpartiespenalties506. Thirdpartiesusersofthesystem,includingthoseusingthesystemforauthenticationpurposes,mustbesubjecttocivilandcriminalpenaltiesforfailuretocomplywiththelaw,includingdataprotectionandprivacyprovisions.

(iv) Penaltiesforthegeneralpublic:lateanddelayedregistration,fraudulentaction507. Caremustbeexercisedinimposingsanctions,particularlypenalones,forlateanddelayedregistration.Contrarytowhatmightbeexpected,sanctionsdiscourageregistrationandentailtheriskofkeepingimportantsegmentsofthepopulationfromregisteringvitaleventsorleadtofalsedeclarationsofimportantdata,particularlythedateofoccurrence.366Therefore,policymakersshouldavoidpenaltiesforindividualsforlateordelayedregistration.

508. Legislationshouldprovideforcriminalpenaltiesforfraudulentacts,suchasprovidingfalsedocumentationtocivilregistrationoridentitymanagementauthorities,orfalsifyingoralteringcertificatesoridentificationdocuments.Thisshouldincludecriminalpenaltiesforgovernmentofficialswhotakepartin,oraidandabet,thistypeoffraudulentactivity.

D. REVENUETOFUNDTHESYSTEM

(v) Feecollectionintothesystem509. Inordertosupportsustainabilityofthesystem,legislationshouldprovidethatfeesandotherrevenuecollectedthroughCRVSIDsystemsshouldbeallocatedtofundingofCRVSIDsystems.

E. COMPLIANCE,ENFORCEMENT,RIGHTSANDREMEDIESSUMMARY510. Toaidindrafting,thefollowingchecklistprovidesasummaryoftopicsdiscussedabovethatshouldbeaddressedinCRVSIDlegislation.Thequestionsarestructuredsuchthat,ifgoodpracticesarebeingfollowed,theanswershouldbe“yes”.

                                                            365SeePrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph338.366PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,UnitedNationsPublication,SalesNo.E.13.XVII.10,UnitedNations,2014,paragraph371‐373.

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Compliance,Enforcement,RightsandRemedies Yes/NoIsasystemofmonitoringandinspectionofcivilregistrationandidentityregistrationofficesestablished?

Isasystemsofmonitoringinstitutionsthatareresponsibleforreportingornotifyingvitaleventsestablished?

Aredecisionsofcivilregistrarsandidentitymanagementofficialssubjecttoadministrativeandjudicialappeal?

Aredisciplinarysanctions,andcivilandcriminalpenaltiesestablishedforcaseswhereacivilregistraroridentitymanagementofficialfailstocarryoutduties,violatesprovisionsoflaw,orengagesinothermisconduct?

Aresanctionsandpenaltiesestablishedforothergovernmentofficialsthatfailtocomplywithprovisionsofthelaw(includingentitiesthatarerequiredtonotifyeventstothecivilregistrarandgovernmentofficialsthatarerequiredtotransmitinformationtothepopulationregister)?

Arethirdpartyusersofthesystem,suchasinstitutionsthatuseauthenticationservices,subjecttocivilandcriminalpenaltiesforfailuretocomplywiththelaw,includingfailuretocomplywithdataprotectionandprivacyprovisions?

Arecriminalpenaltiesestablishedforfraudulentacts,suchasprovidingfalsedocumentationtoauthorities,falsifyingoralteringdocuments,andaidingandabettingsuchacts?

IsrevenuecollectedfromCRVSIDsystemsusedtofundCRVSIDsystems?

SECTION8.TRANSITIONALPROVISIONS511. Transitionalprovisionsmaybenecessarytoensurethatthetransitionfromtheexistinglawtothenewlawisproperlyimplemented.Ifallprovisionsofthenewlawcomeintoeffectimmediately,beforestakeholdersarereadyandabletoimplementthoseprovisions,stakeholdersmayfindthemselvesinviolationofthelaw.Forexample,ifthenewlawrequiresheadsofhealthfacilitiestonotifytheregistrarofbirthsanddeathsthatoccurintheirfacilitybutsystemsarenotinplacetoenablethefacilitytorecordallrequiredinformationandtransmitittothelocalregistrar,theheadofthehealthfacilitywouldbeinviolationofthelaw.

512. Toavoidthissituation,legislationshouldcontaintransitionalprovisionsphasinginthenewrequirements.Suchaprovisionmightstate,forexample,thatSectionXofthelaw(thesectionthatrequireshealthfacilitiestonotifytheregistrarofbirthsanddeaths)comesintoforceonaspecifieddateinthefuture,whichcouldbeone,twoorevenmoreyearsinthefuture.Duringthistransitionaltime,thecivilregistrationagencyshouldworkwiththehealthfacilitiestoensurethatstaffareadequatelytrainedtocollecttherequiredinformation.Ifhealthfacilitieswillsubmitinformationonline,civilregistrationauthoritiesshouldworkwithhealthfacilitiestoensurethatthesystemsareinteroperable.Ifapaper‐basedsystemisused,healthfacilitiesmusthaveasufficientsupplyoftherequiredformsandunderstandprocedurestosubmittheformstotheregistraronatimelybasis.

