Source: http://www.lmick.com/item/appealing-ethics
Timestamp: 2019-04-22 20:07:18+00:00

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Do the Kentucky Rules of Professional Conduct (RPC)1 apply in the same way when practicing an appellate case as they do in other matters? Are the malpractice risks diminished because the case has reached the appellate stage where things are less messy and the air more rarified?
While it is true that the RPCs are the same for appellate practice as they are for every other type of practice, it is equally true that the context is different and the rules feel different. It is also true that appellate practice is much quieter than a trial court, but the risk of malpractice is significant in the appellate process. Complex substantive issues must be thoroughly briefed and appellate procedural requirements must be meticulously observed to avoid dismissal or default. Quiet as it is, there is little margin for error.
The purpose of this article is twofold. First, it is intended to provide appellate lawyers with an analysis of the ethical considerations uniquely applicable to appellate practice: What duty is owed clients to assist in appeals? When is an appeal frivolous? What is the significance of an appellate positional conflict of interest? What are the requirements for candor to the appellate court? This analysis is followed by a description of appellate malpractice risks and risk management guidelines on how to prevent a claim.
You took the case – now must you represent the client if there is an appeal?
When a lawyer enters an attorney-client relationship the duty arises to “… carry through to conclusion all matters undertaken for a client.”2 There is a split of authority on whether this duty means a trial lawyer has an obligation to pursue a meritorious appeal if the client wishes to do so. One view is that a lawyer’s duty to the client ends with the entry of judgment absent an agreement to continue with an appeal. A contrary view is once a lawyer accepts a case there is a duty to stay with the case through appeal.3 The safe way to avoid this issue is to cover appeals in a letter of engagement defining the scope of representation.
You lost the case – do you now have a meritorious appeal?
(1) RPC 3.1 Meritorious Claims And Contentions: A lawyer shall not knowingly bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law. ….
Comment (2): .… Such action is not frivolous even though the lawyer believes that the client’s position ultimately will not prevail. The action is frivolous, however, if the client desires to have the action taken primarily for the purpose of harassing or maliciously injuring a person or if the lawyer is unable either to make a good faith argument on the merits of the action taken or to support the action taken by a good faith argument for an extension, modification or reversal of existing law.
(2) RPC 3.2 Expediting Litigation: A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of the client.
Comment: Delay should not be indulged … for the purpose of frustrating an opposing party's attempt to obtain rightful redress or repose. …. The question is whether a competent lawyer acting in good faith would regard the course of action as having some substantial purpose other than delay. Realizing financial or other benefit from otherwise improper delay in litigation is not a legitimate interest of the client.
(3) Rule 3.4(c) Fairness To Opposing Party And Counsel: A lawyer shall not: … Knowingly or intentionally disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists; ….
Your meritorious appeal for Client A conflicts with your meritorious appeal for Client B. Is this a problem?
A lawyer may represent parties having antagonistic positions on a legal question that has arisen in different cases, unless representation of either client would be adversely affected. Thus, it is ordinarily not improper to assert such positions in cases pending in different trial courts, but it may be improper to do so in cases pending at the same time in an appellate court.
Concurrently taking adverse legal positions on behalf of different clients. A lawyer ordinarily may take inconsistent legal positions in different courts at different times. While each client is entitled to the lawyer’s effective advocacy of that client’s position, if the rule were otherwise law firms would have to specialize in a single side of legal issues.
However, a conflict is presented when there is a substantial risk that a lawyer’s action in Case A will materially and adversely affect another of the lawyer’s clients in Case B. Factors relevant in determining the risk of such an effect include whether the issue is before a trial court or an appellate court; whether the issue is substantive or procedural; the temporal relationship between the matters; the practical significance of the issue to the immediate and long-run interests of the clients involved; and the clients’ reasonable expectations in retaining the lawyer. If a conflict of interest exists, absent informed consent of the affected clients … the lawyer must withdraw from one or both of the matters. …. On circumstances in which informed client consent would not allow the lawyer to proceed with representation of both clients, see §122(2)(c) and Comment g(iv) thereto.
