Can an attorney use an electronic signature?

Yes. Electronic signatures are legally valid under the ESIGN Act (15 U.S.C. §7001) and UETA where adopted. Ensure the court accepts electronic signatures for filings and follow any court-specific authentication rules.

Is notarization required?

Typically no for substitution-of-counsel filings, but requirements vary by jurisdiction. Check local court rules; where notarization or swearing is required follow those authentication steps exactly.

How do I prove service?

Include a certificate of service showing the method, recipient, and date. Retain proof of transmission or the court's electronic service notice to resolve any later challenges.

What if the court rejects my e-filed form?

Review the clerk's rejection message, correct formatting or metadata issues, and refile promptly. Maintain a copy of the rejected submission and the reason for rejection in the client file.

Which records must I retain and for how long?

Retain substitution records for the life of the case plus recommended post-termination periods. See IRS retention rules (IRC §6501(a)) and HIPAA requirements (45 CFR §164.530(j)) where applicable.

Which e-sign plan supports audits and compliance?

Choose a plan with detailed audit trails and compliance certifications. signNow offers plan tiers (Business, Business Premium, Enterprise, Site License) that include audit trails and compliance controls.

Electronic Signature
Templates
Legal
Substitution of Counsel Stipulation Form

Substitution of Counsel Stipulation Form

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

SUBSTITUTION OF COUNSEL STIPULATION

Court: Case No.:

Case Caption:

Client Name: Current/Outgoing Counsel:

Substituting Counsel: Firm:

RECITALS

WHEREAS, Client Name: retained Outgoing Counsel: to represent Client in the above-captioned matter; and

WHEREAS, Client has requested that Substituting Counsel: of Firm: be substituted as counsel of record in place of Outgoing Counsel; and

WHEREAS, Outgoing Counsel has been notified of Client's decision and the parties desire to enter a stipulation effecting the substitution subject to the rules and approval of the Court.

NOW, THEREFORE

The parties, by their undersigned counsel and Client, stipulate and agree as follows:

1. SUBSTITUTION OF COUNSEL

Effective as of the Effective Date set forth below, Substituting Counsel shall be and hereby is substituted as counsel of record for Client in this action. Substituting Counsel shall assume responsibility for all further proceedings, filings, and communications with the Court and opposing parties, and shall be entitled to receive service of all papers and notices in the action.

2. AUTHORITY AND SCOPE

Client authorizes Substituting Counsel to take all necessary actions on Client's behalf in the proceeding, including but not limited to entering appearances, receiving confidential client information and file materials from Outgoing Counsel, conducting discovery, negotiating resolution, and consenting to extensions of time as reasonably required. This substitution does not release Client from any fee obligation to Outgoing Counsel arising from services rendered prior to the Effective Date.

3. OUTSTANDING FEES AND FINAL ACCOUNTING

Client acknowledges that any fees, costs, or expenses incurred with respect to services rendered by Outgoing Counsel prior to the Effective Date remain the responsibility of Client unless otherwise agreed in writing. Client further acknowledges that Outgoing Counsel shall be entitled to render a final accounting and to take customary measures to secure payment of outstanding fees in accordance with applicable professional rules.

Outstanding Fee Acknowledgment

Client acknowledges outstanding fees or billing arrangements with Outgoing Counsel and affirms that either payment arrangements have been made or such obligations remain outstanding and will be addressed by Client.

4. RELEASE AND TRANSFER OF FILE

Client authorizes Outgoing Counsel to transfer the complete case file, including pleadings, discovery, correspondence, and electronic records, to Substituting Counsel. Substituting Counsel is authorized to obtain copies of any original documents and to take possession of the file upon request. Any agreement regarding retention of originals or costs associated with copying shall be resolved between Client and Outgoing Counsel.

Authorization to Release File (describe limits, if any)

5. NOTICES AND SERVICE

Service of all future pleadings, notices, and correspondence shall be made on Substituting Counsel at the address and contact information provided below. Substituting Counsel shall also serve a copy of this stipulation on Outgoing Counsel and file proof of such service with the Court.

Substituting Counsel Address for Service Outgoing Counsel Address on Record Client Address

6. COURT FILING AND EFFECTIVE DATE

This stipulation shall be filed with the Court. The substitution shall be effective on the Effective Date indicated below or on the date the Court grants substitution, whichever is later.

