Certifying documents with an apostille is in many cases a necessary step when a document is to be used abroad. The Hague Apostille certifies the authenticity of the signature on a public document, as well as the capacity in which the person who signed the document acted and, where applicable, the authenticity of the seal or stamp. It replaces the more complex procedure of consular legalisation between the contracting states to the Hague Apostille Convention.
However, the issuance of an apostille is sometimes refused. This does not necessarily mean that the document cannot be used. The first and most important step is to determine why the apostille was refused. Depending on the reason, the problem may be resolved by applying to the competent authority, obtaining a prior certification, procuring a new document, or having the document notarised.
Within the EU, the apostille requirement has been abolished for many public documents relating to civil status (birth, marriage, criminal record certificates, etc.) under Regulation (EU) 2016/1191. Bilateral agreements may also make an apostille unnecessary. Therefore, before submitting a new application, check whether an apostille is actually required in your specific case.
Further information can be found here.
The most common reasons for apostille refusal
1. The wrong authority was contacted
There is usually no single authority responsible for issuing apostilles for all types of documents. The competent authority depends on the type of document, the authority that issued it and the applicable rules in the country concerned.
Different authorities may be responsible for different categories of documents. For example, responsibility may lie with a central government authority, a regional or local authority, a court or a ministry, depending on the nature and origin of the document. In some countries, separate authorities are designated for civil status documents, court and notarial documents, administrative documents or educational certificates.
If an application is submitted to an authority that is not competent to issue the apostille, the application may be refused or redirected. In this case, the document must be submitted to the authority designated under the applicable national rules.
A customer submitted a birth certificate to an authority responsible only for certain administrative documents. Since that authority was not competent to authenticate civil status documents, the application could not be processed. After the document was submitted to the competent authority, the apostille was issued.
First, check which authority is responsible for the specific type of document. In many cases, the authority that issued the document can provide information about the competent apostille authority.
2. The issuer's signature cannot be verified
An apostille certifies, among other things, the authenticity of the issuer's signature. The competent authority must therefore be able to verify the signature.
Problems may arise, for example, if:
- the signature of the responsible official has not been registered;
- the issuer has changed and the new signature has not yet been registered;
- the person who signed the document cannot be shown to have the necessary signing authority;
- the signature or seal on the document is not clearly legible or identifiable.
Additional verification may also be required for signatures bearing designations. However, such a signature does not automatically result in a refusal in every case – the decisive factor is the specific jurisdiction and verification rules of the competent apostille authority.
A registration certificate was signed by a new employee of a small local registration office whose specimen signature had not yet been registered with the competent authority. The apostille application was refused. After a new certified copy was obtained with a verified signature, the apostille could be issued.
What to do?
In some cases, the issuing authority can confirm the required signature or the signatory's authority. If such confirmation is not possible, it may be necessary to procure a new copy of the document.
3. The document requires prior certification
For certain documents, the original issuer's signature alone is not sufficient for the issuance of an apostille. Before the apostille can be issued, the document must first be certified by another competent authority.
The type of prior certification required depends on the country, the type of document and the applicable national regulations.
A notarised power of attorney was to be apostilled for use abroad. The application was rejected because the notarial document first had to undergo prior certification. Only after this prior certification could the competent authority issue the apostille.
What to do?
Contact the competent apostille authority to find out what type of prior certification is required for your document. Only then can the application be submitted again.
4. The document is not in the required form
Not every document can be apostilled directly. The Hague Apostille Convention applies to public documents. These include, in particular, documents issued by courts and public authorities, as well as notarial documents and certain official certifications.
A private contract, private declaration or other private document therefore cannot normally be apostilled directly. Depending on the applicable national law, a notarised signature may be required first, for example.
Special rules also apply to electronic documents. A simple printout of a PDF file is not automatically equivalent to an original public document. However, depending on the country, electronic public documents and electronic apostilles may be expressly provided for.
A customer submitted a privately signed contract for apostillation. Since it was not a public document, it could not be apostilled directly. After the signatures had been notarised, the resulting notarial document could subsequently be apostilled.
What to do?
Check whether you need the original document, a certified copy, a notarised certification, or an officially certified printout. The requirements of the country in which the document was issued are decisive.
5. The document is damaged, laminated or contains problematic alterations
A document must be in a condition that allows the signature, seals and its authenticity to be reliably verified.
Problems may arise, for example, if the document:
- has been laminated;
- is severely damaged or torn;
- has illegible or damaged seals or signatures;
- contains subsequent alterations or unauthorized entries;
- has been modified from its original form by additional stickers or stamps.
Laminated documents in particular can be problematic in practice because the required official endorsements cannot be properly affixed to the original document.
A customer brought a laminated birth certificate for apostillation. The official endorsement could not be properly affixed to the original, and the authenticity of the seal and signature could not be verified beyond doubt through the laminate. Obtaining a new copy from the competent civil registry office resolved the issue.
What to do?
In many cases, the easiest solution is to request a new copy or replacement document from the authority that issued the original.
6. The wrong version of the document was submitted
Even a document that is generally eligible for apostillation may be rejected if the required version of the document has not been submitted.
This may occur, for example, if:
- only a simple copy is submitted instead of the required original;
- a certified copy is required, but only an uncertified copy is provided;
- a recent civil status document is required, but an outdated document is submitted;
- only a regular printout is submitted for an electronic document;
- the version of an educational document required by the competent authority has not been submitted.
Whether a certified copy is accepted instead of the original depends both on the law of the issuing state and on the requirements of the state in which the document is to be used.
A regular printout of an electronic registration certificate was submitted for use in Spain. However, the competent apostille authority did not accept it as a document eligible for apostillation. After an appropriate paper copy was obtained, the apostille could be issued.
