Jan232026
Probate Q&A Series

What parts of an estate file can be shared with new counsel versus withheld as confidential or privileged? – North Carolina

Short Answer

In North Carolina, prior counsel generally should provide the estate (through the duly appointed personal representative) the estate’s file so successor counsel can continue the administration. However, prior counsel must still protect confidential and privileged information, and may withhold limited categories such as purely internal lawyer notes or materials that would violate a duty owed to someone else. The cleanest path is for the personal representative to give written direction and consent for the file to be released to the new firm.

Understanding the Problem

In a North Carolina estate administration, a new law firm may ask prior counsel for the “estate file” to avoid duplicating work and to keep deadlines on track. The decision point is: can prior counsel share the file with successor counsel as part of turning the matter over, or must certain parts be withheld because they are confidential, privileged, or belong to someone other than the estate. The answer usually depends on who the client was (the personal representative versus an heir or beneficiary), whether there were multiple clients, and whether any part of the file contains protected communications or third-party information.

Apply the Law

North Carolina lawyers have ongoing duties of confidentiality even after a representation ends, and those duties shape what can be transferred in a file handoff. In estate matters, the “client” is typically the personal representative in that fiduciary role (not every heir), and communications made for the estate administration are commonly shared with the personal representative so the administration can be completed. Attorney-client privilege and work-product protections can still apply, and special care is needed if prior counsel represented more than one person in the same matter or if the file contains information that could harm another client or violate a separate duty of confidentiality.

Key Requirements

  • Confirm who the client is: Prior counsel should identify whether the client was the personal representative (in that role), an individual heir, or multiple people jointly, because that controls who can authorize release of the file.
  • Protect confidentiality and privilege: Even when a file is being transferred, confidential information should only be shared with someone authorized to receive it, and privileged communications should not be disclosed to unauthorized persons.
  • Separate “estate file” materials from restricted materials: Most administration documents and correspondence can be transferred, but limited categories (like purely internal notes or information belonging to a different client) may be withheld or redacted.

What the Statutes Say

Analysis

Apply the Rule to the Facts: Here, a new firm believes prior counsel represented the estate and wants to request the estate file. If the prior representation was for the personal representative in the estate administration, prior counsel can typically provide the estate’s file to successor counsel once the personal representative authorizes the release. If the file includes communications with someone other than the personal representative as a separate client (or information that must be kept from another co-client under a prior agreement), prior counsel may need to withhold or redact those parts and explain what was withheld and why.

Process & Timing

  1. Who requests: Successor counsel, ideally with written authorization from the personal representative. Where: Directly to prior counsel (this is not usually a court filing). What: A letter of representation plus a signed authorization from the personal representative directing release of the estate file to successor counsel and confirming the preferred delivery method (secure portal, encrypted link, or hard copy). When: As soon as the substitution is decided, because estate deadlines and creditor issues can continue to run.
  2. Prior counsel reviews and produces: Prior counsel typically gathers pleadings and clerk filings, correspondence, inventories/accountings drafts, creditor communications, asset information provided for administration, and other materials needed to continue the matter, while screening for items that must be withheld or redacted (for example, purely internal notes or information belonging to a different client).
  3. Confirm what was transferred: Successor counsel should request an index or cover email describing what was produced, what time period it covers, and whether anything was withheld (and the general category of the withholding). If something is missing, successor counsel can follow up with a targeted request.

Exceptions & Pitfalls

  • Confusing “the estate” with the heirs: Prior counsel may be allowed to share information with the personal representative for administration purposes, but that does not automatically mean the same information can be shared directly with heirs or beneficiaries if they were not the client.
  • Joint or multiple representation issues: If prior counsel represented more than one person in the same matter, North Carolina ethics guidance generally treats co-clients as entitled to access to the shared file after the representation ends, and it can be hard to keep one co-client’s material information from another. If adversity developed, prior counsel may have had to withdraw, and the file may contain conflict-sensitive material that needs careful handling.
  • Privilege after death is not “gone”: Privilege and confidentiality can continue after death. In many situations, the personal representative can receive confidential information for administration, but privilege questions can become complicated in disputes (for example, a will contest), and disclosure decisions should be made deliberately.
  • Work product and internal notes: Some purely internal materials (like personal notes, internal research memos, or drafts not needed to protect the client’s interests) may be treated differently from client-provided documents and final work product. A practical approach is to produce what successor counsel needs to protect the estate while withholding only narrow categories and explaining them.
  • Third-party confidentiality: If the file contains sensitive information about a third party (for example, another client, a non-client witness, or unrelated matters), prior counsel may need to redact or segregate it before producing the file.

Conclusion

In North Carolina, prior counsel will usually transfer the estate’s file to successor counsel when the duly appointed personal representative authorizes the release, because that allows the estate administration to continue without delay. Confidentiality and privilege still apply, and prior counsel may withhold or redact limited categories like purely internal notes or information that belongs to a different client or must be kept confidential. The most important next step is to obtain a written authorization from the personal representative directing prior counsel to release the estate file to successor counsel promptly.

Talk to a Probate Attorney

If a law firm change is happening in an estate administration and the prior file is needed to keep the matter moving, our firm has experienced attorneys who can help clarify who the client is, what authorizations are needed, and how to request and transfer the file without creating confidentiality problems. Call us today at 919-341-7055.

Disclaimer: This article provides general information about North Carolina law based on the single question stated above. It is not legal advice for your specific situation and does not create an attorney-client relationship. Laws, procedures, and local practice can change and may vary by county. If you have a deadline, act promptly and speak with a licensed North Carolina attorney.

Category: Probate Q&A Series

Author: Pierce Law

Pierce Law Group is a North Carolina law firm focused on probate administration, real estate partition matters, and surplus funds claims across North Carolina. We know these situations often come with stress, family dynamics, and time-sensitive decisions—so we prioritize clear communication, steady guidance, and a practical plan from day one. Our goal is to make a complicated process feel manageable, while protecting what matters most to you.