APPEAL ONLY RETAINER AGREEMENT

(Limited Scope Appellate Representation)

ATTORNEY INFORMATION:

Attorney Name: [________________________________]

Firm Name: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

Telephone: [________________________________]

Email: [________________________________]

State Bar Number: [________________________________]

Appellate Court Admissions: [________________________________]

CLIENT INFORMATION:

Client Name: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

Telephone: [________________________________]

Email: [________________________________]

1. PURPOSE OF THIS AGREEMENT

This Appeal Only Retainer Agreement ("Agreement") is entered into as of [__/__/____] between the Attorney and Client named above.

PURPOSE: The Client wishes to retain the Attorney to handle the appeal of a lower court decision. This engagement is LIMITED to the appellate proceedings ONLY and does NOT include trial court representation, post-appeal proceedings, or any matters beyond the scope of this appeal.

2. CASE AND APPEAL INFORMATION

A. Lower Court Case Information

Case Caption: [________________________________]

Trial Court: [________________________________]

Trial Court Case Number: [________________________________]

Trial Judge: [________________________________]

Date of Judgment/Order Being Appealed: [__/__/____]

Nature of Case:

☐ Civil ☐ Criminal ☐ Family Law ☐ Administrative

☐ Other: [________________________________]

Client's Role Below: ☐ Plaintiff ☐ Defendant ☐ Petitioner ☐ Respondent

☐ Appellant ☐ Cross-Appellant ☐ Other: [________________________________]

B. Appellate Court Information

Appellate Court: [________________________________]

Appellate Case Number (if assigned): [________________________________]

Client's Role on Appeal: ☐ Appellant ☐ Appellee ☐ Cross-Appellant ☐ Cross-Appellee

Opposing Party: [________________________________]

Opposing Appellate Counsel (if known): [________________________________]

C. Type of Appeal

☐ Appeal as of right

☐ Discretionary appeal / Petition for review

☐ Interlocutory appeal

☐ Appeal from administrative agency

☐ Habeas corpus appeal

☐ Other: [________________________________]

3. CRITICAL APPELLATE DEADLINES

IMPORTANT: Appellate deadlines are strict and jurisdictional. Missing a deadline can result in dismissal of the appeal.

A. Notice of Appeal Deadline

Deadline to file Notice of Appeal: [__/__/____]

Has Notice of Appeal been filed? ☐ Yes - Filed on [__/__/____] ☐ No

☐ Client is responsible for filing Notice of Appeal

☐ Attorney will file Notice of Appeal (if within deadline and fee paid)

B. Key Appellate Deadlines

C. Deadline Acknowledgment

By signing this Agreement, Client acknowledges:

☐ I understand appellate deadlines are strict

☐ I understand missing deadlines can result in dismissal

☐ I will promptly respond to Attorney's requests for information

☐ I will promptly pay for transcript and record costs

4. SCOPE OF APPELLATE REPRESENTATION

A. Services Included

Pre-Briefing Services:

☐ Review of trial court record

☐ Review of trial court orders and judgment

☐ Analysis of potential appellate issues

☐ Identification of appealable issues

☐ Preparation and filing of Notice of Appeal (if not yet filed)

☐ Filing of docketing statement/civil case information statement

☐ Designation of record on appeal

☐ Ordering of trial transcripts

☐ Review of transcripts upon receipt

☐ Consultation with Client regarding issues and strategy

☐ Other: [________________________________]

Briefing Services:

☐ Appellant's Opening Brief
- Legal research
- Statement of the case and facts
- Statement of issues presented
- Legal argument
- Conclusion and relief requested

☐ Appellee's Response Brief (if Client is appellee)
- Response to appellant's arguments
- Alternative grounds for affirmance (if applicable)

☐ Reply Brief (if applicable and appropriate)

☐ Preparation of required appendix/excerpts of record

☐ Preparation of table of contents and authorities

☐ Compliance with court formatting rules

☐ Filing and service of all briefs

☐ Other: [________________________________]

Post-Briefing Services:

☐ Review of opposing brief(s)

☐ Preparation for oral argument (if scheduled)

☐ Oral argument presentation

☐ Response to court's questions during argument

☐ Review of appellate court's decision

☐ Explanation of decision to Client

☐ Other: [________________________________]

B. Level of Appeal Covered

This Agreement covers:

☐ First-level appeal only (e.g., Court of Appeals)

☐ Discretionary review petition to higher court (e.g., Supreme Court)
- Note: If petition is granted, additional agreement may be needed

☐ Both levels - includes petition for review to [Court Name]

5. SERVICES EXPRESSLY EXCLUDED

IMPORTANT: The Attorney will NOT provide the following services:

Trial Court Services

☐ Any trial court proceedings

☐ Post-judgment motions in trial court (motion for new trial, etc.)

