Document certification is a task that many solicitors regard as routine, administrative or low risk. In practice, however, it is an activity that engages core professional duties relating to integrity, public trust and regulatory compliance. Recent decisions of the Solicitors Disciplinary Tribunal (SDT), reported in the Law Society Gazette, have demonstrated in stark terms that failures in this area can result in severe sanctions, including strike-off.
In this article we look at the legal and professional framework surrounding document certification, explain when and why certification is required, identify who may carry it out, and set out what solicitors must do to ensure that certification is undertaken lawfully and properly. We also consider some practical guidance for firms seeking to reduce regulatory risk in light of recent disciplinary decisions.
What Is Document Certification?
Document certification generally involves confirming that a copy of a document is a true and accurate reproduction of the original. The certifier does not usually attest to the authenticity of the original document itself, but rather confirms that the copy corresponds exactly to what was seen. In some cases, particularly where photographic identification is involved, the certification may also include confirmation that the photograph is a true likeness of the individual presenting the document.
Certified copies are commonly required where an organisation needs reliable evidence but does not wish to retain the original document. Typical examples include identity verification for banks, mortgage lenders, professional regulators, educational institutions and immigration authorities. In legal practice, certification often arises in conveyancing, probate, company work, litigation and regulatory matters.
Although certification is not governed by a single statutory regime, it is underpinned by the professional status of the certifier. The value of certification lies in the fact that it is carried out by a person whose professional obligations, regulatory oversight and potential liability provide assurance to the recipient of the document.
Recent SDT Decisions: Why Certification Is a Regulatory Risk
Two recent SDT cases, reported by the Law Society Gazette, have brought renewed focus to document certification and related identity-verification practices.
In the most recent case, reported by the Gazette as “Strike-off for failing to verify known client’s ID in person”, a solicitor was struck off for failing to verify a client’s identity in person, relying instead on the fact that the client was well known to them. The tribunal rejected the argument that familiarity with the client justified a departure from proper verification procedures. The decision reinforces the principle that regulatory obligations are not displaced by personal knowledge or longstanding professional relationships. Where formal processes require in-person inspection of original documents, solicitors must comply strictly with those requirements.
In a second case (see “Solicitor banned for certifying documents online”), a solicitor was struck off after offering document certification services online, allowing individuals to upload scanned documents and receive “certified” copies without the solicitor ever seeing the originals. The SDT found that this practice fundamentally undermined the purpose of certification and amounted to serious professional misconduct. Certification, by its nature, requires the certifier to inspect the original document; without that step, the certification is misleading and unreliable.
These cases underline a crucial point for firms: document certification is not a procedural formality that can be automated or commoditised without risk. It is a professional act that carries regulatory consequences if performed incorrectly.
When Does Document Certification Arise?
Document certification arises most frequently in connection with identity verification and evidential requirements imposed by third parties. In financial and property transactions, certified copies of passports and proof of address documents are often required to satisfy know-your-customer obligations. In probate and private client work, death certificates, grants of representation and identity documents may need to be certified for use by institutions or overseas authorities.
Certification is also common in litigation, where courts or tribunals may accept certified copies rather than originals, and in corporate transactions involving filings, shareholder documentation or director identification. Outside the legal sector, clients may ask solicitors to certify documents for employment, education or immigration purposes.
The key point for firms is that certification is often undertaken for reasons outside the firm’s own regulatory framework. The standards expected by the recipient organisation, however, do not override the solicitor’s professional obligations. Firms must therefore ensure that certification is carried out in a way that satisfies both the requesting body and the SRA’s expectations.
Who Can Certify Documents?
There is no single universal list of authorised certifiers. Instead, the acceptability of a certifier depends on the requirements of the organisation requesting the certified copy. Commonly accepted certifiers include solicitors, notaries public, chartered accountants, bank officials, doctors, teachers and certain public officials. The common thread is that the certifier must be independent, professionally accountable and of sufficient standing.