The key to avoidance of unresolved positional conflicts is to be sensitive to the issue and use a conflict identification system that searches for positional conflicts. My experience is that many Kentucky lawyers balk at this added layer of conflict review as being too burdensome. With the sophisticated conflict identification software now available it is a manageable task. A positional conflict of interest search should be part of every new matter conflict review. Periodic reviews for positional conflicts should be made as a case progresses to appeal.
Your appeal has some weaknesses. How candid must you be about them?
Citation of adverse authority: The Kentucky Supreme Court did not adopt the portion of the ABA Model Rules of Professional Conduct on candor to the tribunal requiring lawyers to disclose to the court legal authority in the controlling jurisdiction directly adverse to the client’s position and not disclosed by opposing counsel. This avoids for Kentucky lawyers the problem of struggling with nice distinctions of what does directly adverse really mean, but puts Kentucky out of step with many other jurisdictions.10 When practicing in other state or federal jurisdictions be sure to know their rules on disclosure of adverse legal authority.
Too much candor: Lack of civility can be an issue at the appellate level as well as at trial. At the appellate level, however, it is even more problematic because the victim of the uncivil conduct is usually a judge. An Indiana lawyer was recently disciplined for alleging in an appeal that the court of appeals authorized attorneys to lie.13 You can think it, but don’t say or write it, is the prudent rule.
There is no special standard of care for appellate lawyers. Appellate malpractice cases are litigated using the same standard of care as any other lawyer malpractice case – whether the lawyer exercised the skill and capacity normally exercised in similar circumstances. It must be established that the lawyer’s negligence caused damage; e.g., the client would have prevailed on appeal but for the lawyer’s negligence and the client would have recovered or not paid a certain amount in the underlying case. An excellent analysis of appellate malpractice issues is Mallen & Smith’s Legal Malpractice 5th ed., §30.44 The Appellate Attorney. It is the place to start in researching appellate malpractice.
Neither of these approaches satisfactorily addresses the question of the appellate lawyer’s duty to advise of trial lawyer malpractice. They are typical of lawyer friendly ethics opinions that relieve lawyers of unpleasant duties. A lawyer’s fiduciary obligation of loyalty along with the RPCs on competence, diligence, and client communication impose a duty to inform a client on appeal of all aspects of the case. An appellate lawyer may limit the scope of representation to preclude representing the client in a collateral malpractice case against the trial lawyer, but should advise of malpractice even if outside the scope of representation.16 Failure to do so in today’s legal environment could provoke a bar complaint or malpractice claim against the appellate lawyer.
Client Screening: Declining to represent difficult clients is one of the best ways to avoid a malpractice claim. As part of the client screening process consider whether the potential client will be difficult to work with on appeal. Remember that filing an appeal means the case was lost in whole or part at the trial level. Client relations are often strained from this point forward with accusations of malpractice not infrequent.
Matter Screening: Screen a new matter to assure firm competence in both applicable substantive law and appellate practice prior to accepting the representation. Accepting close or novel cases requires trial advocacy skills and appellate skills of record review, brief writing, and oral argument. In some cases it may be appropriate to represent the client at trial, but refer any appeal to an experienced appellate lawyer.
Conflicts of Interest: Include in the firm’s conflict check system positional conflicts of interest. Periodically check for positional conflicts as a case progresses to appeal.
Letters of Engagement: Cover appeals in letters of engagement so there is no doubt whether there is a duty to represent a client on appeal. Fees for appellate representation should be specifically addressed. Remember that RPC 1.5(c) Fees requires that fees for appeals be covered in writing in contingency fee representations.
Client Communication: It is the client’s decision whether to appeal – be sure the client understands this. Be clear on what the client wants appealed so there is no later accusation that the lawyer omitted appellate issues. The short time limits on post-trial motions and notices of appeal require a prompt decision by the client. Document the file.
