Ap Aphague conference on private international law os Handbook Apostille osApostille Handbook A Handbook t l t l on the Practical Operation of the Apostille les les Convention Apostille Handbook A Handbook on the Practical Operation of the Apostille Convention Published by The Hague Conference on Private International Law Permanent Bureau Churchillplein 6b, 2517 JW The Hague The Netherlands Telephone: +31 70 363 3303 Fax: +31 70 360 4867 E-mail: [email protected] Website: www.hcch.net © Hague Conference on Private International Law 2013 Reproduction of this publication is authorised, except for commercial purposes, provided the source is fully acknowledged. ISBN 978-94-90265-08-3 Printed in The Hague, the Netherlands Foreword The Handbook is the final publication in a series of three produced by the Permanent Bureau of the Hague Conference on Private International Law on the Apostille Convention following a recommendation of the 2009 meeting of the Special Commission on the practical operation of the Convention. hague conference on private international law The first publication is a brochure entitled “The ABCs of Apostilles”, which is The ABCs primarily addressed to users of the Apostille system (namely the individuals and of Apostilles How to ensure businesses involved in cross-border activities) by providing them with short and that your public documentsA will practical answers to the most frequently asked questions. t be recognised abroad o The second publication is a brief guide entitled hague conference on private international law i “How to join and implement the Hague Apostille How to join Table of contents p Convention”, which is addressed to the authorities in 3 Introduction and implement 3 About this Guide l 3 About the Apostille Convention States that are charged with assessing the possibility the Hague 6 About the Apostille Section 7 Part I | Matters to consider before acceding to s About the Hague Conference on Apostille the Apostille Convention Private International Law 7 How will the Apostille Convention be implemented from of their State’s accession to the Apostille Convention, A a legislative point of view? The Hague Conference on Private International Law Convention 7 What about inconsistent internal law and international was established in 1893 and became a permanent obligations, as well as other implementing measures? 7 Who should be informed of the accession and why? intergovernmental organisation in 1955. Today, t or with its theimplementation. Hague Conference is the pre-eminent World Each of these publications A Brief Guide 9 What are ‘public documents’? Organisation dealing with cross-border legal issues in 10 Which authority(ies) should be designated as Competent civil and commercial matters. Its mission is to work for countries interested Authorities? towards a world in which individuals and companies 11 Are other certifications required before issuing os can enjoy a high degree of legal certainty in cross- le in joining the an Apostille? is availableborder on situations. the Apostille Section of the Hague Hague Convention 12 What is the function of a Competent Authority? Responding to the needs of a globalising 13 Part II | How are Apostilles issued? international community, the Hague Conference of 5 October 1961 Conferencedevelops website. multilateral Conventions (45 since 1893) s 13 Verifying the authenticity of public documents and assists with their implementation and practical 14 Form of the Apostille operation. These Hague Conventions deal with such Abolishing the 15 Additional text outside the box diverse fields as Apostilles; service of process abroad; Requirement of 16 Completing the Apostille taking of evidence abroad; shares, bonds and other p 17 Attaching the Apostille securities; child abduction, intercountry adoption, 18 Fees maintenance obligations, etc. These Conventions Legalisation for 19 Registering the Apostille l serve to build bridges between various legal systems while respecting their diversity. The Secretariat of the Foreign Public 19 Part III | How to join the Apostille Convention: This Handbook completesHague Conferencethe is called triptych. the Permanent Bureau. It is primarily addressed to the accession procedure Documents 19 Depositing the instrument of accession hague conference on private international law 20 Objections to accession and how to avoid them permanent bureau 21 The entry into force of the Convention the hundreds of Competent6, Scheveningseweg Authorities that have been designated by 2517 KT The Hague The Netherlands 22 Annex I | Checklist of matters to consider before acceding to the Apostille Convention Contracting States to the ApostilleTel: +31 (70) 363 3303 Convention to issue “Apostilles”, 23 Annex II | Flowchart on the accession