513. Inmanycountries,computerizedandpaper‐basedregistrationsystemswillbeusedconcurrentlyformanyyears,particularlyifsomepartsofthecountrylackinternetconnectivity.Ifthisisthecase,regulationsandinstructionscanbedevelopedthatsetoutthestepsregistrarsmustfollowwhencollecting,storingandtransmittinginformationtothecentralregistrarforbothpaper‐basedanddigitizedsystems.Ifthegoalistohaveallregistrarofficescomputerizedbyaspecificdate,theregulationsgoverningpaper‐basedprocessescanbephasedoutovertime.AsdiscussedaboveinparagraphXX,Mongoliaprovidesanexampleofacountrywithdualprocessesfordistrictsthathaveonlineaccesstothecentraldatabaseanddistrictsthatdonothaveonlineaccess.SeeBoxXabovefordetails.

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514. Transitionalprovisionsshouldallowforpilotprojectstobedevelopedduringthephase‐inperiod,inordertodevelopprocessesthatworkbestforthecountry.Asnewproceduresandsystemsarehoned,theycanberolledoutoveraperiodofyearsaroundthecountry.Draftersoflegislationshouldberealisticregardingtimeframesforpilotprojectsandrollout.Newsystemscantakeyearstodevelopandthetransitionalprovisionsshouldallowadequatetimeforthis.

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VI. OTHERLAWSANDPOLICIESTHATSUPPORTCRVSIDSYSTEMS:INCENTIVES,MEDICALPROFESSIONTRAINING,ANDTECHNOLOGY

515. MuchoftheinformationintheprecedingchaptersoftheseGuidelinesaddresseshowacountry'sCRVSIDlawscancreateanenablingenvironmentforcivilregistration,vitalstatisticsandidentitymanagementsystems,withtheaimofachievingcompleteanduniversalcivilregistration;timelyandaccurateproductionanddisseminationofvitalstatisticsgeneratedfromcivilregistration;andprovisionofidentitycredentialstoindividualsforprovinglegalidentityandexercisingtheirhumanrights.Creatinganenablingenvironmentincludesremovingbarrierstocivilandidentityregistration‐suchasfeesandpenalties,inefficientandburdensomeprocedures,distancetoregistrationoffices,socialandlanguagebarriers,andotherexclusionarypolicies.EffectiveCRVSIDlawsmayalsoplacetheonusoncivilregistrationandidentityregistrationofficialstoproactivelyreachouttoremoteormarginalizedcommunities,andrequireothergovernmententities,suchashealthcarefacilities,totakeontheresponsibilityofactingasinformantsforvitalevents.

516. However,evenwiththesebestpracticesinplace,theremaynotbe100percentcompliancebyinstitutionsandindividuals.Forexample,localregistrarsmaynotsufficientlyengageinoutreachandsomehealthfacilitiesmayfailtoregisteralleventsthatoccurintheirfacilities.Vitaleventsthathappenoutsideoffacilities,wheretheindividualsthemselvesorthefamilymightbedirectlyresponsibleforregisteringtheseevents,areparticularlylikelytobeunregistered.Ifindividualsdonotperceiveanypersonalbenefitfromcivilregistration,theseindividualsmaynottakethetimetoregistervitalevents.Similarly,anindividualmaynotperceiveanybenefitfromregisteringtheiridentityandreceivinganidentitycredential,regardlessofwhetheridentityregistrationandcredentialsaremandatoryornot.

517. ThischapterfocusesonhowtocreateincentivesforinstitutionsandindividualstocomplywithCRVSIDobligations.WhereasmeasurestoremovebarriersandotherwisecreateanenablingenvironmentaregenerallyaddressedinCRVSIDlaws,measurestoincentivizeinstitutionalcomplianceandincreaseindividualdemandforcivilregistrationandidentitydocumentsarecommonlyaddressedinotherlawsandpolicies.Belowwediscussmeasuresthatmayhelpcountriesincreaseinstitutionalcomplianceandindividualdemandforcivilregistrationandidentitydocuments,andsuggesthowthesepoliciesmightbeintegratedintootherlaws.Thischapteralsoaddresseslawsthatmaybeadopted,outsideofCRVSIDlaws,toimprovecauseofdeathinformationandfacilitatetheuseoftechnologyincivilregistrationandidentitymanagementsystems.

518. Inadditiontointegratingthesemeasuresintolaws,educationandcommunicationscampaignsalsoarenecessarysothatpeopleareawareofthebenefitsofcivilregistration.Forfurtherinformationoneducationandcommunicationscampaigns,seeHandbookonCivilRegistrationandVitalStatisticsSystems:DemandCreation.

