Limited Scope Representation Section

Seminar

Limited Scope for Dummies: The Dos and Don’ts of

Limited Scope Representation in Nebraska

Scott V. HahnHightower Reff Law

Friday, October 19, 2018 Embassy Suites Hotel – La Vista Conference Center

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Limited Scope for “Dummies:” The Do’s and Dont’s of Limited Scope 

Representation in Nebraska2018 NSBA Annual Meeting

October 19, 2018

Scott  V.  Hahn,  Assoc iate  Attorney,  H ightower  Reff  Law,  Chair  of   the  L imited 

Scope Sect ion of   the NSBA

Limited Scope Representation (LSR): What is it?

oThe client and lawyer select certain services that the lawyer will provide

oLawyer then works on a discrete task: the process of taking a client’s legal matter and breaking it down into separate tasks

oThe client pays for the specific tasks only, either based on an hourly fee or on a flat fee, typically without a large retainer

oClient remains pro se throughout the process

oWhen the specific task is complete, the lawyer’s work is done

oAlso known as unbundling or discrete task representation

Limited Scope Representation: What it’s NOToLimited liability

oSecond class practice

oUnethical

oJust for poor people

oJust for attorneys who can’t find clients for full representation

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Limited Scope Representation: Why is it necessary?

oIncrease number of pro se filers over recent yearsoReduction in funding for civil legal services resulting in fewer attorneys serving low income individuals

oIncrease in self help books and online information fostering the perception that the legal process is easily navigated; i.e. LegalZoom 

oCost of full service representation is prohibitive for many peopleoAlso, a high number of people with legal problems who are NOT using the court system at all

oConsumer driven demand: clients want it as opposed to trying to navigate the legal waters all alone

Limited Scope Representation: What is it?

World of pro se

LSR clients

Typical areas of law for LSR servicesoFamily law

oCollaborative divorce

oLandlord/Tenant 

oMediation coaching

oTransactional work drafting contracts, deeds, etc.

oAdvising clients in advance of the purchase or sale and closing, but not appear at closing

oCoaching through litigation without entering an appearance

oBankruptcy: representing clients at the initial creditors’ meetings

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Examples of LSRoDocument drafting• Standalone estate documents (Wills, Trusts, etc.)

• Corporate entity formation

• Complaints, Answers, etc.

• Settlement Agreements

oDocument Review•Mediation Agreements

• Divorce Decrees

oIn Court Representation

oObtaining a Protection Order

oConsulting regarding client legal      rights

oSettlement Counsel/Negotiation

oPreparing exhibits

oOrganizing discovery materials

LSR and the NE Rules of Professional Conduct

o3‐501.2(b)‐(e): Scope of representation

o3‐501.1: Competence

o3‐501.3: Diligence

o3‐501.4: Communication with client

o3‐501.5: Fees

o3‐501.6: Confidentiality of information

o3‐501.7 through 10: Conflict of interest

o3‐504.2: Communication with person represented by counsel

o3‐506.1: Voluntary pro bono service

o3‐506.5: Nonprofit

§3‐501.1: CompetenceNeb. Ct. R. of Prof. Cond. § 3‐501.1: A lawyer shall provide competent representation to a client.  Competent representation requires the legal knowledge, skill, thoroughness and judgement reasonably necessary for the representation.

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§ 3‐501.2(b): Scope of RepresentationNeb. Ct. R. of Prof. Cond. § 3‐501.2: Scope of representation and allocation of authority between client and lawyer.

(b) A lawyer may limit the scope of his or her representation of a client if the limitation is reasonable in the lawyer’s judgment under the circumstancesand the client gives informed consent to such limited representation.

§ 3‐501.2(b): Scope of RepresentationoLSR is not for all clients, all lawyers or all legal problems.

oFactors to consider in determining whether LSR is appropriate under the circumstances include:oThe client must have some degree of emotional detachment, basic intelligence level, and some degree of self‐motivation.

oThe matter: the importance of the interests at stake, the complexity of the matter, the amount of discretion a judge or other decision maker will exercise

oThe judge: how helpful is the judge in the process, i.e. level of patience? Will the judge explain the process, i.e. the order the testimony will be taken, how a party can answer a question, etc.

§ 3‐501.2(b): Scope of RepresentationWhenever a lawyer limits the scope of the engagement it is critical to define the scope and memorialize the attorney client relationship.  Because client’s “misremember” things, a written engagement document allows lawyers to better respond to malpractice claims.

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Limited Scope means that I am not representing you in each and every aspect of your case.

