Engagement Letter - Legal Services

Texas Legal-Services Engagement Planning Worksheet — Not an Agreement

NO REPRESENTATION IS CREATED BY THIS WORKSHEET. Do not ask the prospective client to sign it as an engagement letter. Do not begin work, accept funds, communicate acceptance, or rely on this worksheet to satisfy any professional, court, fee, conflict, trust-account, insurance, arbitration, withdrawal, or disclosure requirement.

1. Intake Status

Firm: [________________________________]

Responsible lawyer: [________________________________]

Intake opened: [__/__/____]

Prospective client: [________________________________]

Matter name or intake number: [________________________________]

Current status:

☐ Initial inquiry only

☐ Information requested; no decision made

☐ Conflicts review pending

☐ Terms under review

☐ Actual engagement documents being prepared

☐ Engagement declined or not completed

No-representation warning delivered on: [__/__/____]

Method and person delivering warning: [________________________________]

2. Prospective Client Identity and Authority

Who would be the client? [________________________________]

Who would not be the client despite participating or paying?

[____________________________________________________________]

Capacity, guardianship, fiduciary, organizational, insurer, or third-party issues:

[____________________________________________________________]

3. Conflicts and Relationship Review

Names supplied for conflicts review:

[____________________________________________________________]

Adverse parties, witnesses, affiliates, owners, insurers, payors, and related matters:

[____________________________________________________________]

Search completed by: [________________________________]

Search date: [__/__/____]

Result: ☐ Clear for further review ☐ Potential issue ☐ Cannot accept ☐ More information needed

Issue requiring lawyer analysis or a separate document:

[____________________________________________________________]

☐ No consent or waiver language will be inserted without lawyer approval.

☐ The identity of each client and nonclient will be stated in the actual engagement document.

4. Proposed Matter Scope

Client's stated objective:

[____________________________________________________________]

Work the firm is considering:

[____________________________________________________________]

Known deadlines or events:

Possible included tasks:

☐ Investigation or factual review

☐ Advice or counseling

☐ Negotiation

☐ Drafting or document review

☐ Administrative proceeding

☐ Trial-court litigation

☐ Appeal or postjudgment work

☐ Transaction closing or filing

☐ Other: [________________________________]

Possible exclusions or separate engagements:

☐ Tax advice

☐ Business, valuation, accounting, or investment advice

☐ Law outside Texas

☐ Appeals or collateral proceedings

☐ Collection or enforcement after judgment or closing

☐ Regulatory, licensing, immigration, bankruptcy, benefits, or criminal matters

☐ Other: [________________________________]

Scope questions requiring lawyer decision:

[____________________________________________________________]

5. Staffing and Communications Plan

Lead lawyer: [________________________________]

Other lawyers or staff: [________________________________]

Client's authorized contacts: [________________________________]

Preferred communication methods: [________________________________]

Sensitive or prohibited channels: [________________________________]

Expected response cadence: [________________________________]

Decision-maker for urgent instructions: [________________________________]

Interpreter, disability, language, technology, or accessibility needs:

[____________________________________________________________]

6. Proposed Fee and Expense Structure

This section records business terms for lawyer review. It does not authorize a fee, charge, withdrawal, transfer, interest assessment, or use of funds.

Proposed structure:

☐ Hourly

☐ Fixed or flat amount

☐ Contingent or success-based

☐ Subscription or recurring service

☐ Limited-scope arrangement

☐ Hybrid or other: [________________________________]

Rates or amount under discussion:

[____________________________________________________________]

Billing increment or measurement: [________________________________]

Invoice frequency: [________________________________]

Expense responsibility under discussion:

[____________________________________________________________]

Advance payment or deposit under discussion: $[________________]

Proposed replenishment approach: [________________________________]

Third-party payor: ☐ None ☐ Proposed: [________________________________]

Questions about ownership, custody, earning, refund, or application of funds:

[____________________________________________________________]

Late-payment or collection term proposed: [________________________________]

Term approved by reviewing lawyer: ☐ Yes ☐ No ☐ Not yet reviewed

7. Client and Firm Responsibilities to Define

Information and records the client would provide:

[____________________________________________________________]

Decisions or approvals expected from the client:

[____________________________________________________________]

Preservation, confidentiality, or communication precautions:

[____________________________________________________________]

Firm deliverables and expected timing:

[____________________________________________________________]

What would mark completion of the engagement:

[____________________________________________________________]

Post-completion work requiring a new agreement:

[____________________________________________________________]

8. Risk and Separate-Consent Screen

Do not add any checked term to an engagement document without current Texas-specific professional review and any separate process the reviewing lawyer determines is required.

☐ Fee division or co-counsel arrangement

☐ Third-party payment or direction

☐ Multiple clients or joint representation

☐ Advance conflict consent

☐ Business transaction with the client

☐ Security interest, lien, or other payment protection

☐ Arbitration or another dispute-resolution provision

☐ Jury-related provision

☐ Limitation of malpractice liability or remedy

☐ Indemnity or release benefiting the firm

☐ Media, testimonial, publicity, or name-use permission

☐ Outsourcing, contract personnel, vendors, or cross-border data handling

☐ File destruction, retention, or return term

☐ Other: [________________________________]

Lawyer's analysis and required separate documents:

[____________________________________________________________]

9. Withdrawal, Completion, and File Planning

Events that should trigger reassessment of continued representation:

[____________________________________________________________]

Court, agency, transaction, or third-party approval that may be needed to end work:

[____________________________________________________________]

Unearned funds, property, original documents, and file-transfer process to address:

[____________________________________________________________]

Final invoice and closing communication plan:

[____________________________________________________________]

Record-retention or destruction terms approved from current firm policy and law:

[____________________________________________________________]

10. Actual Engagement Document Checklist

Before acceptance, the responsible Texas lawyer should determine what the actual documents must contain for this client, matter, and fee structure.

☐ Client and nonclient identities are precise.

☐ Scope, exclusions, objectives, and completion point are clear.

☐ Fees, expenses, billing, advance funds, and refund treatment are clear.

☐ Staffing, communications, and client responsibilities are clear.

☐ Conflicts and third-party involvement are resolved and documented as required.

☐ Required insurance, fee, trust-account, arbitration, contingent-fee, limited-scope, or other disclosures were checked against current authority.

☐ Any separate consent, acknowledgment, or independent-counsel process is complete.

☐ Court or agency rules affecting appearance, withdrawal, or limited scope were checked for the actual matter.

☐ The responsible lawyer approved the final document and acceptance procedure.

11. Handoff Record — No Client Acceptance

Actual engagement document prepared: [________________________________]

Prepared by: [________________________________]

Reviewed and approved by responsible lawyer: [________________________________]

Approval date: [__/__/____]

Separate disclosures or consents prepared:

[____________________________________________________________]

Method the firm will use to communicate acceptance, if acceptance occurs:

[____________________________________________________________]

Worksheet closed by: [________________________________]

Date: [__/__/____]

Final reminder: This worksheet has no signature or acceptance block because it is not the engagement. Representation begins only through the firm's lawyer-approved process and actual documents.