☐ Stay of judgment pending appeal

☐ Supersedeas bond procurement

☐ Trial court record correction motions

Post-Appeal Services

☐ Petition for rehearing (unless specifically included)

☐ Petition for review to higher court (unless specifically included)

☐ Further appeals beyond scope identified above

☐ Remand proceedings in trial court

☐ Enforcement or collection of judgment

☐ Modification of judgment

Other Excluded Services

☐ Related litigation in other courts

☐ Collateral proceedings

☐ Habeas corpus (unless that is the appeal)

☐ Bankruptcy proceedings

☐ [________________________________]

6. APPELLATE ISSUES TO BE RAISED

A. Identified Issues

Based on preliminary review, the following issues may be raised on appeal:

1. [________________________________]

2. [________________________________]

3. [________________________________]

4. [________________________________]

B. Issue Selection

☐ Final issue selection will be made after complete record review

☐ Attorney has discretion to select strongest issues for appeal

☐ Client understands that raising weak issues can undermine strong issues

☐ Not all possible issues may be raised; strategy requires selectivity

C. Standard of Review

The Client understands that appellate courts apply different standards of review:

☐ De novo review - for legal questions (most favorable)

☐ Abuse of discretion - for discretionary rulings

☐ Clearly erroneous/Substantial evidence - for factual findings (difficult to overturn)

☐ Attorney will explain applicable standard(s) for Client's issues

7. CLIENT'S RESPONSIBILITIES

A. Information and Documents

☐ Provide all trial court documents promptly

☐ Provide trial transcripts if already obtained

☐ Provide any documents Attorney requests

☐ Inform Attorney of all relevant facts

☐ Disclose any issues that may affect appeal

B. Communication

☐ Maintain current contact information with Attorney

☐ Respond to Attorney communications within [____] business days

☐ Review draft briefs when requested

☐ Approve final briefs before filing (if requested)

C. Financial

☐ Pay fees and costs as agreed

☐ Pay transcript costs promptly when invoiced

☐ Pay appellate filing fees as required

☐ Understand that unpaid costs may delay appeal

D. Decisions

☐ Make final decisions about pursuing appeal

☐ Decide whether to accept any settlement offers

☐ Decide whether to seek further review if appeal is unsuccessful

8. APPELLATE RECORD AND TRANSCRIPTS

A. Record on Appeal

The appellate record typically includes:

☐ Trial court pleadings

☐ Motions and responses

☐ Orders and judgments

☐ Exhibits admitted at trial

☐ Trial transcripts

☐ Other documents designated by parties

B. Transcript Costs

Transcripts are typically required and are expensive.

Estimated transcript cost: $[____] to $[____]

☐ Client is responsible for transcript costs

☐ Transcript costs are advanced by Attorney and billed to Client

☐ Transcripts must be ordered by: [__/__/____]

☐ Transcripts must be paid for before court reporter will complete them

C. Record Preparation

☐ Attorney will designate record contents

☐ Client will pay record preparation costs

☐ Estimated record costs: $[____]

9. ORAL ARGUMENT

A. Availability

☐ Oral argument is typically granted in this court

☐ Oral argument is discretionary; court may decide on briefs only

☐ Attorney will request oral argument if appropriate

B. If Oral Argument is Scheduled

☐ Attorney will attend and argue

☐ Client may attend to observe (not participate)

☐ Preparation for oral argument included in fee

☐ Additional fee for oral argument: $[____]

C. Location

☐ Argument will be at: [________________________________]

☐ Argument may be by video conference

☐ Travel expenses for argument: ☐ Included ☐ Additional cost

10. POSSIBLE OUTCOMES

A. Potential Results

The Client understands the appeal may result in:

☐ Affirmance - Lower court decision upheld

☐ Reversal - Lower court decision overturned

☐ Reversal and Remand - Sent back to trial court for further proceedings

☐ Modification - Partial change to lower court decision

☐ Dismissal - Appeal dismissed for procedural reasons

B. No Guarantee

The Attorney makes NO guarantee of:

☐ Success on appeal

☐ Reversal of the lower court decision

☐ Any particular outcome

☐ Recovery of fees or costs

C. If Appeal is Unsuccessful

If the appeal is unsuccessful:

☐ Client is responsible for deciding whether to seek further review

☐ Further review (e.g., Supreme Court) requires separate agreement

☐ Attorney has NO obligation to pursue further review

☐ Deadlines for further review are strict

11. FEES AND PAYMENT

A. Fee Structure (check one)

☐ Flat Fee for Appeal

☐ Hourly Rate

Rate: $[____] per hour

Estimated hours: [____] to [____]

Estimated fee range: $[____] to $[____]

☐ Hybrid Fee

Flat fee for briefing: $[____]

Hourly rate for additional work: $[____] per hour

☐ Contingency Fee (if permitted by jurisdiction)

Percentage: [____]% of [describe recovery]

Plus costs and expenses

B. Payment Schedule

☐ Full payment due upon signing

☐ Payment in installments:
- $[____] upon signing
- $[____] when opening brief filed
- $[____] when [________________________________]

☐ Monthly billing with payment due within [____] days

C. Retainer

☐ No retainer required

☐ Retainer: $[____] due upon signing

☐ Retainer replenishment required if balance falls below $[____]

D. Costs and Expenses

Client is responsible for the following costs (in addition to fees):

E. Cost Advances

☐ Client pays costs directly

☐ Attorney advances costs; Client reimburses monthly

☐ Costs deducted from retainer

12. APPELLATE COURT ADMISSIONS

A. Attorney's Qualifications

☐ Attorney is admitted to practice before [Appellate Court Name]

☐ Attorney will seek admission pro hac vice (additional fee may apply)

☐ Attorney will associate local appellate counsel if required

B. Appellate Experience

Attorney has handled approximately [____] appeals in the past [____] years.

