Engagement Letter - Legal Services

CONNECTICUT LEGAL-SERVICES ENGAGEMENT LETTER

Date: [__/__/____]

To: [CLIENT FULL LEGAL NAME AND ADDRESS]

From: [LAWYER / FIRM LEGAL NAME AND ADDRESS]

Re: [MATTER NAME / SHORT DESCRIPTION]

Dear [CLIENT NAME]:

This letter records the terms on which [FIRM LEGAL NAME] (“Firm”) will represent [CLIENT LEGAL NAME] (“Client”) in the matter described below. “Client” means only the person or entity identified in Section 1 unless this letter expressly identifies an additional client.

1. Client, Payer, and Decision-Maker

Representation of an organization does not by itself make an owner, officer, director, employee, affiliate, insurer, family member, or other constituent a client. Anyone not listed as a client should obtain separate advice for personal interests.

If someone other than Client will pay any fee or expense, complete Appendix A. Connecticut Rule of Professional Conduct 1.8(f) requires Client's informed consent, no interference with the lawyer's independent professional judgment or the client-lawyer relationship, and protection of information as required by the confidentiality rule.

2. Scope and Objectives

2.1 Included Services

Firm will provide only these services:

1. [________________________________]
2. [________________________________]
3. [________________________________]

Current objective or requested result: [________________________________]

Known deadline or transaction date: [________________________________]

Firm's first agreed deliverable: [________________________________]

2.2 Excluded Services

Unless added through Section 2.4, Firm will not provide advice or representation concerning:

☐ appeal, rehearing, reconsideration, enforcement, collection, or postjudgment work;

☐ tax, benefits, securities, immigration, bankruptcy, insurance-coverage, or criminal issues;

☐ a related transaction, claim, counterclaim, investigation, agency matter, or separate tribunal;

☐ legal issues arising in a jurisdiction where Firm has not agreed to advise;

☐ experts, consultants, local counsel, or other professionals; or

☐ [OTHER EXCLUSION: __________________________________].

Firm does not promise any outcome. Client retains authority over objectives and settlement decisions; Firm retains responsibility for professional judgment and the means of representation as allocated by the governing rules.

2.3 Limited Appearance Screen

☐ Firm will not file a limited appearance.

☐ A limited appearance is contemplated. Do not use this general scope paragraph as the limited-appearance agreement. Connecticut Rule 1.5(b) requires the written agreement to identify the proceeding and court events covered, notify Client about the certificate-of-completion process and its effect, and document scope changes through informed consent confirmed in writing and a new appearance reflecting the change.

2.4 Scope Changes

A scope change requires Client's informed consent confirmed in writing. The writing must identify the added or removed work, responsible lawyer, schedule, fee or expense effect, and any new conflict or tribunal issue. Silence, payment of an invoice, or receipt of unrelated work does not amend the scope.

3. Staffing and Communication

Responsible lawyer: [NAME / CONTACT]

Other anticipated personnel and roles:

Firm may change staffing when reasonably necessary and will notify Client of a material change. Client authorizes Firm to communicate through: ☐ client portal ☐ email ☐ telephone ☐ video meeting ☐ other: [________]. Sensitive instructions, payment-direction changes, and settlement authority will be verified through: [________________________________].

4. Fees

Connecticut Rule 1.5(a) prohibits an unreasonable fee or amount for expenses. Rule 1.5(b) requires the scope, fee basis or rate, and expenses for which Client will be responsible to be communicated in writing before or within a reasonable time after representation begins, subject to the stated regularly-represented-client exception. A higher rate or expense basis must be communicated in writing before charges at the higher rate are incurred.

4.1 Select One Fee Structure

☐ Hourly. Client will pay for time reasonably spent at the rates listed in Section 3 and here: [________________________________]. Time increment: [____]. Minimum charge, if any: [________________________________].

☐ Fixed fee. Client will pay $[________] for the included services. Milestones and treatment if the engagement ends early: [________________________________].

☐ Recurring or phase fee. Client will pay: [AMOUNT / PHASE / PERIOD / INCLUDED WORK: __________________________________].

☐ Other noncontingent structure: [________________________________].

This form does not create a contingent fee. A contingent fee requires a separate writing signed by Client and the disclosures required by Rule 1.5(c), and is prohibited in the matters identified by Rule 1.5(d).

4.2 Rate Changes

No rate or expense basis will increase merely through a website posting or an invoice. Firm will communicate a proposed increase to Client in writing before work or expenses are incurred at the higher rate, as required by Rule 1.5(b). The notice and Client response process is: [________________________________].

5. Advance Fee and Client Funds

5.1 Advance Deposit

☐ No advance deposit is required.

☐ Client will pay an advance deposit of $[________] by [DATE / METHOD]. Unless a separate written agreement validly provides otherwise, Rule 1.15(d) requires advance legal fees and expenses to be deposited in a client trust account and withdrawn only as fees are earned or expenses incurred.

Selected treatment:

☐ Deposit into Firm's client trust account; apply earned fees and incurred expenses after delivery of an itemized invoice.

☐ Other treatment under the separately reviewed written provision attached as Appendix B: [________________________________].

Firm may request replenishment to $[________] when the trust balance falls below $[________]. A replenishment request does not change the scope or accelerate unearned fees.

5.2 Property, Accounting, and Disputes

Firm will keep Client or third-person property separate and safeguarded as Rule 1.15 requires. Firm will promptly notify and account to persons entitled to funds or property under Rule 1.15(e). If competing interests exist, Rule 1.15(f) requires the disputed property to remain separate and safeguarded while undisputed portions are promptly distributed.

