When the unexpected happens: Succession planning as an ethical imperative

California attorneys spend their careers helping clients prepare for the future. Yet, many postpone planning for their own practices in the event they are unable to continue practicing law. 

A practical guide to adhering to the ethical mandates 

The State Bar has made clear that attorneys have an ethical obligation to prepare for interruptions to their practice. The State Bar's new Succession Planning Guide, its related resources, and the Committee on Professional Responsibility and Conduct's  Cal. State Bar Formal Opn. No. 2024-209 (the Opinion) all conclude that an attorney must take reasonable steps to protect clients in the event of death, incapacity or other inabilities to practice law. This duty applies to all attorneys. Protecting client interests does not depend on firm size. 

The Opinion grounds this duty in several rules in the California Rules of Professional Conduct: Competence (rule 1.1); Diligence (rule 1.3); Communication (rule 1.4); Confidentiality (rule 1.6); Conflicts of Interest: Current Clients (rule 1.7); Duties to Former Clients (rule 1.9); Imputation of Conflicts (rule 1.10); Safekeeping Client Funds & Property (rule 1.15); Declining or Terminating Representation (rule 1.16); and Responsibilities of Managerial and Supervisory Lawyers (rule 5.1). 

The Succession Planning Guide translates these duties into practical action items, helping attorneys implement a business continuity plan before problems arise. Recognizing that many California attorneys lack clear strategies and resources to prepare for these scenarios, the Succession Planning Guide translates ethics into action. It offers practical checklists and tools to ensure attorneys take concrete steps to establish a continuity plan before an unexpected absence occurs or when winding down a practice. 

At the heart of this process are four critical designations: 

• Planning attorney: The attorney preparing the succession plan.

• Assisting attorney: An attorney designated to assume responsibility as outlined in the planning attorney's succession planning agreement.

• Authorized signer: A person authorized to sign on the planning attorney's client trust account. This could be the same person as the assisting attorney.

• Emergency practice coordinator: An administrative person who holds emergency access credentials and helps facilitate an orderly transition with the assisting attorney.

These designations should be documented in clear and formal agreements. The Opinion notes that failure to designate and authorize another attorney to assume responsibility can leave clients unprotected, potentially leading to missed deadlines, communication lapses and other ethical violations.  

'Activating' the succession plan, communication and ongoing maintenance 

Equally important is clarifying when the plan becomes effective. Attorneys should specify whether death, incapacity or other specific circumstances trigger the Assisting Attorney's authority. The Opinion underscores that ambiguity in this area risks jeopardizing both client rights and trust account management under rule 1.15. 

A robust plan goes beyond paperwork. Attorneys should coordinate with partners, staff, malpractice carriers, financial institutions and relevant family members. 

Most importantly, clients must be notified when there is the potential for an imminent extended absence or when the planning attorney is unable to continue representation. The Opinion explains that an attorney shall keep the client reasonably informed about significant developments relating to the representation under rule 1.4. Early disclosure reassures clients, preserves the reputation of the Planning Attorney and supports business continuity should an unexpected absence occur. Clear communication maintains stability and trust. 

Succession planning is not a one-time exercise. Attorneys should maintain updated office systems, contact lists, passwords, calendars and trust account records, and they should review their business continuity plans annually. The Opinion reminds attorneys that circumstances change. For example, designees may move, retire or decline responsibility. Regular updates ensure compliance and effectiveness. 

While the need for succession planning is most urgent in emergencies, the benefits extend to any form of transition, including voluntary retirements, firm mergers or sales. By maintaining systematic, up-to-date records and establishing clear lines of authority, attorneys not only protect themselves against worst-case scenarios but also position their practices for smooth and orderly transitions--whether voluntary or unexpected. 

Failing to implement a succession plan can create immediate and far-reaching consequences for clients, the firm and its staff, and the attorney's family. Clients may face missed court dates, expired statutes of limitations, inaccessible trust funds, and an inability to transfer files to new counsel, all of which may implicate the Rules of Professional Conduct. As illustrated in the Opinion, clients may even need to seek court intervention simply to recover their own records. For the firm, the absence of a plan creates malpractice exposure, reputational harm and potential disciplinary action, while staff may be left without direction or authority to manage operations. Family members may be forced to navigate unfamiliar legal and financial responsibilities during an already difficult time if no roles or procedures have been established. 

Practical takeaway 

Succession planning is not only an ethical duty but also a safeguard for clients and the attorney's professional legacy. Attorneys cannot ignore the possibility of unexpected incapacity or inevitability of death. By designating trusted colleagues, maintaining organized records and reviewing arrangements annually, attorneys can ensure continuity of representation and avoid preventable harm. 

Planning for the unexpected is an integral part of competent and ethical law practice in California.