Preparation: Procrastination is the appellate lawyer’s greatest enemy. Last minute preparation leads to inadequate review of the record and a hasty and poorly researched brief. A five or six page appellate brief with sparse legal authority in a complex appeal screams procrastination or incompetence and raises the question of malpractice. There is no substitute for doing your homework in appellate practice.
Withdrawal: The most likely reason for an appellate lawyer to withdraw is because the lawyer believes an appeal lacks merit. Other reasons include strained client relations, lack of appellate practice experience, and when the client discharges the lawyer. The withdrawing or discharged lawyer must take action to protect the client’s interest. These steps include giving reasonable notice of withdrawal, allowing time for retention of another lawyer, and promptly returning papers and property to which the client is entitled.18 The short time limits on post-trial motions and notices of appeal mandate that the withdrawing lawyer move expeditiously. The client should be urged to retain another lawyer immediately. Avoid the accusation that delay in making a decision to withdraw and complying with withdrawal duties caused the client to miss appeal deadlines.
RPC 1.3 Diligence, Comment 3.
See Fortune, Underwood, and Imwinkelried, Modern Litigation and Professional Responsibility Handbook § 18.7 Duty to Appeal, p. 607 (1996); Hunt & Magnuson, Ethical Issues on Appeal, 19 Wm. Mitchell L. Rev. 659 (1993); and Mallen & Smith, Legal Malpractice 5th ed. (2000), Vol. 4, § 30.44, The Appellate Attorney, p. 616.
Appointed defense lawyers in criminal cases have a particularly difficult time with frivolous appeals. The U.S. Supreme Court provides guidance on how to proceed in Anders v. California, 386 U.S. 738 (1967) and Smith v. Robbins, 528 U.S. 259 (2000).
See generally, Miner, Professional Responsibility In Appellate Practice: A View From The Bench, 19 Pace L. Rev. 323 (1999).
For further analysis of frivolous appeals see, Fortune, Underwood, and Imwinkelried, Modern Litigation and Professional Responsibility Handbook § 19 Appeals, p. 612 (1996).
ABA Formal Opinion 93-377 Positional Conflicts, October 16, 1993.
Selected Appellate Ethics Issues, Part II The Record And Candor To The Court, ABA 27th National Conference on Professional Responsibility Coursebook, May 31- June 2, 2001, page 485. Panel members: Narda Pierce, Solicitor General, Washington State Attorney General’s Office, Olympia, WA; Kay N. Hunt, Lommen, Nelson, Cole & Stageberg, Minneapolis, MN; Paul R. Q. Wolfson, Assistant to the Solicitor General, U.S. Department of Justice, Washington, D.C.
See Gaetke, Kentucky’s New Rules of Professional Conduct for Lawyers, 78 Ky. L. J. 767, 792 (198990).
See Carpenter, The No-Citation Rule For Unpublished Opinions: Do The Ends of Expediency For Overloaded Appellate Courts Justify The Means of Secrecy, 50 So. Car. L. Rev. 235 (1998).
See, Medina, Ethical Concerns In Civil Appellate Advocacy, 43 Sw. L.J. 677, 694 ((1989).
In re McClellan, Ind., No. 18S00-0008-DI-498, 9/7/01, Current Reports, p. 578, Vol. 17, No. 20, 9/26/01, ABA/BNA Lawyers’ Manual On Professional Conduct.
Mallen & Smith, Legal Malpractice 5th ed. (2000), Vol. 4, § 30.44, The Appellate Attorney, p. 611.
Medina, Ethical Concerns In Civil Appellate Advocacy, 43 Sw. L.J. 677, 685 (1989).
A typical example of a violation of this requirement is when a lawyer fails to advise on a potential third-party claim while representing a client on a workers’ compensation claim.
A good short article on federal deadlines is “Appellate Law Deadlines,” by Mark R. Kravitz, The National Law Journal, p. A14, 1/22/01.
RPC 1.16(d) Declining or Terminating Representation.

References: §122
 §30
 § 18
 § 30
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 § 19
 § 30