6. Expenses and Invoices

Client is responsible for these agreed expenses: [FILING / SERVICE / TRANSCRIPT / EXPERT / TRAVEL / COPYING / DATABASE / OTHER: __________________________________].

Firm will issue itemized invoices [MONTHLY / MILESTONE / OTHER: ________]. Payment is due [____] days after delivery. Approved payment methods: [________________________________].

Late charge or interest: ☐ none ☐ [RATE / START DATE / CALCULATION: __________________________________], subject to separate Connecticut review before use.

Client should identify a disputed entry in writing within [____] days so the parties can address it promptly. This administrative request does not waive a claim, defense, rule, limitation period, or mandatory dispute procedure. The undisputed portion remains due unless the parties agree otherwise.

7. Client Responsibilities

Client agrees to:

• provide complete and accurate information and preserve relevant materials;
• identify deadlines, adverse parties, related entities, insurers, witnesses, and prior counsel known to Client;
• review drafts and requests promptly and communicate decisions through the authorized decision-maker;
• notify Firm of changes in contact information, authority, ownership, insurance, related proceedings, or objectives;
• not direct Firm to conceal, alter, destroy, or misstate information; and
• pay agreed fees and expenses, subject to any good-faith dispute.

Firm will keep Client reasonably informed and consult about the representation as required by the governing rules.

8. Conflicts and Multiple Clients

Firm's conflict review is based on the names and relationships Client has disclosed. Client must promptly provide additional names that could affect the review.

If more than one client is listed, Firm will not begin common representation until the clients receive a matter-specific explanation of material risks and reasonably available alternatives and provide any informed consent required by Rule 1.7(b), confirmed in writing. The consent must address information sharing, decision authority, settlement, fee allocation, and what happens if interests diverge. This engagement letter does not operate as an advance waiver of an unidentified future conflict.

9. Confidentiality and Technology

Firm will protect information relating to the representation as Rule 1.6 requires, including making reasonable efforts to prevent inadvertent or unauthorized disclosure or access. Client authorizes these service providers and communication systems after receiving the stated safeguards and risks: [PORTAL / CLOUD / E-DISCOVERY / VENDOR / AI TOOL / OTHER: __________________________________].

Client should not send passwords, payment instructions, regulated identifiers, or highly sensitive records through an unapproved channel. Firm will verify any change to payment instructions through [CALLBACK / PORTAL / OTHER: __________________________________].

Any informed consent to disclose information must identify the information, recipient, purpose, material risk, and duration. A general authorization to disclose anything Firm considers useful is not included.

10. Ending the Representation

Client may discharge Firm. Firm may or must withdraw only as permitted or required by Rule 1.16 and other applicable law. If tribunal notice or permission is required, Rule 1.16(c) controls; representation continues if the tribunal orders it.

Upon termination, Firm will take reasonably practicable steps to protect Client's interests, including reasonable notice, time to obtain other counsel, surrender of papers and property to which Client is entitled, and refund of any unearned advance fee, subject to Rule 1.16(d) and other law. Firm will confirm termination in writing before or within a reasonable time after it occurs.

End-of-engagement trigger if not ended earlier: [FINAL DELIVERABLE / DISPOSITION / DATE: __________________________________]. The scope does not include monitoring a dormant matter after that trigger unless the parties agree in writing.

File delivery contact and method: [________________________________].

Retention and destruction instruction: [FIRM POLICY / HOLDS / CLIENT COPY / DATE: __________________________________]. This entry must be reviewed against the matter's preservation, tribunal, insurance, and professional obligations.

11. Fee Questions and Disputes

Fee questions should first be directed to [NAME / CONTACT]. The parties may consider an available fee mediation or arbitration program. The commentary to Rule 1.5 states that a lawyer must comply when an established fee-dispute procedure is mandatory and should conscientiously consider it when voluntary.

This letter does not impose binding arbitration, an exclusive forum, a jury waiver, a shortened limitation period, a prevailing-party fee shift, an injunction standard, or a limitation of Firm's malpractice liability. Any later dispute agreement requires separate review and informed assent. Rule 1.8(h) restricts prospective limitations of malpractice liability and settlement of malpractice claims with an unrepresented client or former client.

12. Entire Engagement and Signatures

This letter and its completed appendices contain the engagement terms for this matter. An amendment must be in writing and agreed by Client and Firm, subject to any additional consent or filing the governing rules require. If a provision is unenforceable, the remaining terms continue only to the extent consistent with the professional duties governing the representation.

If these terms are acceptable, please sign and return a complete copy.

Appendix A — Third-Party Payer Terms

Payer: [________________________________]

Fees or expenses covered: [________________________________]

Billing information the Client authorizes Firm to disclose: [________________________________]

No payer control over professional judgment, objectives, settlement, or confidential information: ☐ confirmed

Client's informed consent: Signature: ____________________ Date: [__/__/____]

Payer acknowledgment: Signature: _______________________ Date: [__/__/____]

Appendix B — Special Fee Provision

[ATTACH ONLY AFTER CONNECTICUT REVIEW. IDENTIFY WHETHER AND WHEN EACH AMOUNT IS EARNED, WHERE IT IS HELD, REFUND TREATMENT, BILLING, DISPUTES, AND EFFECT OF EARLY TERMINATION.]

Sources and References

• Connecticut Judicial Branch, Official 2026 Connecticut Practice Book, Rules of Professional Conduct 1.5, 1.6, 1.7, 1.8, 1.15, and 1.16.

Current official rules verified August 2, 2026 from the 2026 Connecticut Practice Book, last modified by the Judicial Branch on February 10, 2026.