Using a colleague’s e-signature: solicitor suspended after sick-leave incident

Signing defences

A partner was suspended by the Solicitors Disciplinary Tribunal (SDT) after adding a colleague’s electronic signature to six documents without their knowledge or consent.

The “extremely experienced” solicitor, who at the time was a partner at the firm’s office for 10 years, signed the Statements of Truth relating to road traffic accidents.

The partner had reviewed the files of an assistant solicitor, who was on unplanned sick leave and undertook some of the most urgent work.

The partner drafted six defences and copied and pasted the electronic signature from a defence the assistant solicitor had already drafted.

After returning to work, the assistant solicitor noticed the partner had used their signature and emailed the partner to say that they were not comfortable with this.

The partner then applied to court to file and serve amended defences in cases where the assistant solicitor’s signature had been signed.

The matter was reported to the Solicitors Regulation Authority (SRA) by the firm’s compliance officer for legal practice (COLP).

The partner also self-reported, saying: “… I should have signed the defences myself as [I] had satisfied myself that the facts stated in it were true. I am extremely sorry for my error ... In my haste to deal with the many very urgent tasks and my own work I did not take appropriate care.”

The SDT finding

The tribunal found the partner was in breach of:

• SRA Principle 1: “You act… in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice.”
• SRA Principle 2: You act… “in a way that upholds public trust and confidence in the solicitors' profession and in legal services provided by authorised persons.”
• SRA Principle 5: “You act…with integrity.”
• Paragraph 1.4 of the Code of Conduct: “You do not mislead or attempt to mislead your clients, the court or others, either by your own acts or omissions or allowing or being complicit in the acts or omissions of others (including your client).”

The SRA had also initially alleged that the solicitor had breached Principle 4, “You act… with honesty”.

This point was denied by the partner, and the SRA applied to withdraw the allegation due to the lack of evidence around the solicitor’s state of mind at the time.

The tribunal found the partner alone was responsible for the misconduct, which had been repeated across six defences.

The SDT noted the partner had self-reported to the SRA and tried to mitigate the misconduct by informing the court and the other side on each of the relevant matters.

It also noted the court had reported the matters to the SRA, after it gave permission for the documents to be amended.

The partner was suspended for 28 days and ordered to pay costs of £3,500.

Your ethical obligations

The case demonstrates the serious consequences of a breach of SRA Principles and highlights the overarching high-level standards of ethical behaviour expected of solicitors.

As market practice and technology evolve, the use of electronic signatures is becoming increasingly common in a range of commercial transactions and that trend is expected to continue.

Working as a legal professional can also be stressful, with heavy workloads and significant demands on time.

In this context, it is crucial to make sure that professional obligations are upheld when using relevant technology and that pressure of work does not cloud judgements on ethical matters.

The SDT has unlimited powers to fine, suspend or strike off a solicitor where an individual is found guilty of misconduct, depending on the gravity of the regulatory breaches.

Mitigating your risks

As a member of the Law Society, you are part of a community of over 200,000 solicitors with access to a range of benefits to support you and help you thrive and prosper.

This includes practical resources and world-class learning to help you mitigate your risks.

See our:

• practice note on execution of a document using an electronic signature
• Q&A on how to use electronic signatures and complete virtual executions

The SRA has published guidance, acting with honesty and acting with integrity, to help you understand your ethical obligations.

We’re here to support solicitors in recognising and handling difficult professional situations. Discover our support for solicitors on ethical issues.