Effective Date:

7. CERTIFICATE OF SERVICE

I certify under penalty of perjury under the laws of the applicable jurisdiction that on the date indicated below I served a true and correct copy of this Stipulation for Substitution of Counsel on the parties and counsel of record in the manner indicated.

Date of Service: Method of Service:

8. GOVERNING LAW; MISCELLANEOUS

This stipulation shall be governed by and construed in accordance with the laws applicable to the underlying proceeding without regard to conflict of law principles. The parties agree that any disputes concerning interpretation or enforcement of this stipulation shall be submitted to the Court presiding over the action.

Entire Agreement: This stipulation contains the entire agreement of the parties with respect to the subject matter hereof and supersedes any prior oral or written agreements on that subject.

Severability: If any provision of this stipulation is held invalid or unenforceable, the remaining provisions shall continue in full force and effect.

Amendments and Waiver: This stipulation may be amended only by a written instrument signed by Client and Substituting Counsel and, where required, approved by the Court. No waiver of any provision shall be effective unless in writing.

Counterparts: This stipulation may be executed in counterparts, each of which shall be deemed an original, and all of which together shall constitute one instrument.

Client

Printed Name:

By:

Date:

Substituting Counsel

Printed Name:

By:

Date:

What the Substitution of Counsel Stipulation Form Is

The Substitution of Counsel Stipulation Form is a court filing used to record a change of legal representation for a party in an ongoing matter. It identifies the withdrawing attorney, the incoming counsel, the client represented, and the matter or docket number. Courts use the form to update service lists and to confirm that the client has consented to the change. Properly completed, it preserves the record of representation and ensures future filings, notices, and calendar events are directed to the correct attorney of record.

Why a Clear Substitution of Counsel Matters

A precise substitution filing prevents service errors, preserves client confidentiality, and maintains court deadlines. It documents consent, updates the official record, and avoids confusion about who may accept service or appear at hearings.

Who Typically Completes This Form

The form is completed when counsel changes during litigation, administrative proceedings, or arbitration.

Individual litigants represented by retained or appointed attorneys; counsel files the form to update the court record and service list.
Law firms onboarding or closing a matter; a partner or managing attorney files the substitution to transfer responsibility.
In-house or corporate counsel replacing outside counsel; the document records who now handles communications and filings.

Accurate completion ensures notices, calendar calls, and docket entries reach the correct attorney and prevents service defects.

Step-by-Step: Completing the Stipulation Form

Follow these core steps to complete and file the substitution correctly and minimize processing delays.

01

Prepare Case Info: Confirm court name and docket number match existing filings.
02

Complete Parties: Enter party and counsel details exactly as required by local rules.
03

Obtain Consent: Get client consent and withdrawing counsel acknowledgment in writing.
04

File and Serve: File with the court and serve all parties; include proof of service.

Where to File and How It Moves Through the Court

Submitting the substitution updates the court docket and serving counsel ensures all parties receive notice.

File with Clerk: Submit document via the court's e-filing portal or clerk's office per local rules.
Docket Update: Clerk posts the substitution to the case docket and updates attorney of record.
Service on Parties: Serve opposing counsel and any registered service contacts; attach proof of service.
Confirm Receipt: Retain filed copy and service confirmation for the case file and client records.

Digital Filing and Platform Requirements

Many courts accept e-filed substitutions; requirements vary by jurisdiction and court level.

Document Format: PDF/A or court-compatible PDF
Authentication: Attorney e-filing account credentials
Audit Trail: Signed record with timestamp

Before e-filing, check the court's technical specifications for file size, PDF version, and required metadata to avoid upload rejections.

Typical Deadlines and Timing Considerations

Timelines depend on the court schedule and any upcoming hearings; file early enough to permit clerk processing and service.

Prior to Hearing:

File substitution at least the number of days required for service before scheduled hearings.

After Retention:

File promptly after counsel retention to avoid missed notices and calendar changes.

Service Periods:

Comply with local rules for serving opposing counsel and regulatory parties.

Clerk Processing:

Allow court processing time; some courts batch e-filings daily.

Emergency Matters:

For urgent hearings, serve opposing counsel directly and notify the court clerk by phone if allowed.

Common Mistakes to Avoid

Using an incorrect docket number or party name, which can cause the court to treat the filing as unrelated and reject or mis-docket it.
Failing to obtain or document the client's consent and the withdrawing attorney's acknowledgement, creating disputes over authority to act.
Not serving all required parties or failing to attach a proper certificate of service, resulting in service challenges and possible sanctions.
Uploading a noncompliant file format or omitting required metadata for e-filing, which can delay posting to the docket.

