Engagement Letter - Legal Services

ARIZONA LEGAL-SERVICES ENGAGEMENT LETTER

Date: [__/__/____]

Lawyer/Firm: [________________________________]

Client: [________________________________]

Matter: [________________________________]

This letter records the scope of the representation and the basis or rate of the fees and expenses. Complete every selection before signing. Do not use this general form as a contingent-fee agreement.

1. Client and scope

The Firm represents only the following client or clients:

[________________________________]

The representation is limited to:

[________________________________]

Unless added in a writing accepted by the Firm, the engagement excludes:

• appeals, retrials, enforcement, collection, or post-judgment work;
• tax, accounting, business-valuation, immigration, benefits, or investment advice;
• representation of an affiliate, owner, employee, family member, insurer, or other third person; and
• any other matter not expressly listed above.

The Client may make the objectives of the representation clear, and the Firm will consult with the Client about the means used to pursue them, subject to ER 1.2 and applicable law. No result is promised.

2. Firm personnel and communication

Responsible lawyer: [________________________________]

Other lawyers and supervised staff may assist. The Client authorizes routine communications by:

☐ Secure portal

☐ Email at [________________________________]

☐ Telephone/text at [________________________________]

☐ U.S. mail at [________________________________]

The Client will promptly provide complete and accurate information, preserve relevant material, appear when required, advise the Firm of contact changes, and respond to reasonable requests. The Firm will keep the Client reasonably informed and explain matters sufficiently for informed decisions under ER 1.4.

3. Fees

Select one primary arrangement:

☐ Hourly. Lawyer rates: $[________]/hour. Staff rates: $[________]/hour. Time is billed in increments of [________].

☐ Flat fee. $[________] for the scope stated in Section 1. Any phrase such as “earned upon receipt” or “nonrefundable” must be separately reviewed and explained in writing; ending the representation may still require a refund of all or part of the fee.

☐ Other permitted arrangement: [________________________________]

The total fee must remain reasonable under ER 1.5. Rate or basis changes will be communicated in writing. A contingent fee requires a separate writing satisfying ER 1.5(c). A division of fees between lawyers or firms requires the current disclosures and signed client consent required by ER 1.5(e).

4. Advance fees, costs, and trust account

Advance fee or cost deposit: $[________]

☐ No advance deposit is required.

☐ The advance will be placed in a client trust account and withdrawn only as permitted by ER 1.15 and Rule 43.

☐ Another treatment is proposed and is fully described here: [________________________________]

The Firm will provide periodic invoices or accountings showing work performed, fees, expenses, trust activity, and any amount due. The Client should raise billing questions promptly. The Firm will refund any unearned fee or unused expense advance when required.

5. Expenses

The Client is responsible for the following authorized expenses:

☐ Filing and service fees

☐ Court reporters and transcripts

☐ Experts, investigators, consultants, or vendors approved by the Client

☐ Travel, copying, delivery, research, or other expenses described here: [________________________________]

Advance approval threshold: $[________]

The Client remains responsible for any opponent-fee, sanction, bond, or cost exposure imposed by contract, statute, rule, or court order. The Firm has made no promise about whether such exposure will arise.

6. Conflicts and multiple clients

The Firm's current conflict check is based on these names and relationships:

[________________________________]

☐ No consentable conflict has been identified as of the date of this letter.

☐ A separate written disclosure describes a potential or actual conflict and the material risks and alternatives. Any consent is limited to that disclosure and must satisfy ER 1.7, ER 1.8, or ER 1.9 as applicable.

If the Firm jointly represents more than one client, a separate joint-representation disclosure should address confidentiality among joint clients, decision authority, possible adversity, and the effect of withdrawal.

7. Confidentiality and third-party payments

The Firm will protect information relating to the representation under ER 1.6. The Client authorizes disclosures impliedly necessary to carry out the representation and any additional disclosure selected below:

☐ Billing may be sent to this third-party payer: [________________________________]

☐ Information may be shared with this insurer, consultant, or other person, subject to the stated limits: [________________________________]

Third-party payment or fee financing must not interfere with the Firm's independent judgment or the lawyer-client relationship. Any disclosure of client information requires the authority and safeguards applicable under the Rules of Professional Conduct.

8. Ending the representation

The Client may discharge the Firm. The Firm may withdraw only as permitted or required by ER 1.16 and any applicable tribunal rule or order. Nonpayment or failure to cooperate does not automatically end a court appearance; the Firm may remain counsel until withdrawal is effective.

On termination, the Firm will take reasonably practicable steps to protect the Client's interests, including reasonable notice, time to obtain other counsel, surrendering papers and property to which the Client is entitled, and refunding any unearned advance payment as required by ER 1.16(d). The parties will confirm responsibility for pending deadlines and transfer instructions in writing.

Client-file delivery preference:

☐ Secure electronic copy

☐ Paper copy

☐ Delivery to successor counsel authorized by Client

No fixed destruction date is created by this agreement. The Firm will provide its current file-retention policy separately and will not use that policy to defeat duties concerning client papers, property, confidentiality, preservation, or notice.

9. Fee questions and disputes

The Client should first direct billing questions to [________________________________]. The State Bar of Arizona describes a no-cost Fee Arbitration Program for qualifying fee disputes of $1,000 or more. Participation generally requires agreement by the parties; if this engagement expressly includes State Bar fee arbitration, the Firm must participate under the Bar's current program materials.

☐ The Firm agrees to participate in the State Bar of Arizona Fee Arbitration Program for an eligible fee dispute.

☐ No advance agreement to fee arbitration is made; the parties may agree later.

This section addresses fee disputes only. It is not an agreement to arbitrate malpractice or other claims, a jury waiver, a forum-selection clause, or a limitation of liability. Any agreement prospectively limiting malpractice liability or settling a malpractice claim must independently comply with ER 1.8(h) and should not be inserted into this engagement form without matter-specific review.

10. Entire engagement and changes

This letter and its identified attachments state the engagement. Changes to scope, fees, clients, or material conflict disclosures must be recorded in a writing accepted by the Client and Firm. If a provision cannot be enforced, the remainder remains effective only to the extent consistent with the Rules of Professional Conduct and applicable law.

11. Client acknowledgment

By signing, the Client confirms that the Client has reviewed the scope, exclusions, fee basis, expenses, trust treatment, communication method, conflict disclosures, and termination terms; has had an opportunity to ask questions; and has received a copy.

LAWYER/FIRM

Signature: _______________________________

Name and Bar No.: [________________________________]

Date: [__/__/____]

CLIENT

Signature: _______________________________

Name/Title: [________________________________]

Date: [__/__/____]

Sources and references

• Arizona Supreme Court, Rule 42, Arizona Rules of Professional Conduct: ER 1.2, 1.4, 1.5, 1.7-1.9, 1.15, and 1.16.
• Arizona Supreme Court, Rule 43, Trust Accounts.
• Arizona Supreme Court Attorney Ethics Advisory Committee, Ethics Opinion EO-20-0003 (fee financing, disclosure, confidentiality, and conflicts).
• Arizona Supreme Court / State Bar Ethics Opinion 09-02 materials (termination, withdrawal, confidentiality, reasonable fees, and return of the client file).
• State Bar of Arizona, Fee Arbitration Program current consumer page and forms.