A. INCENTIVESFORINSTITUTIONALCOMPLIANCE519. Civilregistrationandidentityregistrationratescanvarygreatlywithinacountry.Poorer,rural,remoteormountainousareasoftenhavelowerregistrationratesthanmoreurbanoreconomicallydevelopedareasduetogreaterdifficultyinaccessingregistrationofficesandlowerlevelsofknowledgeregardingthebenefitsofregistration.AsdiscussedinChapters1and4,obligatingandempoweringlocalcivilandidentityregistrarstoconductpublicoutreachcampaignsandorganizemobileunitscanhelpincreaseregistrationratesintheseareas.However,lawsrequiringcivilregisterstobeproactivemaynotbythemselvesbesufficient.Inaddition,particularlyindecentralizedsystems,centralauthoritiesmaystruggletoget

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registrationrecordsfromlocalauthoritiesinatimelymanner.Toincentivizecompliance,proactiveaction,andtimelytransmissionofinformationbylocalregistrars,somecountrieshavelinkedfundingoflocalregistrationofficestotheattainmentofcertaincriteriaortargets.Forexample,inPeru,boththecentralcivilregistrationagency(RENIEC)andmunicipalregistryofficeshaveauthoritytoregisterbirthsandissuecertificates.ToensurethatlocalmunicipalitiestransferbirthregistrationinformationtoRENIECinatimelymanner,thecentralgovernmenthasincorporatedthisrequirementintoitsperformance‐basedpaymentplanformunicipalities;municipalitiesonlygetpaidifthecivilregistryentriesarereceivedcentrally.367Similarly,fundingmaybeusedtoincentivizehealthinstitutionstocomplywithcivilregistrationrequirements;thoseinstitutionsthatreachtargetcompliancelevelsmayreceivehigherlevelsoffunding.Likewise,fundingincentivesmaybeusedforalltypesofpartnersandstakeholdersintheCRVSIDsystem.

520. Tyingfundingtoperformancecanbeaneffectivewaytoincreaseinstitutionalcompliance.However,whendoingthis,countriesmustbecarefulnottopenalizethoseareasofthecountriesthathavethegreatestneed.Forexample,asnotedabove,remoteandmountainousregionsoftenhavethelowestcivilregistrationandidentityregistrationrates.Theseareasoftenarepoorerregionsandhavethegreatestneedoffundinginordertoorganizemobileunitsandconductoutreachandeducationcampaigns.Yet,iffundingistiedsolelytoregistrationrates,theseareasmaybedeprivedoftheveryfundingtheyneedtoincreaseregistrationrates.Countriesshouldbecarefultoensurethatfundingincentivesdonotcreatealowregistrationratetrap,withlowfundingcontributingtolowregistrationratesandlowregistrationratesleadingtolowerfunding.

521. Policiesthataddressthelevelofdisbursementoffundstoregistrationoffices,CRVSIDstakeholders,andgovernmentorprivatefacilitiesmaybecontainedinlawsorregulations,butmoreoftendetailedfundingcriteriaarecontainedinagencyprocedures.Thisaffordsthegovernmentandcentralofficesofagenciesgreaterflexibilityindeterminingthedisbursementoffundstoincentivizecompliance,proactiveactionandtimelytransmissionofinformation.

B. CREATINGINDIVIDUALDEMANDFORIDENTITYCREDENTIALS522. AsdiscussedinChapterOne,countrypracticesvaryonwhetherregisteringforandobtaininganationalidentitycardorothercredentialismandatory,voluntary,orevenavailable.Evenincountrieswhereidentitycardsorcredentialsaremandatory,manypeoplemaystillnotregisteriftheyseenobenefittohavinganationalidentitycardorcredential.Manycountrieshavefoundthatlinkingthenationalidentitycredentialtoprovisionofservicesisthebestwaytoincentivizeidentityregistration.Forexample,anationalidentitycardisrequiredinmanycountriestovote(orregistertovote)andtoobtainapassport.

523. Therightstovoteandobtainapassport,however,aretiedtocitizenship.Ifacountryaimstohaveallresidentsregisterandobtainanationalidentitycredential,presentingthenationalidentitycredentialmustbetiedtoawidevarietyofbenefitsandservices;benefitsavailabletoallresidentswithintheterritory.Tothisend,countriesmayconsiderrequiringproofofidentityintheformofthenationalidentitycredentialinordertoreceivemanytypesofservices,suchasservicesunderanationalhealthcaresystemandsocialservicebenefits.Thenationalidentitycredentialmayberequiredasproofofidentitytoopenabankaccountortoobtainadriver’slicense.TheGovernmentofIndiahasmadeaccesstothefreeschoolmiddaymealforchildrencontingentonproofofparticipationintheAadhaaridentificationprogram,througheitheranAadhaarnumberorotherformofAadhaarauthentication.InIndonesia,someareasexperimentedwithcreatingincentivesforchildparticipationintheidentificationprogram,includingpartneringwithlocalbusinessestoprovidediscountsforschoolsupplies

                                                            367Gelb,A.,DiofasiMetz,A.,IdentificationRevolution:CanDigitalIDbeHarnessedforDevelopment?,CenterforGlobalDevelopment,Washington,D.C.,2018,page120.

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andstaplefoodsforparentsofchildrenwiththenationalChildIdentityCard(KartuIdentitasAnak(KIA)).368

524. ThesetypesofrequirementsandpoliciesaregenerallynotcontainedinCRVSIDlaws.Rather,theyarecontainedinlawsthatpertaintothoseparticularservices.Forexample,"KnowYourCustomer"obligations,aprocessbywhichabusinessidentifiesandverifiestheidentityofitsclients,areoftencontainedinbankinglaws.Therequirementtoprovideproofofidentityinordertoreceivehealthcarebenefitsorothergovernmentserviceswouldordinarilybecontainedinregulationsoragencyinstructionsthatpertaintothoseservices.Whethertherequirementiscontainedinlegislation,regulations,orinstructionsisadecisiontobemadebyacountry'slawmakers,bearinginmindthatregulationsandinstructionsareeasiertoamendthanlegislation.

