Question

I am a solo practitioner and read a lot about the need to have a succession plan in place. What does that mean?

Answer

Many articles have been written about succession planning for solo practitioners. There is acknowledgement in Wisconsin’s Supreme Court Rules that the duties of competence and diligence for a solo practitioner includes taking steps to ensure that clients are protected if the solo practitioner becomes incapacitated. Also, SCR 20:1.16 provides that a lawyer must safeguard the property and files of a client at the time that representation ceases.

While it can be very hard to talk about this topic, lawyers are becoming more comfortable with the idea that solo practitioners must prepare to protect clients’ interests in case something happens to the solo practitioner. The State Bar of Wisconsin has recently instituted a Succession Planning Registry that allows members to create a directory that indicates who should be contacted if something happens to the member. The registry is now active and available through your myStateBar (click on the myProfile tab and go to Advanced Profile).

There are several key elements for solo practitioners’ succession planning. First, the solo practitioner must find another lawyer who can step in during an emergency to address the needs of clients if something happens to the solo practitioner. This does not mean that the other lawyer must be able to step in and try a case if something happens to the solo practitioner on the eve of a trial, but it does mean that the lawyer can step in and obtain the necessary delays or rescheduling of proceedings to protect clients’ interests. I often hear of solo practitioner lawyers in the same community agreeing to serve in that emergency-backup capacity for each other. It is important to document the agreement in writing, so both parties understand which steps the backup lawyer can take, and to provide details regarding access to trust accounts and other law office information.

Second, the solo practitioner should take time to educate the backup lawyer about office staff and office systems so that the backup lawyer can step in and help office staff address all the matters that need to be addressed to protect clients’ interests. This does not have to be a huge endeavor, but certainly the solo practitioner should ensure that the backup lawyer has enough familiarity with office procedures and office staff to feel comfortable with helping out.

It is important to document the agreement in writing, so both parties understand which steps the backup lawyer can take, and to provide details regarding access to trust accounts and other law office information.

Third, the solo practitioner must make sure there is an updated calendar that identifies all deadlines and timelines for pending matters. This will enable office staff and the backup lawyer to readily address tasks that must be handled immediately in the case of an emergency that affects the ability of the solo practitioner to provide representation.

These steps may sound simple, but they are very important steps for the solo practitioner to take to ensure that representation continues if he or she is temporarily or permanently unable to work.