What to do?
Before submitting a new application, clarify exactly which version of the document is required.
What should be considered for private documents?
A private contract or private declaration does not become a public document simply because it is required for an international procedure. However, under certain conditions, an apostille may be affixed to an official certificate or a notarial certification. The Hague Apostille Convention expressly covers, among other things, notarial acts and official or notarial certifications of signatures on privately signed documents.
Therefore, for example, a private power of attorney may first require notarisation of the signature. The resulting notarial document or certification can then be apostilled, provided that the applicable national requirements are met.
What to do if the document cannot be apostilled at all?
Not every document falls within the scope of the Hague Apostille Convention. In particular, certain documents are excluded from its scope. These include documents issued by diplomatic or consular agents, as well as certain administrative documents that relate directly to commercial or customs transactions.
In addition, another international agreement may apply between the issuing state and the destination state, making an apostille unnecessary or providing for a different procedure.
Therefore, before submitting a new application, you should always check whether an apostille is actually required for the specific document and destination country. Depending on the countries concerned and the applicable international agreements, the document may instead require legalisation or another form of authentication.
What to do if the apostille was refused because of the document itself?
If the document is damaged, illegible, outdated or issued in an unsuitable form, simply resubmitting the application is often not sufficient.
In such cases, it may be necessary to:
- request a new copy of the document;
- obtain the required prior certification;
- have the document notarised;
- procure the correct version of the document;
- resubmit the application to the competent apostille authority.
For older civil status documents, in particular, it may be advisable to obtain a new copy. For certain old documents, it may not be possible to apostille the original document, in which case a new document must be requested instead.
For more information on the specific requirements for apostilling Soviet-era documents and the applicable procedures in the individual successor states of the USSR, see our article “How to Apostille Documents from the USSR”.
Consider the requirements of the destination country
Another important distinction should be kept in mind: the issuance of an apostille and the subsequent recognition of the document abroad are two different processes.
The apostille certifies the authenticity of the signature, the capacity in which the person who signed the document acted and, where applicable, the authenticity of the seal or stamp. However, it does not certify the content of the document and does not automatically mean that a foreign authority must accept the document for a specific legal or administrative procedure.
Therefore, before applying for an apostille, you should check the requirements of the authority or institution to which the document will ultimately be submitted. Depending on the destination country, additional requirements may apply to:
- the date of issue of the document;
- the required original or a certified copy;
- the translation;
- the required form of the translation;
- the order in which the translation and apostillation must be completed;
- additional certifications.
If the requirements of the destination country are not taken into account, even a properly issued apostille does not guarantee the subsequent recognition of the document.
What to do if the apostille was refused?
If the competent authority refuses to issue an apostille, the first step should be to determine the specific reason for the refusal. In many cases, the refusal is not a definitive obstacle.
Depending on the circumstances, the solution may be to contact the competent authority, obtain prior certification, have the document notarised, procure a new copy of the document, or resubmit the application to the correct apostille authority.
If the reason for the refusal is unclear, it may be advisable to have the document reviewed by a specialised service provider first. This can often determine whether the existing document can be apostilled or whether a new document or additional certification is required.
Schmidt & Schmidt assists with the procurement of documents, apostillation and consular legalisation of documents in numerous countries.
What is an apostille?
What is an apostille? Why do I need an apostille? How do I get an apostille? - Our video will explain everything you need to know about the apostille. If you have a document that needs to be certified with an apostille for use abroad, Schmidt and Schmidt will assist you! We provide apostille services in more than 100 countries worldwide.
How can we help?
We are happy to assist you with the apostillation and legalisation of documents for use abroad. If your apostille application has been refused or you are unsure whether your document meets the necessary requirements, you can contact Schmidt & Schmidt at any time. We review your documents, determine the competent authority and assist you with procuring new documents, obtaining any required prior certifications, notarisation, translations, as well as subsequent apostillation or legalisation. Thanks to our many years of experience, we can also assist you when obtaining or legalising a document presents particular difficulties.
FAQ: Apostille refusal
In principle, a refusal is an administrative decision against which legal remedies may be available, depending on the authority and federal state concerned. In practice, however, it is usually faster and easier to resolve the reason for the refusal — for example, by obtaining prior certification, a new copy of the document, or submitting the application to the competent authority — rather than pursuing formal legal proceedings.
This depends on the reason for the refusal. If the only issue is that the application needs to be submitted to the correct authority, the apostille can often be issued within a few days. If a new civil status document needs to be obtained, you should generally allow one to three weeks, depending on the civil registry office. Additional processing time will be required if prior certification or notarisation is necessary.
No, the document itself remains valid. However, lamination is often an obstacle to apostillation because the official endorsement cannot be properly affixed to the original document and the authenticity of the seal and signature cannot be reliably verified through the laminate. In such cases, a new copy usually needs to be obtained from the issuing authority.
A simple copy is not a public document and therefore generally cannot be apostilled directly. However, an apostille may be issued for a copy that has been certified by a notary or public authority. Whether the certified copy will be accepted in the destination country or whether the original document is required depends on the requirements of the relevant foreign authority.
The cost of an apostille varies depending on the country, the type of document and the competent authority. Additional costs may arise if a new copy of the document, notarisation, prior certification or translation is required. The exact fees depend on the applicable national fee schedule and the services required in the individual case.
An apostille is generally recognised only in countries that are parties to the Hague Apostille Convention and apply the Convention in their mutual relations. For countries that are not covered by the Convention, another form of authentication, such as legalisation, may be required. In addition, an apostille does not certify the content of the document or guarantee its acceptance by a foreign authority. The specific requirements of the destination country should therefore always be checked.