525. Mostcountrieshavemorethanonetypeofgovernmentissuedidentitydocument.Inadditiontoanationalidentitycredential(ifavailable),countriesissuepassportsanddriver'slicenses.Somecountriesissuenationalhealthcaresystemcardsanddocumentsthatentitlethebearertootherformsofgovernmentassistance.Alloftheseareofficialdocumentsandmay,dependingonthecountry,beacceptedasproofofidentity.Somecountriesthathaveamandatorynationalidentitycredentialhavelowregistrationratesforthecredentialbecauseotherformsofproofofidentityarereadilyacceptedforpublicandprivateservices.Thisdecreasesdemandforthenationalidentitycredential.Ifacountryaimstohavetheentirepopulation(orpopulationaboveacertainage)obtainthenationalidentitycredential,thelaws,regulationsandproceduresthatrequireproofofidentityforservicesshouldspecifythatthenationalidentitycredentialistheonlyacceptableformofproofofidentity.

526. Whenlinkingidentityregistrationandprovisionofanationalidentitycredentialtoprovisionofservices,countriesmustensurethattheydonotexcludeindividualsfromservicestowhichtheyareentitled.Iftheabilitytoaccessaserviceoravailoneselfofarightistied,bylaw,toidentityregistrationandprovisionofanidentitycredential,thentheStatehasanobligationtoensurethatbarrierstoidentityregistrationareremoved,andthatallpersonsresidingwithintheterritoryofthecountryhavethemeanstoobtainanidentitycredential.

C. CREATINGINDIVIDUALDEMANDFORCIVILREGISTRATION527. Aswithincreasingdemandfornationalidentitycredentials,aneffectivewaytoincreasedemandforcivilregistrationistolinkregistrationofvitaleventstoaccesstokeyservices.Examplesofservicesthatmaybelinkedtobirth,death,marriageanddivorceregistrationarediscussedbelow.Alsoaswithnationalidentitycredentialprovision,linkingcivilregistrationtokeyservicesshouldnothavetheunintendedeffectofexcludingpeoplefromtheservicetheyareseeking.Ifcivilregistrationisrequiredtoaccessaservice,thentheStatehasanobligationtoensurethatbarrierstocivilregistrationareremoved,andthosewhowerenotregisteredatthetimeofoccurrenceofthevitaleventhavethemeanstoregisterlater.

(i) BIrthRegistration528. Ifthereisamandatorynationalidentitycredentialthatisthesoleformofacceptableproofofidentity,thesinglemosteffectivewaytoencouragebirthregistrationistomakebirthregistrationaprerequisitefornationalidentityregistration.Thisrequirementnotonlyhelpsvalidateanidentityduringidentityregistration,italsohelpsincentivizebirthregistration.Demandfornationalidentitycardsandothercredentialsisoftenhigherthanthedemandforbirthcertificatesbecause,asdiscussedabove,anationalidentitycredentialisoftenrequiredtoexercisetherighttovote,toobtainapassport,andtoobtainhealthcareandsocialservicebenefits.Thereforemakingbirthregistrationaprerequisitetoobtaininganationalidentitycredentialcanprovideastrongincentivetoregisterabirth.Thisrequirement,however,shouldnotpreventprovisionofanidentitycredential.Ifapersonwhosebirthispreviously

                                                            368CyrilBennoua,WillchildIDcardsreallyprotectchildren’srights?,TheJakartaPost,6April2016.

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unregisteredappliesforanidentitycredential,ideallyidentityregistrationofficialswouldfacilitatedelayedbirthregistration.Thisismadeeasieriftheidentityregistrationandcivilregistrationfunctionsaretheresponsibilityofoneagency(seeChapter3).However,evenifnot,cooperationbetweenthetwoagenciescanfacilitatedelayedbirthregistration.Identityregistrationofficialsmaybedeputizedascivilregistrarsormayactasanotifierfordelayedbirthregistration.Becauseidentityregistrationofficialsaretaskedwithcollectinginformationtoenrollandvalidatetheidentityofanindividual,theymayalreadyhavecollectedinformationthatcouldbeusedfordelayedbirthregistration.Consequently,coordinationbetweenidentityregistrationandcivilregistrationofficialscanaidinincreasingbirthregistrationrates.Countryexampleofthistypeofcoordination.

529. TherequirementtoprovideproofofbirthregistrationinordertoenrollintheidentitymanagementsystemandobtainanationalidentitycredentialisgenerallycontainedinIDlegislationorregulations.Thiswillensurethattherequirementisbindingandalternativeformsofproofofidentityarenotacceptedassubstitutes.Theprocessbywhichthecivilregistrationandidentitymanagementagenciescooperatetoensurethatthoseseekinganationalidentitycredentialareabletoregisterapreviouslyunregisteredbirthmaybesetoutinregulationsorinstructions,oramemorandumofunderstanding(MOU)betweentheagencies.

