ABA on disaster preparedness and ethical obligations

Nicole Black
Bridgewater Media Newswires

In the wake of recent hurricanes, disaster preparedness is on everyone’s minds. For lawyers affected by disasters, natural or otherwise, there are unique concerns given the nature of the services that they provide. Statute of limitations and other deadlines must be met despite the weather, as do clients’ needs and concerns. The drumbeat of the law stops for no one, which is why lawyers need to take steps to ensure that their law offices will continue to run smoothly even after a natural disaster hits.

For lawyers who are unsure how to go about doing this, an opinion recently issued by the American Bar Association provides some guidance. In Formal Opinion 482, the ABA Standing Committee on Ethics and Professional Responsibility addressed lawyers’ ethical obligations in the face of a disaster and provided advice for lawyers seeking to implement a disaster plan for their law firms.

The opinion addressed a host of different ethical issues faced by lawyers following a disaster in regard to both existing and potential clients. What follows is a summary of some of their recommendations, most of which relate to existing clients.

At the outset, the committee explained the reason that lawyers must engage in disaster planning: “Lawyers have an ethical obligation to implement reasonable measures to safeguard property and funds they hold for clients or third parties, prepare for business interruption, and keep clients informed about how to contact the lawyers (or their successor counsel).”

Next, the committee focused on the importance of ensuring an open line of communication with clients, even in the midst of a natural disaster. The committee emphasized that part of disaster preparedness entails ensuring that client contact information will be readily available after a disaster hits, and that storing information electronically (where it is easily accessible 24/7) is often an important part of making that happen: “One of the early steps lawyers will have to take after a disaster is determining the available methods to communicate with clients. To be able to reach clients following a disaster, lawyers should maintain, or be able to create on short notice, electronic or paper lists of current clients and their contact information. This information should be stored in a manner that is easily accessible.”

The value of online storage, typically in the cloud, was repeatedly stressed throughout the opinion. The committee explained that exploring these options and choosing the right provider are important steps to take as part of disaster preparedness: “(L)awyers must evaluate in advance storing files electronically so that they will have access to those files via the Internet if they have access to a working computer or smart device after a disaster. If Internet access to files is provided through a cloud service, the lawyer should (i) choose a reputable company, and (ii) take reasonable steps to ensure that the confidentiality of client information is preserved, and that the information is readily accessible to the lawyer.”

The committee also offered the following guidelines for law firms creating a disaster plan:

• Lawyers should check with the courts and bar associations in their jurisdictions to determine whether deadlines have been extended.

• Lawyers also must take reasonable steps in the event of a disaster to ensure access to funds the lawyer is holding in trust. Lawyers should take appropriate steps in advance to determine how they will obtain access to their accounts after a disaster.

• Lawyers whose circumstances following a disaster render them unable to fulfill their ethical responsibilities to clients may be required to withdraw from those representations.

• To prevent the loss of files and other important records, including client files and trust account records, lawyers should maintain an electronic copy of important documents in an off-site location that is updated regularly.

• Lawyers must notify current and former clients of the loss of documents with intrinsic value, such as original executed wills and trusts, deeds and negotiable instruments.

• Finally, the committee concluded the opinion with these words of advice: “Lawyers must be prepared to deal with disasters. Foremost among a lawyer’s ethical obligations are those to existing clients, particularly in maintaining communication. Lawyers must also protect documents, funds, and other property the lawyer is holding for clients or third parties. By proper advance preparation and taking advantage of available technology during recovery efforts, lawyers will reduce the risk of violating professional obligations after a disaster.”

You never know when a disaster may strike. Whether it’s a fire, flooding or other unexpected occurrence, planning is key. Is your firm ready for a disaster? It not, there’s no better time than now to start planning — and reading this opinion in its entirety is a great place to start.


Nicole Black is a director at MyCase.com, a cloud-based law practice management platform. She speaks regularly at conferences regarding the intersection of law and technology. She publishes three legal blogs and can be reached by emailing her at niki@mycase.com.