Planning Ahead: Why Succession Planning Matters for Alabama Lawyers
- Attorneys Insurance Mutual
- 4 hours ago
- 4 min read
For many Alabama lawyers—especially solo and small firm practitioners—our law practice is not just a career, it’s a lifetime of relationships, reputation, and responsibility. Yet too often, we spend more time planning for our clients’ futures than for our own. Succession planning is one of those tasks that feels easy to put off—until it’s too late.
What is Succession Planning?
People think of different scenarios when they hear “succession planning.” Put simply, it is the process of planning for someone else to take over responsibilities for your clients. This could happen with your retirement, with your incapacity (temporary or permanent), with your death, or upon the occurrence of any other event which results in your inability to continue representing your clients.
The Rules of Professional Conduct
The Alabama Rules of Professional Conduct set forth duties that extend beyond day-to-day representation. Rule 1.3 (diligence) and Rule 1.15 (safekeeping property) obligate us to protect clients’ interests even if we are suddenly unavailable. While discipline may not be possible or practical, there is a good argument that these duties do not disappear in the event of death or incapacity.
The ABA’s Model Rule 1.17 addresses the sale of a law practice. It allows a lawyer to sell a practice—including its goodwill and client matters—under specific conditions, such as providing written notice to clients and allowing them to choose new counsel. The rule was designed to give solo and small firm lawyers a way to transition their practice in an orderly manner while protecting clients.
Alabama, however, has not adopted Rule 1.17. That means lawyers here cannot sell their practice as a going concern in the same way that lawyers in many other states can. In Alabama, succession planning is therefore even more critical: without the option of selling your practice outright, you should be intentional about naming a colleague or colleagues to wind down your practice, safeguarding client files and funds, and ensuring that clients are not left without representation.
Why Succession Planning Matters
Succession planning isn’t just about what happens when we’re gone—it’s about peace of mind today.
A thoughtful plan:
Protects clients by ensuring continuity of representation and access to files and funds.
Protects family by avoiding confusion, ethical issues, or financial liability.
Protects firm value by preserving goodwill, client relationships, and reputation—even though a practice cannot be formally sold in Alabama.
Protects staff by providing direction and reducing uncertainty.
For many lawyers, the idea of succession planning feels like planning for the end. But really, it is about protecting the work you’ve built and the people who depend on you. It’s a way of showing that the relationships you’ve nurtured with clients, colleagues, and community extend beyond your last day in the office.
In short, succession planning is about stewardship—of our clients’ interests, our firm’s future, and the legal profession’s integrity.
Key Elements of a Succession Plan
An effective plan doesn’t have to be complicated, but it should be intentional. Core components include:
Designating an Assisting Attorney – Identify a trusted colleague who can step in to wind down or transition your practice. Put that agreement in writing.
Client File Management – Maintain secure, accessible systems for both physical and digital files. Provide clear instructions for retention and transfer while also ensuring confidentiality.
Trust Account & Financial Procedures – Ensure your successor has the authority and instructions necessary to handle client funds properly.
Communication Plan – Prepare template notices for clients, courts, and opposing counsel. Update your website, voicemail, and office protocols to reflect continuity.
Firm Continuity & Value – While Alabama does not permit the sale of a practice under Rule 1.17, you can still take steps to preserve client relationships and goodwill through careful planning and client communication.
Practical Steps for Alabama Lawyers
Unlike many states, Alabama does not have a ready-made toolkit. But lawyers here can still put together their own plan using common-sense steps.
For example:
Add a clause in your engagement letters that explains your succession plan or simply notes that you have one. This reassures clients that their interests will remain protected.
Maintain a current inventory of open cases, client contact information, and key passwords. A simple spreadsheet, updated quarterly, can make a huge difference.
Draft written instructions for your assisting attorney on how to access files, calendars, and financial accounts.
Periodically review your plan to ensure it remains accurate, particularly when staff, technology systems, or your practice focus changes.
Discuss your plan openly with your family, staff, and designated assisting attorney. Transparency reduces stress if the plan ever has to be put into action.
Overcoming the Obstacles
The most common barriers to succession planning are psychological, not logistical. We don’t like to think about disability or death. We worry we don’t have time. We fear raising succession with clients might suggest we’re stepping back.
In truth, a clear plan communicates the opposite: it shows professionalism, foresight, and a deep commitment to protecting your clients’ interests. It demonstrates that you value the trust they’ve placed in you.
Succession planning should not be thought of as optional. Think of it as a professional duty and a practical necessity. Whether you’re a solo practitioner or part of a larger practice, taking the time to plan today can spare your clients, colleagues, firm, and family from unnecessary hardship tomorrow.
Begin with a written plan, talk with a trusted colleague, and take the first step. Succession planning is not about the end of your practice—it is about securing its legacy.
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