530. Manycountriesdonothaveanationalidentitycredential,orhaveloworincompleteratesofregistrationforthenationalidentitycredential.Therefore,otherincentivesforbirthregistrationmaybenecessary.Manycountrieshavehadsuccessinincreasingbirthregistrationbylinkingbirthregistrationtoaccesstoservices,suchaseducation,healthcare,andsocialservices.Requiringproofofbirthregistration(abirthcertificate)inordertoenrollinprimaryschoolcanbeparticularlyeffective,asalmostallcountriesprovidefree,compulsory,primaryeducation,asrequiredbytheInternationalCovenantonEconomic,SocialandCulturalRights.369Cautionshouldbeexercised,however,asnochildshouldeverbedeniedtherighttoenrollinschooliftheirbirthisnotregistered.Instead,schoolofficialsshouldfacilitatethechild'sdelayedbirthregistration.ThiswillrequirecooperationbetweentheMinistryofEducationandthecivilregistrationagency.Insomecountries,localregistrarsattendschoolenrollmentdrivestoregisterthebirthofthosechildrennotpreviouslyregistered.Inothers,schoolofficialsmightactasinformantsforthechild'slatebirthregistration.

531. Therequirementtoshowabirthcertificatetoenrollinprimaryschoolmaybecontainedinlegislation,regulations,oreveninstructionsonhowtocompletetheenrollmentapplication.Cooperationbetweenthecivilregistrationagencyandtheministryresponsibleforeducationmayoccurinseveralways.TheministrymaybeinvitedtotakepartinaCRVSIDinteragencycoordinationcommittee,asdiscussedinChapter3,ortheministryandcivilregistrationauthoritymayenterintoanMOU.

532. Linkingbirthregistrationtoaccesstothenationalhealthcareservicesandothersocialserviceprograms,suchascashtransfersandchildgrants,havealsobeenshowntobeextremelyeffective.Insomecountries,incometransferprogramsrequirebeneficiariestoprovideproofofbirthregistration(abirthcertificate)beforetakingpartintheprogramandsupportbeneficiariesthroughtheprocessofdelayedbirthregistrationifneeded.Linkingbirthregistrationwiththeseprogramsprovidestargetedintervention,astheseprogramshelpthepoorestsegmentofthepopulation,whichisoftenlesslikelytoregisterabirth.

533. AstudyinZimbabweandIndiaexaminedwhetherbirthregistrationrateswerehigherforthoseenrolledinacashtransferprogramsconditioneduponbirthregistration.Thesestudiesfoundbirthregistrationratesincreased16.4%and14.6%,inZimbabweandIndiarespectively,inthegroupparticipatinginthecashtransferprogramscomparedtocontrol

                                                            369UNGeneralAssembly,InternationalCovenantonEconomic,SocialandCulturalRights,16December1966,UnitedNations,TreatySeries,vol.993,p.3,availableat:http://www.refworld.org/docid/3ae6b36c0.html[accessed21August2018]

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groupsthatdidnottakepartintheseprograms.370Inothercountriesinwhichcashtransferandchildgrantprogramsareconditionedonbirthregistration,theseprogramshavecontributedtonationalbirthregistrationrateincreasesofanywherefrom20to63percentagepoints.TableXbelowdemonstrateshowtheseprogramshavecontributedtobirthregistrationrateincreasesinsixcountries.

534. Aswitheducation,requiringbirthregistrationasaprerequisitetotakingpartincashtransferorothersocialbenefitprogramscanbeincludedinregulationsoragencyinstructions.However,ashasbeenstressedabove,cooperationbetweencivilregistrationauthoritiesandsocialserviceprogramofficialsiscrucialtoensurethatthebirthregistrationrequirementdoesnotpreventindividualsfromreceivingbenefitstowhichtheyareentitled.Further,birthregistrationneednotnecessarilybeaformalrequirementtoproduceresults.InColombia,birthregistrationwasnotaformalrequirementofthecashtransferprogram.However,thecivilregistrationofficialsworkedwithcashtransferprogramofficialstoencouragebirthregistration,resultinginhigherratesofbirthregistrationforprogramparticipants.SeeTextBoxXonColombiafordetails.

TableX

*FromIncentivesforImprovingBirthRegistrationCoverage:AReviewoftheLiterature,ID4D,WorldBank,2018

TextBoxX.Colombia.

Inordertoincentivizebirthregistration,Colombialinksbirthregistrationtocashtransferprogramsandtoschoolenrollment.Colombia’scashtransferprogram,FamilıasenAccion,haslocalofficersfromthenationalregistrationagencypresentwhennewbeneficiariesenrolledintheprogram.Inaddition,whenprogramofficialscheckedonexpectantmothersenrolledintheprogram,theyencouragedmotherstoregistertheirnewborns.371Therateofchildrenwithbirthcertificateswas97.3percentofparticipantchildrencomparedtothe91.7percentofnonparticipantchildren

Colombiaalsorequiresbirthregistrationforschoolenrollment.Needspecificsonhowthisworks.Howdothecivilregistrationandeducationauthoritiesworktogether?