13. TERMINATION

A. Completion

This engagement terminates upon:

☐ Final decision by the appellate court (and exhaustion of included services)

☐ Dismissal of appeal

☐ Settlement of underlying case

☐ [__/__/____] (specific end date, if applicable)

B. Termination by Client

Client may terminate at any time by written notice.

☐ Client pays all fees for work completed

☐ Client pays all costs incurred

☐ Attorney will seek to withdraw from appeal

☐ Court permission required to withdraw after appearance

C. Termination by Attorney

Attorney may withdraw if:

☐ Client fails to pay fees or costs as agreed

☐ Client fails to cooperate or provide necessary information

☐ Client insists on pursuing frivolous issues

☐ Continued representation would violate ethical rules

☐ Attorney must seek court permission to withdraw

D. Effect of Termination

If engagement terminates before appeal concludes:

☐ Client must find replacement counsel or proceed pro se

☐ Appellate deadlines continue to run

☐ Attorney will provide reasonable transition assistance

☐ Attorney will return client file

14. COMMUNICATION AND UPDATES

A. Case Updates

Attorney will provide updates:

☐ Upon filing of each brief

☐ Upon receipt of opposing briefs

☐ Upon scheduling of oral argument

☐ Upon issuance of appellate decision

☐ Other: [________________________________]

B. Contact Information

Client's preferred contact: ☐ Phone ☐ Email ☐ Mail

Phone: [________________________________]

Email: [________________________________]

Client must notify Attorney immediately of any address or contact changes.

15. CLIENT ACKNOWLEDGMENTS

By signing this Agreement, the Client acknowledges and understands:

Scope

☐ This representation is LIMITED to the appeal ONLY

☐ Trial court proceedings are NOT included

☐ Post-appeal proceedings are NOT included (unless specified)

☐ Further appeals require a new agreement

Deadlines

☐ Appellate deadlines are strict and jurisdictional

☐ Missing deadlines can result in dismissal

☐ I must cooperate promptly with Attorney's requests

Outcome

☐ There is no guarantee of success on appeal

☐ Most appeals do not result in reversal

☐ Appellate courts defer to trial court findings

☐ I have been advised of the risks of appeal

Costs

☐ Appeals are expensive due to transcripts and record costs

☐ I am responsible for all costs in addition to attorney fees

☐ Costs must be paid promptly to avoid delays

16. SIGNATURES

CLIENT:

Signature: [________________________________]

Printed Name: [________________________________]

Date: [__/__/____]

ATTORNEY:

Signature: [________________________________]

Printed Name: [________________________________]

Date: [__/__/____]

ATTACHMENT A: APPELLATE CHECKLIST

Documents Needed from Client

☐ Judgment or order being appealed

☐ Notice of Entry of Judgment

☐ All pleadings from trial court

☐ All motions and oppositions

☐ All court orders

☐ Trial transcripts (if available)

☐ Exhibits admitted at trial

☐ Exhibit list

☐ Any post-trial motions and orders

☐ Docket sheet from trial court

☐ Prior appellate filings (if any)

☐ Other: [________________________________]

Key Dates

ATTACHMENT B: APPELLATE TIMELINE

(Typical - Varies by Jurisdiction)

Note: Actual deadlines are set by court rules and orders. This is general guidance only.

STATE-SPECIFIC NOTES

California

• California Rules of Court, Title 8 governs appeals
• Notice of Appeal generally due within 60 days of notice of entry
• Automatic extension if certain post-trial motions filed
• Written fee agreements required for matters over $1,000

Texas

• Texas Rules of Appellate Procedure govern appeals
• Notice of Appeal generally due within 30 days
• Motion for new trial extends deadline
• Extensions available but must be requested timely

New York

• CPLR Article 55 governs civil appeals
• Notice of Appeal due within 30 days of service of judgment with notice of entry
• Written engagement required under 22 NYCRR Part 1215

Florida

• Florida Rules of Appellate Procedure govern appeals
• Notice of Appeal due within 30 days of rendition
• Strict deadline compliance required

Federal Courts

• Federal Rules of Appellate Procedure govern
• Notice of Appeal due within 30 days (60 days if U.S. is party)
• Circuit-specific rules also apply

SOURCES AND REFERENCES

• ABA Model Rule 1.2 - Scope of Representation
• Federal Rules of Appellate Procedure
• Hinshaw - Wisconsin Appellate Court Enforces Limited Scope Retainer
• California Courts - Rule 5.425 Limited Scope Representation
• ABA Family Advocate - Retainer Agreements