Lawyer Continuity – Lawyer Exit Plans
There are unfortunately instances when we have to consider a strategy to handle our client files in case of disability or death. A death or a prolonged disability for a solo practitioner can present enormous problems for that person’s family and clients. It is therefore important to consider succession planning when you have your own practice. Here are some basic resources to read:
The American Bar Association has resources on Succession Planning with links to ABA Model Rules of Professional Conduct, ethics opinions, and reports from various states. Go here for ABA Resources.
The New York State Bar Association has published a Planning Ahead Guide: How to Establish an Advance Exit Plan to Protect Your Clients’ Interests in the Event of Your Disability, Retirement or Death. Click here for the book, which also includes sample checklists and forms.
Individuals who become aware of an attorney’s possible incapacity should submit a complaint form to the appropriate Attorney Grievance Committee of the Appellate Division to alert them about the situation. In the event that an attorney has not implemented a succession plan, and the attorney has indeed become incapacitated, the Committee may seek the appointment of one or more attorneys to take possession of the incapacitated attorney’s files, examine the files, advise the clients and take any other action necessary to protect the clients’ interests. See Rules for Attorney Disciplinary Matters (22 NYCRR § 1240.21); Rules of App Div, 2d Dept (22 NYCRR § 691.10 & 691.13); Rules of App Div, 3d Dept (22 NYCRR § 806.21); Rules of App Div, 4th Dept (22 NYCRR § 1015.13).
To notify the New York State Office of Court Administration about an attorney’s passing, send a copy of the death certificate or obituary via one of the following methods:
- By fax to 212.428.2804
- By email to attyreg@nycourts.gov
- By regular mail: NYS OCA, Attorney Registration Unit, 25 Beaver Street, 8th Floor, New York, NY 10004