Because my representationis limited in nature, there willbe some tasks that you arerequired to do…

§ 3‐501.2(b): Scope of RepresentationLawyers should redefine the scope of the engagement between the lawyer and the client if both parties agree that the original terms of the engagement agreement no longer adequately defines the duties in which the lawyer has been engaged to work on behalf of the client.

It is very important to watch out for the “scope creep”

Constantly memorialize in writing what you are doing for the client if that changes between the start of the LSR and where you are at with a client in a case. 

Don’t worry about more paper, the more the better when it comes to a meeting of the minds of what exactly you are representing the client on. 

It is essential that weboth have the sameunderstanding of ourrespective responsibilitiesin connection with your case.

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§ 3‐501.2(c): Scope of Representation

Neb. Ct. R. of Prof. Cond. § 3‐501.2: Scope of representation and allocation of authority between client and lawyer.

(c) A lawyer may prepare pleadings, briefs, and other documents to be filed with the court so long as such filings clearly indicate thereon that said filings are “Prepared By” and the name, business address, and bar number of the lawyer preparing the same. Such actions by the lawyer shall not be deemed an appearance by the lawyer in the case. Any filing prepared under this rule shall be signed by the litigant designated as "pro se," but shall not be signed by the lawyer preparing the filing.

§ 3‐501.2: Scope of Representation and Rules of Pleading § 6‐1111(b) Signing of PleadingsNeb. Ct. R. Pldg. §6‐1111: Signing of pleadings

(b) When a lawyer is not an attorney of record, such lawyer may prepare pleadings, briefs and other documents to be filed with the court so long as such filings clearly indicate thereon that said filings are “Prepared By” along with the name, business address, and bar number of the lawyer preparing the same, and that preparing such filings shall not be deemed an appearance by the lawyer in the case.

§ 3‐501.2(c): Scope of Representation

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§ 3‐501.2(d): Scope of RepresentationNeb. Ct. R. of Prof. Cond. § 3‐501.2: Scope of representation and allocation of authority between client and lawyer.

(d) If, after consultation, the client consents in writing, a lawyer may enter a “Limited Appearance” on behalf of an otherwise unrepresented party involved in a court proceeding, and such appearance shall clearly define the scope of the lawyer’s limited representation.

UPDATED NOTICE OF LIMITED APPEARANCE

Just approved by the Self‐Represented Litigation Committee of the Bar Association! 

Otherwise known as Nebraska Supreme Court form ASD 3:11. 

Available in your materials.

Will be replacing the current Notice of Limited Appearance form on the Nebraska Supreme Court website located at https://supremecourt.nebraska.gov/forms?field_language_tid=288&page=1.

Exciting! 

§ 3‐501.2: Scope of Representation and Rules of Pleading § 6‐1109(h) Signing of PleadingsNeb. Ct. R. Pldg. §6‐1109: Pleading, special matters

(h) If, after consultation, the client consents in writing, an attorney may enter a “Limited Appearance” on behalf of an otherwise unrepresented party involved in a court proceeding, and such appearance shall clearly define the scope of the lawyer’s limited representation.  A copy shall be provided to the client and opposing counsel or opposing party is unrepresented.

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§ 3‐501.2: Scope of Representation and Rules of Pleading § 6‐1109(i)Neb. Ct. R. of Prof. Cond. § 3‐501.2(e): Scope of representation and allocation of authority between client and lawyer and Neb. Ct. R. Pldg. § 6‐1109(i): Pleading, special matters

Upon completion of “Limited Representation,” the lawyer shall within 10 days file a “Certificate of Completion of Limited Representation” with the court.  Copies shall be provided to the client and opposing counsel or opposing party if unrepresented.  After such filing, the lawyer shall not have any continuing obligation to represent the client. The filing of such certificate shall be deemed to be the lawyer’s withdrawal of appearance which shall not require court approval.

UPDATED CERTIFICATE OF COMPLETION OF LIMITED REPRESENTATION

Also just approved by the Self‐Represented Litigation Committee of the Bar Association! 

Otherwise known as Nebraska Supreme Court form ASD 3:12. 

Available in your materials.

Will be replacing the current Certificate of Completion of Limited Representation form on the Nebraska Supreme Court website located at https://supremecourt.nebraska.gov/forms?field_language_tid=288.

Exciting! 

§ 3‐501.3: DiligenceNeb. Ct. R. of Prof. Cond. § 3‐501.3: A lawyer shall act with diligence and promptness in representing a client.

Comment: A lawyer must act with commitment and dedication to the interests of the client and with zeal in advocacy upon the client’s behalf.

