Engagement Letter (Lite Scope) - Alabama

ALABAMA ENGAGEMENT LETTER — LITE SCOPE

This form is limited to an hourly or fixed-fee engagement. Do not use it for a contingent fee, fee division, court-appointed representation, property paid as a fee, mandatory arbitration, prospective malpractice limitation, or another specialized arrangement without a separately verified addendum.

Date: [__/__/____]

Firm: [________________________________]

Responsible Alabama lawyer: [________________________________]

Alabama State Bar No.: [________________________________]

Client: [________________________________]

Client address / email / phone: [________________________________]

Matter: [________________________________]

1. Client and Scope

The firm represents only the following client:

[EXACT PERSON OR ENTITY NAME AND CAPACITY]

The firm will provide only these services:

[DESCRIBE TASKS, DELIVERABLES, COURT OR AGENCY, CLAIM OR TRANSACTION, AND END POINT]

The firm will not provide these services unless added by a later signed writing:

[LIST APPEAL, COLLECTION, TAX, BANKRUPTCY, COLLATERAL MATTER, POST-JUDGMENT WORK, OR OTHER EXCLUSIONS]

Start event: [signature / payment / conflict clearance / other: ________________________________]

End event: [completed deliverable / final order / stated date / other: ________________________________]

Limited-Scope Review

Rule 1.2(c) permits a scope limitation only when it is reasonable under the circumstances and the client gives informed consent. Rule 1.2(c)(1) generally requires that consent to be confirmed in writing.

☐ The scope is reasonably sufficient for the client's stated objective.

☐ The client was told which tasks the firm will and will not perform.

☐ The client understands responsibility for excluded tasks and deadlines.

☐ The client's informed consent to the limited scope is confirmed by signing this letter.

2. Fees

Rule 1.5(a) prohibits a clearly excessive fee. Rule 1.5(b) requires the basis or rate of the fee to be communicated to a client the lawyer has not regularly represented, preferably in writing, before or within a reasonable time after work begins.

Select one structure and delete the other.

☐ Hourly Fee

Billable activities: [________________________________]

Nonbillable or included activities: [________________________________]

Any rate change requires advance written notice of [____] days and applies only as permitted by the engagement and applicable law.

☐ Fixed Fee

Fixed fee: $[________________________________]

Services included: [________________________________]

Milestones / payment schedule:

This lite form does not declare a fee earned on receipt. Any different treatment requires a separately verified, clearly explained term.

3. Invoices and Payment Requests

Invoice frequency: [monthly / milestone / other: ________________________________]

Requested payment period: [____] days after invoice

Payment methods: [________________________________]

A requested payment date does not by itself create a late charge, interest rate, lien, collection-fee right, acceleration, or withdrawal right. Any such term must be separately drafted and verified.

4. Advance Fee and Client Funds

Advance requested: $[________________________________]

Purpose: [future fees / costs / other: ________________________________]

Rule 1.15(a) addresses unearned attorney fees held until earned. Complete the selected handling method after reviewing the actual fee structure:

☐ Unearned advance funds will be held in the firm's client trust account and withdrawn only as earned or properly applied.

☐ No advance funds will be held.

☐ Other separately reviewed handling: [________________________________]

Invoices will show the opening balance, work or costs applied, payments, withdrawals, credits, and remaining balance.

5. Costs and Third-Party Charges

The firm will: ☐ advance approved costs and invoice the client ☐ require payment before incurring the cost ☐ use another stated arrangement: [________________________________].

6. Communication and Decisions

Primary firm contact: [________________________________]

Client's authorized decision-maker, if an entity: [________________________________]

Routine method: [secure portal / email / phone / mail / other: ________________________________]

Urgent-contact method: [________________________________]

Expected response interval: [________________________________]

The client authorizes communication with only these additional people:

[NAME / ROLE / SCOPE OF AUTHORIZATION]

The firm and client will separately assess security, confidentiality, privilege, accessibility, and recordkeeping before using a selected communication method. The client should promptly report changed contact information or suspected unauthorized access.

7. Client Responsibilities

The client agrees to:

• provide complete and accurate information and preserve relevant materials;
• review drafts, invoices, and requests promptly;
• appear when required and tell the firm promptly about new notices or communications;
• make objectives, settlement, plea, and other client decisions after consultation;
• pay fees and costs under the selected terms; and
• identify any person whose involvement may create a conflict.

A failure to perform a listed responsibility does not make withdrawal automatic. The firm must follow Rule 1.16 and any governing tribunal requirement.

8. Conflicts and Changes in Circumstances

The firm's conflict review is current through [__/__/____]. Known relationships or potential conflicts disclosed at signing:

[________________________________]

This lite form does not include a conflict waiver. Any consent to a waivable conflict must be separately analyzed, disclosed, and documented.

9. Ending the Engagement

The client may discharge the firm. The firm may or must withdraw only as permitted or required by Rule 1.16 and other applicable law. If a tribunal orders continued representation, Rule 1.16(c) controls.

Upon termination, Rule 1.16(d) requires reasonably practicable steps to protect the client's interests, including reasonable notice, time to employ other counsel, surrender of papers and property to which the client is entitled, and refund of any unearned advance payment.

The parties will complete a matter-specific closing letter addressing deadlines, file delivery, client property, funds, accounting, and successor counsel.

10. No Guaranteed Result

The firm has made no promise or guarantee about an outcome, recovery, cost, duration, ruling, approval, or business result. Estimates are planning information and may change as facts, law, parties, or procedure change.

11. Terms Not Included

This lite form does not include:

• a late-interest or usury-savings clause;
• mandatory mediation or arbitration;
• a jury waiver or selected litigation forum;
• a prospective malpractice limitation or release;
• an indemnity or damages cap;
• a lien assertion;
• a contingent fee or fee division; or
• a claim that every email, PDF, or electronic signature has automatic legal effect.

Add none of these terms without separate transaction-specific and professional-responsibility review.

12. Entire Engagement and Amendments

This letter and its identified attachments state the parties' engagement terms for this matter. A change must be documented in a later writing accepted by the firm and client. A scope or fee change must be explained before the changed work or rate is applied.

13. Signatures

By signing, the client confirms receipt of this letter, the selected scope, exclusions, fee structure, cost arrangement, communication plan, and limited-scope consent.

Attachments

☐ Detailed scope or task list

☐ Rate schedule

☐ Cost budget

☐ Communication authorization

☐ Separate conflict disclosure or consent

☐ Other: [________________________________]

Sources and References

• Alabama Rule of Professional Conduct 1.2
• Alabama Rule of Professional Conduct 1.5
• Alabama Rule of Professional Conduct 1.15
• Alabama Rule of Professional Conduct 1.16