procedure Fax: +31 (70) 360 4867 E-mail: [email protected] a simple authentication certificateWebsite: www.hcch.net that ensures that the origin of the underlying public document is recognised in other Contracting States, which currently number over 100 and rising. The Handbook has been prepared by Mr Christophe Bernasconi, Deputy Secretary General of the Hague Conference, and Mr William Fritzlen, Attorney Adviser at the Department of State of the United States of America (on part-time secondment to the Permanent Bureau), with the assistance of Ms Mayela Celis (Senior Legal Officer) and Mr Alexander Kunzelmann (Legal Officer). It has also benefitted from the input of a group of experts designated by various Hague Conference Members.1 I would like to thank all those involved in the preparation of this substantial publication. Hans van Loon | Secretary General 1 The group was comprised of Mr Fernando Andrés Marani (Argentina), Ms Pavla Belloňová (Czech Republic), Mr Tomáš Kukal (European Union), Mr Toni Ruotsalainen (Finland), Ms Mariam Tsereteli (Georgia), Mr A. Sudhakara Reddy (India), Mr Jorge Antonio Méndez Torres-Llosa (Peru), Mr Łukasz Knurowski (Poland), Ms Thanisa Naidu (South Africa), Mr Javier L. Parra García (Spain), Ms Silvia Madarasz-Garolla (Switzerland), Mr Marcelo Esteban Gerona Morales (Uruguay) and Mr Peter M. Beaton and Mr Peter Zablud as observers. Contents Table of contents vii Introduction xiii Glossary xv Notice to readers xxiv 1 About the Apostille Convention 1 1 Origins and growth of the Convention 1 2 Purpose of the Convention 3 3 The (limited) effect of an Apostille 9 4 Bringing the Convention into the electronic age: the e-APP 10 5 Supporting the continued success of the Convention 11 2 Competent Authorities 14 1 The key role of Competent Authorities 14 2 The functioning of Competent Authorities 14 3 Changes to Competent Authorities 18 3 Applicability of the Apostille Convention 20 1 Where does the Convention apply? 20 2 As of when does the Convention apply? 26 3 To what documents does the Convention apply? 29 4 The Apostille process in the State of origin: request – verification – issuance – registration 47 1 Requesting an Apostille 47 2 Verifying the origin of the public document 50 3 Issuing an Apostille 54 4 Registering the Apostille 65 5 Acceptance and rejection of Apostilles in a State of destination 69 1 Obligation to accept Apostilles issued in accordance with the Apostille Convention 69 2 Possible grounds for rejecting Apostilles 69 3 Invalid grounds for rejecting Apostilles 71 6 The e-APP 75 1 Introduction 75 2 Benefits of the e-APP 76 3 How to implement the e-APP 78 Annex I Text of the Apostille Convention 85 Annex II Flowchart on the accession procedure 91 Annex III Model Apostille Request Form 95 Annex IV Flowchart on requesting, issuing and registering Apostilles 99 Annex V Notice for newly acceding States wishing to inform relevant authorities and the general public of the upcoming entry into force of the Convention 103 Index 107 vii Table of contents Introduction xiii Glossary xv Notice to readers xxiv 1 About the Apostille Convention 1 1 Origins and growth of the Convention 1 2 Purpose of the Convention 3 A Abolishing the requirement of legalisation 3 B Facilitating the use of public documents abroad 5 a The simplified process put in place by the Apostille Convention 5 b The ideal of the “one-step process” 5 c Obligation to prevent legalisation where the Convention applies 6 d Relationship with domestic law and other treaties dealing with the authentication of public documents 6 3 The (limited) effect of an Apostille 9 A An Apostille only authenticates the origin of the underlying public document 9 B An Apostille does not certify the content of the underlying public document 9 C An Apostille does not certify that all requirements of domestic law for proper execution of the underlying public document are met 10 D An Apostille does not affect the acceptance, admissibility or probative value of the underlying public document 10 E The effect of an Apostille does not expire 10 4 Bringing the Convention into the electronic age: the e-APP 10 5 Supporting the continued success of the Convention 11 A The Apostille Section of the Hague Conference website as an important source of information 11 B Monitoring the practical operation of the Convention 12 a What the Permanent Bureau does (and does not) do 12 b What the Special Commission does 13 2 Competent Authorities 14 1 The key role of Competent Authorities 14 2 The functioning of Competent Authorities 14 A Resourcing and statistics 14 B Desk instructions 15 C Training 15 D Delivery of Apostille services 15 E Public information 16 F Combating fraud 17 3 Changes to Competent Authorities 18 viii 3 Applicability of the Apostille