…a lawyer should carry through to conclusion all matters undertaken for a client.  If a lawyer’s employment is limited to a specific matter, the relationship terminates when the matter has been resolved.  Doubt about whether a client‐lawyer relationship still exists should be clarified by the lawyer, preferably in writing, so that the client will not mistakenly suppose the lawyer is looking after the client’s affairs when the lawyer has ceased to do so.

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§ 3‐501.3: DiligenceFile Closing Letter: formally acknowledges that a legal matter has come to an end and is sent for the purpose of memorializing the conclusion of the matter.  Serves to lessen any confusion that a lawyer is continuing any work on behalf of the client.

Non‐engagement Agreement:  Sometimes it is necessary to disclaim in writing that an attorney client relationship has been formed, if a prospective client has reason to believe that they may have received legal advice from an attorney who is not acting as counsel.

I have now completedall of the tasks which weagreed I would do in our agreement. I knowof no other matters onwhich you have requestedmy assistance.

Don’t forget thereis still a hearing on[DATE] at which timeyou will be representingyourself.

The following are issueswhich you have declinedmy assistance:

§ 3‐501.4(a): CommunicationsNeb. Ct. R. of Prof. Cond. § 3‐501.4(a): A lawyer shall

(1) promptly inform the client of any decision or circumstances which require the client’s informed consent;

(2) reasonably consult with the client about the means by which the client’s objectives are to be accomplished;

(3) keep the client reasonably informed about the status of the matter;

(4) promptly comply with reasonable requests for information; and

(5) consult with the client about any relevant limitation on the lawyer’s conduct when the lawyer knows that the client expects assistance not permitted by the Rules of Professional Conduct or other law.

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§ 3‐501.5(b): FeesNeb. Ct. R. of Prof. Cond. § 3‐501.5(b): The scope of the representation and the basis or rate of the fee and expenses for which the client will be responsible shall be communicated to the client, preferably in writing, before or within a reasonable time after commencing the representation…

Attorney will performthe specific legaltasks included…Attorney will notperform the following:

If the client decidesto retain the attorneyfor handling the entirecase, the client andattorney will enter intoa new written agreement

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You understand that you are responsible for filingall documents with the courtand for any follow upnecessary after filing.

You understand thatthe representation ofthe Firm is limited to the scope specificallyset forth above.

§ 3‐501.6: Confidentiality of InformationNeb. Ct. R. of Prof. Cond. § 3‐501.6: The lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is [otherwise permitted in the Rules].

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§ 3‐501.7 through 10: Conflict of InterestNeb. Ct. R. of Prof. Cond. § 3‐501.7: Conflict of interest; current clients.

Neb. Ct. R. of Prof. Cond. § 3‐501.8: Conflict of interest; current clients; specific rules.

Neb. Ct. R. of Prof. Cond. § 3‐501.9: Duties to former clients.

Neb. Ct. R. of Prof. Cond. § 3‐501.10: Imputation of conflicts of interest; general rule.

§ 3‐504.2: Communication with Person Represented by CounselNeb. Ct. R. of Prof. Cond. § 3‐504.2:  In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order.

Comment [4]: This Rule does not prohibit communication with a represented person, or an employee or agent of such a person, concerning matters outside the representation

Comment [10]: In the event an “Entry of Limited Appearance” is filed, opposing counsel may communicate with such lawyer’s client on matters outside the scopeof the limited representation, and by filing such limited appearance, the lawyer and the client shall be deemed to have consented to such communication.

§ 3‐506.1: Voluntary pro bono serviceNeb. Ct. R. of Prof. Cond. § 506.1: A lawyer shall aspire to render pro bono legal services. In fulfilling this responsibility, the lawyer should:

(a) provide a substantial majority of the legal services without fee or expectation of fee to:

(1) persons of limited means or

(2) charitable, religious, civic, community, governmental and educational organizations in matters that are designed primarily to address the needs of persons of limited means…

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§ 3‐506.5: Non profit and court annexed limited legal services programsNeb. Ct. R. of Prof. Cond. § 3‐506.5: A lawyer who, under the auspices of a program sponsored by a nonprofit organization or court, provides short‐term limited legal services to a client without expectation by either the lawyer or the client that the lawyer will provide continuing representation in the matter…

Comment [2] A lawyer who provides short‐term limited legal services pursuant to this Rule must secure the client’s informed consent to the limited scope of the representation. If a short‐term limited representation would not be reasonable under the circumstances, the lawyer may offer advice to the client but must also advise the client of the need for further assistance of counsel.