Solicitors are frequently asked to certify documents because of their regulated status and perceived reliability. However, firms should be cautious about assuming that solicitor certification is always sufficient. For documents intended for use abroad, certification by a notary public may be required, often followed by legalisation or an apostille. In such cases, a solicitor’s certification may be inadequate and may cause delays or additional costs for the client.
From a risk perspective, firms should also ensure that the person certifying documents within the practice is appropriately authorised and supervised. Certification should not be treated as an unregulated administrative task delegated without oversight to junior staff.
What Must a Solicitor Do When Certifying a Document?
At its core, proper document certification requires the solicitor to see the original document. This is not optional. The SDT’s recent decisions make clear that certification without inspection of the original is unacceptable. Seeing a scan, photograph or emailed copy is not sufficient for true-copy certification.
Once the original has been inspected, the solicitor must ensure that the copy accurately reproduces it in full. The certification wording should be clear and unambiguous, typically stating that the copy is a true copy of the original document seen by the certifier. Where appropriate, additional wording may confirm that a photograph is a true likeness of the individual.
The certified copy should be signed and dated, and should include the certifier’s name, professional status and contact details. This information allows the recipient to verify the certifier’s identity and standing if required. Firms should use consistent wording and formatting to avoid ambiguity or inconsistency.
Importantly, certification does not absolve the solicitor of broader regulatory obligations. Where certification is linked to client onboarding or transactional work, firms must ensure that anti-money-laundering and client-due-diligence requirements are also met. Certification should complement, not replace, proper identity and risk checks.
The Risks of Remote and Online Certification
The increasing digitisation of legal services has led some firms to explore remote or online certification processes. While technology can support efficiency, the recent SDT decision concerning online certification services demonstrates that there are clear limits.
Remote certification models that do not involve inspection of original documents are inherently risky. They create a false impression of assurance and expose both the solicitor and third parties to the risk of fraud or misrepresentation. From a regulatory perspective, such models may breach duties of integrity, independence and public trust.
If firms wish to incorporate technology into certification processes, they must ensure that it does not undermine the fundamental requirement to see the original document. This may involve carefully designed hybrid processes, but firms should proceed with caution and seek regulatory or legal advice before implementing such systems.
Practical Compliance Steps for Firms
Given the regulatory scrutiny in this area, firms should take proactive steps to ensure that document certification is handled safely and consistently.
Firms should begin by adopting a clear written policy on document certification. This policy should explain when certification may be offered, who within the firm is authorised to certify documents, and what procedures must be followed. It should emphasise the requirement to inspect original documents and prohibit certification based solely on electronic copies. Infolegal subscribers can access a draft policy covering these very topics through the Infolegal InfoHub.
Training is also critical. Staff at all levels should understand that certification is a regulated professional activity, not a clerical task. Training should address the recent SDT decisions and explain the potential consequences of non-compliance, both for individuals and for the firm.
Supervision arrangements should be robust. Junior staff should not certify documents without appropriate oversight, and managers should periodically review certification practices as part of compliance monitoring. Firms may also wish to keep a simple internal record of certifications carried out, particularly where they relate to identity documents or high-risk matters.
Finally, firms should manage client expectations. Clients may assume that certification can be done quickly or remotely. Firms should explain the regulatory constraints clearly and resist pressure to cut corners. Where a solicitor’s certification is not appropriate or sufficient, clients should be signposted to a notary public or other suitable professional.
Conclusion
The recent SDT rulings serve as a timely reminder that document certification is a professional act with real regulatory consequences. For solicitors, it engages fundamental duties of integrity, competence and public trust. Certification carried out without proper verification, or in a way that misrepresents what has been done, can amount to serious misconduct.
For firms, the compliance message is clear. Document certification must be treated as part of the firm’s regulated activities, governed by clear policies, proper training and effective supervision. In an era of increasing digitalisation, firms must ensure that efficiency does not come at the expense of professional standards.
By taking a structured and cautious approach to certification, solicitors’ firms can protect their clients, safeguard their regulatory position and maintain the confidence of third parties who rely on certified documents as a cornerstone of legal and commercial trust.