535. Birthregistrationmayalsobelinkedtoobtainingapassportorregisteringtovote.Bothofthesegenerallyrequireproofofcitizenship.Whileabirthcertificatemaynotprove                                                            370IncentivesforImprovingBirthRegistrationCoverage:AReviewoftheLiterature,WorldBank,2018,page6.371IncentivesforImprovingBirthRegistrationCoverage:AReviewoftheLiterature,IdentificationforDevelopment,WorldBankGroup,2018,p.7.

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citizenship,itcanbeessentialtohelpestablishcitizenshipbyprovingplaceofbirthorparents’nationality.Requiringproofofbirthregistrationtoobtainapassportorvoterregistrationcardcanstronglyincentivizebirthregistration.Insomecountries,apersoncanobtainapassportorvoterregistrationcardbyprovidinganationalIDcard,asdiscussedabove.However,ifbirthregistrationisrequiredtoobtainthatnationalIDcard,birthregistrationisindirectlyrequiredinordertoobtainapassportortoregistervote.Thisrequirement,whethercontainedinlegislation,regulations,oragencyinstructions,stronglyincentivizesbirthregistration.However,hereagain,abirthregistrationrequirementshouldnotdenyanindividualarighttowhichtheyareentitledasacitizen.Officialsshouldfacilitatedelayedbirthregistrationforthoseregisteringtovoteorapplyingforapassportwhohavenotpreviouslyregisteredtheirbirth.

536. Otherincentivesincluderequiringabirthcertificateasaformofproofofidentityinordertoobtainadrivers’license.Inaddition,abirthcertificatemayberequiredtoprovelegalageformarriageandisawaytocombatchildmarriage.

537. Somecountriesprovidedirectcashorin‐kindincentivestoregisterthebirthofnewborns.Ukraineprovidesanincentivetotimelybirthregistrationintheformofalump‐sumchildbirthgrant.372In‐kindgoodsincentivesmayincludenewbornkitswithitemssuchasdiapers,bottlesandbabyclothing,ormaybetheprovisionofhouseholdgoods.Somecountriesalsoprovidecashstipendsforhealthcare.373

(ii) DeathRegistration538. Inmanycountries,deathregistrationratesaresignificantlylowerthanbirthregistrationrates.Unlikeabirthcertificate,whichmaybenecessarytoobtainservicesduringoneslifetime,thenextofkinofthedeceasedoftenperceivelittlebenefitfromregisteringadeath.Thekeytoincreasingdeathregistrationistotiebenefitsreceivablebythenextofkintoproofofdeathregistration.Forexample,asurvivingspousemayberequiredtoprovideproofofdeathregistrationinordertoreceivethepensionbenefitsofthedeceasedandinheritance,orestablishotherpropertyrights.Adeathcertificatemayalsoberequiredtopermitre‐marriage.

539. Somecountriesprovidedirectcashincentivesfordeathregistration.InCambodia,somecommunesoffersmallcashpaymentsasanincentivetoregisterdeaths.374Brazilpaysforfuneralexpensesforthepoorifthefamilyregistersthedeath.InNepal,widowhoodpensionsareprovidedtowomenwhocanprovidedeathandcitizenshipcertificatesfortheirdeceasedhusbands.375

540. AsdiscussedinChapterFour,deathregistrationshouldberequiredinordertoreceiveapermittobury,cremateorotherwisedisposeofabody.Thisincentivizesdeathregistration.Manycountriesrequirecustodiansoffuneral,burialandcremationfacilitiestorecordtheidentityinformationofdeceasedpersonsforwhomtheyprovideservicesandreportthisinformationtotheregistrar.Thismayprovideeitheranalternativewaytoregisterthedeathorawaytoverifyidentityofthedeceasedtomonitorwhetherthedeathwasregistered.InPeru,operatorsoffuneralhomesarereimbursedthroughpublicandprivateinsuranceschemesforthecostofthefuneraliftheyverifythatthedeathwasregisteredandthecauseofdeathwas

                                                            372 Every Child’s Birth Right: Inequities and trends in birth registration, UNICEF, 2013, page 13. 373 Handbook on Civil registration and Vital Statistics Systems: Management, Operation and Maintenance, 

Revision 1, https://unstats.un.org/unsd/demographic‐social/Standards‐and‐

Methods/files/Handbooks/crvs/crvs‐mgt‐E.pdf, paragraph 480. 

374JamesC.Knowles,AssessmentofthequalityandrelevanceofexistingdatatomonitorthegenderdimensionsofCRVSinAsiaandthePacific,ReporttotheUNFoundationundertheData2XInitiative,May2016,page9.375JamesC.Knowles,AssessmentofthequalityandrelevanceofexistingdatatomonitorthegenderdimensionsofCRVSinAsiaandthePacific,ReporttotheUNFoundationundertheData2XInitiative,May2016,page9.

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medicallycertified.Thisprovidesanincentiveforfuneralhomeoperatorstotakeontheresponsibilityofdeathregistrationasaservicetothefamilyofthedeceased.SeeBoxXfordetailsontheroleoffuneralhomesindeathregistrationinPeru.

BoxX.Peru:TheRoleofFuneralHomesinDeathRegistration.