Why would clients want LSR?oAffordability; clients may be able to afford some limited legal services

oPro se clients often do not understand the legal system and its ruleso Rules of Civil Procedure and Rules of Evidence are overwhelming

o Contract requirements are not always clear

oPro se litigants overwhelmingly lose in court

oSome legal representation is better than none

oClients will take a more involved role, or feel much more a part of the legal process 

Why should attorneys offer LSR?oExpand your client base.  Convert unmet legal needs into practice opportunities (some LSR converts into full scope)

oIncrease the volume of work for your office by specializing in one or more types of discrete tasks

oClients are happier because they are paying less

oConsider the large volume of clients who do not qualify for legal aid but do not have thousands of dollars for a retainer.

oRemember…LSR clients usually are not “full service” clients looking to save money.  Usually they are nobody’s clients looking for affordable legal help.

oIncreases public access to affordable legal services

oMight use it for aspiration of pro bono work

oBeneficial for the bench and efficiency of the judicial system

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Setting up a successful LSR practiceoAdvertise: tell potential clients that you provide the service

oStay within your field of practice/knowledge (competence)

oConflict checks still required

oComplete a thorough initial interviewoIdentify the problemoIdentify the lawyer’s tasksoIdentify the client’s tasks

oSpecify communication issues with opposing counsel

oAnd, of course, make sure that you have the right client for LSR! 

Setting up a successful LSR practiceoDocument everything in writing!  Include everything you are going to do and what you are NOT going to do for the client oEngagement letter (include the specific ethics rules)oFee agreement with informed consentoClosing letter

oDo not advise beyond the agreement or extend your work into those matters (watch out for the “scope creep”)

oAmend the agreement if necessary.

oDo not attend the portion of the hearing that is outside the limited representation

ANY MORE QUESTIONS!?Make sure to check out the updated LIMITED SCOPE REPRESENTATION IN NEBRASKA – FAQ FOR LAWYERS. 

Also just approved by the Self‐Represented Litigation Committee of the Bar Association.

Available in your materials.

Will be replacing the current LIMITED SCOPE REPRESENTATION IN NEBRASKA – FAQ FOR LAWYERS on the Nebraska Supreme Court website located at: https://supremecourt.nebraska.gov/self‐help/limited‐scope‐representation‐nebraska‐faq‐attorneys.  

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THANK YOU!

Limited Scope Representation in Nebraska―FAQ for Lawyers

What is Limited Scope Representation?

Limited scope representation is a potential solution to the increasing number of people who

cannot afford a lawyer and must represent themselves. Although it is best for a client to have

full service representation, limited scope representation permits the lawyer and client to limit the

scope of services the lawyer will provide to accomplish the client’s objectives. The lawyer and

client enter into a detailed written agreement defining the scope of the legal assistance. The

agreement describes the tasks the lawyer will perform and tasks the client will perform. Limited

scope representation is not appropriate for every legal situation or every person.

Why should a lawyer offer limited scope representation instead of full service representation?

Lawyers can build a base of paying clients who can perform some tasks on their own and pay the

lawyer for complex tasks that require the knowledge, skill, and experience of a lawyer. Limited

representation provides a convenient way for the lawyer and client to establish in advance the

costs for legal services. Typically, the client pays the legal fees in advance. Limited scope

representation provides an opportunity for a client who would otherwise go unrepresented to

have adequate legal representation.

Forms

List of forms. Link to more information about limited scope representation.

Forms and web links are provided for informational purposes only. The lawyer is responsible to

ensure that written agreements are appropriate for the limited representation and consistent with

the lawyer’s ethical responsibilities to the client. All agreements concerning a lawyer's

representation of a client must accord with the Rules of Professional Conduct, local court rules

and other law.

What is an example of Limited Scope Representation?

There are many examples of limited scope representation. One example may be giving legal

advice about the legal problem or court procedures. The lawyer may give guidance how to

introduce evidence or cross examine a witness. Other examples may be drafting pleadings, a

settlement agreement, a qualified domestic relations order or child support calculation. A final

example would be filing a limited appearance for part of the client’s case. The allocation of

tasks will be specifically detailed in the engagement letter and fee agreement.

Why isn’t Limited Scope Representation appropriate for every legal situation?