Penalties and Risks of Incorrect Submissions

Case Delays: Missed notices or hearings

Sanctions: Court may impose fees or sanctions

Service Defect: Opposing counsel may challenge service

Client Exposure: Confidentiality or liability risks

Rejected Filing: Clerk may reject for noncompliance

Professional Discipline: Repeated errors may trigger disciplinary review

Data and Security Requirements for Electronic Submission

In Transit: TLS 1.2/1.3 encryption

At Rest: AES-256 encryption

Audit Trail: Timestamped signing records

Compliance: ESIGN and UETA adherence

Healthcare: HIPAA BAA available when needed

Access Controls: SSO and role-based permissions

Real-World Examples of Electronic Substitution Use

Organizations use e-signature workflows to streamline substitutions, reduce mail time, and maintain an auditable record of counsel changes.

Optica Example

A small firm needed faster counsel transitions for investor disputes and reduced turnaround for signature capture.

They used an e-sign workflow to avoid in-person signings.
"The interface is simple and easy-to-use for our team; more importantly, it is just as easy for our customers." — Brian Fitzgibbons, COO, Optica Ventures LLC

BIS Example

A mid-market company required SOC 2–level records for legal team handoffs and auditability.

They standardized substitution filings via secure e-signing.
"We felt most comfortable with airSlate SignNow given their SOC 2 certification and strict focus on ESIGN and UETA act compliance." — Dan Rotelli, CEO, BIS

Practical Tips for Accurate and Efficient Completion

Apply these best practices to reduce rejections, preserve attorney-client privilege, and ensure timely notice to all parties.

Verify Case Identifiers

Double-check the court name and docket number against existing filings before submission. Small typographical errors can lead clerks to misfile the document, delaying notice to parties and creating procedural complications.

Document Client Consent

Obtain and record the client's written consent or on-the-record acknowledgment. Clear documentation avoids later disputes about authority to change representation and supports ethical obligations under state bar rules.

Follow Local Form Rules

Use court-provided substitution templates where offered and adhere to required formats, signatures, and attachments; deviations can cause the clerk to reject the filing or require resubmission.

Retain Proof of Service

Keep copies of filed substitutions and certificates of service in the client file for the retention period; this supports responses to any service or notice challenges.

Typical e-Filing Workflow Settings

Configure the document and signing workflow to meet court and firm requirements before sending for signature.

Field	Configuration
Document Format	PDF/A, flattened where required
Signature Method	Typed or drawn signature with audit trail
Authentication	Email link or SMS code per court preference
Audit Record	Include timestamp, IP, and signer details

eSignature Pricing Comparison for Substitution Workflows

Basic price and feature differences can affect per-document cost and compliance options for substitution filings; signNow appears first for comparison.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies by vendor	Varies by vendor	Varies by vendor	Varies by vendor
Bulk Send	Yes (Business Premium)	Varies	Varies	Varies	Varies
Audit Trail	Yes	Yes	Yes	Yes	Yes
Envelope Cap	No cap	100 envelopes/user/year	Varies	Varies	Varies

Frequently Asked Questions and Troubleshooting

Answers to common questions about completing, signing, and filing a substitution of counsel stipulation, including e-signature and retention concerns.

Need help? Contact support

Can an attorney use an electronic signature?
Yes. Electronic signatures are legally valid under the ESIGN Act (15 U.S.C. §7001) and UETA where adopted. Ensure the court accepts electronic signatures for filings and follow any court-specific authentication rules.
Is notarization required?
Typically no for substitution-of-counsel filings, but requirements vary by jurisdiction. Check local court rules; where notarization or swearing is required follow those authentication steps exactly.
How do I prove service?
Include a certificate of service showing the method, recipient, and date. Retain proof of transmission or the court's electronic service notice to resolve any later challenges.
What if the court rejects my e-filed form?
Review the clerk's rejection message, correct formatting or metadata issues, and refile promptly. Maintain a copy of the rejected submission and the reason for rejection in the client file.
Which records must I retain and for how long?
Retain substitution records for the life of the case plus recommended post-termination periods. See IRS retention rules (IRC §6501(a)) and HIPAA requirements (45 CFR §164.530(j)) where applicable.
Which e-sign plan supports audits and compliance?
Choose a plan with detailed audit trails and compliance certifications. signNow offers plan tiers (Business, Business Premium, Enterprise, Site License) that include audit trails and compliance controls.

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