TherearetwotypesofpublicnationalhealthinsuranceinPeru‐"SeguroIntegraldeSalud"(SIS)(translatedas"ComprehensiveHealthInsurance"),whichgenerallycoverspoorpopulations,and"EsSalud",coveragethroughemploymentforworkingfamiliesandindividuals.Bothofthesenationalhealthinsuranceschemes,aswellasmanyprivateinsurancecompanies,providecoverageforburialexpensesasabenefit.

Funeralhomeshavestrongincentivestoregisteradeathincaseswheredeceasedpersonshaveanentitythatwillthecoverburialexpenses,includingSIS,EsSaludandprivateinsurancecompanies.Toreceivereimbursement,funeralhomesmustfilepaperworkthatincludesamedicalcertificateofcauseofdeathandadeathcertificateissuedbytheregistrationagency(RENIEC).Asaresult,funeralhomesoffertwotypesofservices:1)servicestocarryoutallthenecessaryprocedurestoobtainamedicallycertifiedcauseofdeathandadeathcertificate,and2)theservicesofthefuneralitselfforthedeceased.

Inordertofacilitatetheprocedurestoobtainthemedicallycertifiedcauseofdeathanddeathcertificate,funeralhomeworkersaskfamilymembersforlimitedpowerofattorney(POA).ThePOAallowsthefuneralhometorepresentthenextofkinbeforethevariouspublicbodiestomanagedeathregistrationandcertificationofcauseofdeath,andalsotoseekreimbursementfortheburial.Thisisacommonpracticeandisregulatedbylaw.Themainincentiveforfuneralhomesisthecertaintyregardingtheamounttobereimbursed.Theincentiveforthefamilyofthedeceasedisbeingrelievedofthepaperworkinvolvedinregistration.376

(iii) MarriageandDivorceRegistration541. Theremaybeavarietyofincentivestoregisteramarriage,includingtax,financial,legal,healthandemploymentbenefits.Insomecountries,marriedcouplesaresubjecttolowertaxrates.Uponthedeathofaspouse,amarriagecertificatemayberequiredtoobtainfinancialbenefits.Forexample,asurvivingspousemayberequiredtoprovideproofofmarriage(aswellasproofofdeathregistration)inordertoreceivethepensionorlifeinsurancebenefitsofthedeceased.Similarly,propertymaybetransferredtax‐freetoasurvivingspouse.Marriageregistrationcanalsoconferlegaldecision‐makingbenefits.Amarriagecertificatemayberequiredtoprovethatapersonisnextofkinforpurposesofmakingmedicaldecisionsforanincapacitatedspouse.Inaddition,theremaybeemployment‐basedbenefits.Forexample,aspousemaybeentitledtohealthinsurancebenefitsthroughtheirspouse'semployerandmaybeentitledtofamily‐leavebenefitsshouldtheirspousefallill.

542. Registrationofdivorceisusuallydonethroughthecourts(seeChapterFour).However,wheretheresponsibilityfallstotheindividual,theabilitytoprovedissolutionofthepreviousmarriageinordertoremarryisincentivetoregisteradivorce.

D. IMPROVINGCAUSEOFDEATHINFORMATION543. Accuratecauseofdeathinformationisessentialforpublichealthpolicyandplanning.Gatheringaccurateinformationoncausesofdeathfortheentirepopulationrequiresnotonly                                                            376LuisCordero,KarimPardo,JavierVargas,JanetMiki,CRVSTechnicalOutcomeSeries,Peru:Investigatingtheunder‐reportingofdeathsinhealthandmedicalfacilities,BloombergPhilanthropiesDataforHealthInitiative,ExecutiveSummary(Draftdocument).

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registrationofalldeaths,butalsoaccurateandcompleteinformationonthecauseofdeathcertifiedbymedicalprofessionals.Practicingmedicalprofessionalsmustbetrainedandretrainedinmedicalcertificationofcauseofdeath.Toimprovequalityofinformationinmedicalcertificatesofdeathandmortalitydata,physiciansmustbetrainedinthecorrectcompletionoftheWorldHealthOrganization’sInternationalFormoftheMedicalCertificateofCauseofDeath(MCCOD).Medicalcertificationofcauseofdeathshouldbeincludedincurriculaforallmedicalstudents.ThisusuallyrequirescooperationwiththeMinistryofEducation,whichhasthepowertomandatetheinclusionofthistopicincurricula.Inaddition,trainingonmedicalcertificationofcauseofdeathshouldbemadepartofmandatoryandvoluntarycontinuingmedicaleducationprograms,whichmayrequirecooperationwithmedicalprofessionalassociations.Inadditiontophysicians,coronersandothersmedicalprofessionalswhomayberesponsibleforcompletionofaMCCODshouldbeincludedinthesetrainingprograms.

544. CodingtheinformationcontainedinaMCCODinaccordancewiththeWorldHealthOrganization'sInternationalClassificationofDiseases(ICD)isessentialtotheproductionofhigh‐qualitymortalitydataandrequiresspecializedtraining.ThiscodingisusuallydoneatthecentrallevelanditisrecommendedthatadedicatedICD‐codercadreiscreated,trainedandfunded.Codersmaybeemployeesofthecentralcivilregistrationagency,andthereforetheagency'spowertohireandmanagestaff(asdiscussedinChapterFour,paragraphsxx‐xx)wouldprovidetheauthoritytoestablishandtrainsuchacadre.