Many legal matters may require full representation to protect the client’s legal interests and to

achieve the client’s objectives. After consulting with the client, the lawyer must determine if

limited representation is reasonable given the circumstances of the case. The lawyer should

consider the capabilities of the client to complete the designated tasks, the type and complexity

of the legal problem, and self-help resources that may be available to the client. The lawyer

should review the Nebraska Rules of Professional Conduct,* specifically, §§3-501.2 and 3-504.2

to determine whether to offer limited scope representation. Some important considerations:

• An agreement for limited representation does not exempt a lawyer from the duty to

provide competent representation. The lawyer must determine whether the limitations

are reasonable under the circumstances.

• When considering whether limited representation is reasonable, the lawyer must consider

the legal knowledge, skill, thoroughness and preparation reasonably necessary for the

representation.

• The client must give informed consent to the lawyer’s limited representation. Informed

consent must be given after the lawyer has communicated adequate information to the

client. This includes informing the client of the material risks of the limited

representation and reasonably available alternatives to the proposed course of conduct.

What does the lawyer file with the court in a limited representation case?

The lawyer files a “Notice of Limited Appearance” in the proceeding. The Notice must clearly

define the scope of the lawyer’s limited representation.

Notice of Limited Appearance ASD 3:11

When the limited representation is completed, the lawyer files a “Certificate of Completion of

Limited Representation” with the court within 10 days of completion. The lawyer must serve a

copy of the Certificate to the client and to opposing counsel or the opposing party, if

unrepresented. The lawyer’s representation ends when the Certificate is filed. The filing is

considered the lawyer’s withdrawal of appearance, which does not require court approval.

Certificate of Completion of Limited Representation ASD 3:12

Can opposing counsel communicate with a client in a limited scope representation engagement?

Yes, but only on matters outside the scope of the limited representation. By filing the Notice of

Limited Appearance, the lawyer and client consent to such communication. The lawyer should

inform the client about communications from opposing counsel that are permitted in a limited

appearance proceeding.

Can a lawyer prepare court documents without entering a limited appearance?

Yes. Rule 3-501.2(c) prohibits “ghost writing.” ** A lawyer may prepare pleadings, briefs, and

other documents to be filed with the court without entering a limited appearance in the case.

• All filings clearly indicate the filings are “Prepared by” and include the name, business

address and bar number of the lawyer preparing the filings.

• The lawyer must not sign the filing.

• The litigant must sign the filing and be designated “pro se.”

References:

* Neb. Ct. R. of Prof. Cond. §§3-501.0 to 3-508.5.

** Dennis Carlson, Amendments to Rules Facilitate Unbundling of Legal Services, The Nebraska

Lawyer (Nov-Dec 2008) pp. 35-36.

Nebraska State Court Form

ASD 3:11 Rev. 10/18

Neb. Ct. R. § 3-501.2(d)

NOTICE OF LIMITED APPEARANCE

Page 1 of 1

Notice of Limited Appearance ASD 3:11 Rev. 10/18

IN THE COURT OF __________________ COUNTY, NEBRASKA

______________________________________, Plaintiff,

vs.

__________________________________, Defendant,

Case No. ____________________

NOTICE OF LIMITED APPEARANCE

I, ____________________________________, attorney, enter a limited appearance on

behalf of __________________________________, who has given informed written consent to

such limited representation. This representation is limited to:

______________________________________________________________________________

______________________________________________________________________________

Upon completion of this limited representation, I will file a Certificate of Completion of

Limited Representation within 10 days.

I provided a copy of this notice to the client, opposing counsel if represented, or

opposing party if unrepresented.

Date Signature of Attorney

Name of Attorney (printed) Street Address/P.O. Box

Bar number and firm name City/State/ZIP Code

Phone E-mail Address

I consent to the limited representation described in this notice.

Date

Signature of Plaintiff / Defendant

Nebraska State Court Form

ASD 3:12 Rev. 10/18

Neb. Ct. R. § 3-501.2(e)

CERTIFICATE OF COMPLETION OF LIMITED

REPRESENTATION

Page 1 of 1

Certificate of Completion of Limited Representation ASD 3:12 Rev. 10/18

IN THE COURT OF __________________ COUNTY, NEBRASKA

______________________________________, Plaintiff,

vs.

__________________________________, Defendant,

Case No. ____________________

CERTIFICATE OF COMPLETION OF LIMITED REPRESENTATION

I, ____________________________________, attorney for

________________________________, certify to the court that I have completed the limited

representation described in the the Notice of Limited Appearance filed on

__________________________ .

I provided a copy of this certificate to the client, opposing counsel if represented, or

opposing party if unrepresented.

Date

Signature of Attorney

Name of Attorney (printed) Street Address/P.O. Box

Bar number and firm name City/State/ZIP Code

Phone E-mail Address

Date

Signature of Plaintiff / Defendant