E. FACILITATINGUSEOFTECHNOLOGY545. Theuseofcomputers,tablets,andotherelectronicdevicesshouldbepermittedforcollectionofdataforvitalevents,andthisdatashouldbepermittedtobetransmittedusingmobiletechnologyand/ortheinternetbetweengovernmentagenciesandofficials.377Inaddition,registrants,familymembers,andrepresentativesareincreasinglyseekingtotransmitdataandofficialdocumentsbythemselvesthroughonlineaccess(forexample,totransmitbirthordeathcertificatestoanothergovernmentagencydirectly).AsdiscussedinChapterFour,CRVSIDlawsshouldnotblocktheuseoftechnologybycontaininglanguagethatrequirescollectionofdatawiththeregistrantpresentorbystipulatingmanualprocessesfordatatransmission.Inaddition,processesshouldbecontainedinCRVSIDregulationsorinstructionssothattheymaybeamendedastechnologyadvances.

546. Inadditiontotheabove,someprovisionsthatfacilitateuseoftechnologymightbecontainedinlawsotherthanCRVSIDlaws.Forexample,electronicordigitalsignatures(oruniqueidentifiersinlieuofsignatures)shouldbepermittedtofacilitateelectroniccollectionofinformation,registrationofvitalevents,andissuanceofcertificates.Inmanycountries,theseprovisionsarecontainedinlawsthatspecificallyregulatetheuseoftechnology,includingelectronicanddigitalsignatures.CountriesshouldensurethattheselawspermittheuseofelectronicanddigitalsignaturesandtechnologyinCRVSIDsystems.

   

                                                            377UnitedNations,PrinciplesandRecommendationsforaVitalStatisticsSystem,Revision3,NewYork,2014.Para.378,381–382.

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AnnexA‐RecommendedInformationforbirth,deathandfoetaldeathregistration

 

Best Practice:Live Birth 

Actual Practice:Live Birth 

Best Practice: Foetal Death 

Actual Practice: Foetal Death 

Best Practice: Death 

Actual Practice: Death 

Characteristic of Event     [=High Priority, = Lower Priority] Date, (Time) and Place of Registration             

Date, (Time) and Place of Occurrence             

Attendant at birth          *   

Type of place of occurrence (hospital, home, 

etc)     

      

Type of Birth (twin, triplet, etc.)              

Cause of Death             

Manner of Death             

Whether autopsy findings used to establish COD             

Death occurring during pregnancy, childbirth, 

puerperium    

      

Certifier             

Characteristics of Newborn/Foetus [= High Priority, = Lower Priority] Sex             

Weight at birth             

Delivered in wedlock             

Characteristics of Mother/Father/Decedent [=Mother (C), =Mother (R); =Father (C), =Father (R);  =Decedent (C), =Decedent (R)]

Date of birth  / /  

Sex  ‐/‐    ‐/‐   

Marital Status  /  

Educational Attainment  / /  

Literacy status  / /  

Ethnic and/or national group  / /  

Citizenship  / /  

Economic activity status  / /  

Usual occupation  / /  

Whether birth was registered*   

Born in wedlock*   

Place of usual residence  / /  

Place of usual residence of mother*   

143

 

Best Practice:Live Birth 

Actual Practice:Live Birth 

Best Practice: Foetal Death 

Actual Practice: Foetal Death 

Best Practice: Death 

Actual Practice: Death 

Duration of residence in usual place  / /  

Place of previous residence  / /  

Place/country of birth  / /  

Date of last menstrual period   

Number of prenatal visits   

Month of pregnancy prenatal care began   

Children born alive to mother during her entire 

lifetime 

 

Children born alive to mother during her entire 

lifetime and still living 

    

Foetal deaths to mother during her entire 

lifetime 

    

Date of last previous life birth       

Date of marriage       

Additional Information for Legal Registration [=High Priority, =Lower Priority] Name and surname              

Name and surname of parents             

Nationality             

Nationality of parents             

Identity, Signature, and Seal of Registrar             

Identity document & registration data relating 

to birth    

      

*For deaths under 1 year 

 

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AnnexB‐RecommendedInformationformarriageanddivorceregistration

  Best Practice: Marriage 

Actual Practice: Marriage 

Best Practice: Divorce 

Actual Practice: Divorce 

Characteristic of Event [=High Priority, =Lower Priority] Date of occurrence         

Date of registration         

Place of occurrence           

Place of registration          

Type of marriage          

Characteristics of Spouses/Divorces (each separately) [=High Priority, =Lower Priority] Date of birth         

Marital Status (previous)         

Number of previous marriage         

Type of marriage being dissolved       

Number of dependent children of divorced 

persons    

 

Number of children born alive to the 

marriage being dissolved    

 

Date of marriage       

Mode of dissolution of previous marriage       

Educational attainment         

Literacy status         

Economic activity status         

Usual occupation         

Ethnic and/or national group         

Citizenship         

Place of usual residence         

Duration of residence in usual place     

Place of previous residence         

Place/country of birth         

Place of occurrence of marriage being  

dissolved