4.9: Types of Legal Correspondence

Legal correspondence usually serves one of the following 5 purposes: (1) providing or seeking information, (2) confirming events or other information, (3) providing opinions, (4) demanding action, and (5) defining relationships. The purpose dictates the content, tone, and wording you will use in the body of the correspondence, as well as whether a non-attorney is ethically allowed to sign the correspondence.

Informative Correspondence (Providing or Seeking Information)

This is the most common type of correspondence that paralegals write. The purpose is to convey or request information to/from a client, witness, or other person regarding a legal matter. The body should be concise and brief, but with enough detail for the recipient to understand the information provided or what is being requested. There are several sub-types of informative correspondence. Some examples of these sub-types follow.

Cover Letters

The function of this information-providing letter is to inform the recipient about documents being provided as enclosures, provide a brief explanation of the purpose of those enclosures, and direct the recipient as to what steps should be taken with respect to the enclosures. In these letters:

• The opening should provide context for the enclosure by referring to a previous meeting, transaction, or conversation relating to the enclosure.
• The body should explain the nature of the enclosure, if necessary, and direct the next steps with a reasonable deadline (stated as a specific date) for completing them. Describe the document and point out any portions to which you want the recipient to pay particular attention. Explain in detail the action you wish the recipient to take. If there are a lot of steps, consider using a numbered or bulleted list to simplify them. Highlight important deadlines by using boldfaced font. Be sure to add ticklers/reminders to your calendar to confirm that the requested actions have been taken.
• The closing should invite the recipient to contact the appropriate person (either the supervising attorney or the paralegal) with questions or concerns.

Ethics Watch

If the cover letter includes advice or recommendations, the attorney must sign it.

Scheduling Letters

These letters function as reminders of meetings, hearings, or other events that the recipient is expected to attend. These letters are usually quite short:

• The opening and body are often combined into a single paragraph that simply states the details – time, date, location, and purpose – of the meeting or event. Again, highlight the time, date, and address using boldfaced font. A suggested arrival time and a brief explanation of what is likely to occur may also be included.
• The closing should invite the recipient to contact the appropriate person (either the supervising attorney or the paralegal) with questions or concerns.

Requests for Information

These letters might be written to clients or third parties, asking them to provide documents or other information you need. Before writing these letters, it is important to be aware of any requirements or prerequisites for obtaining the information. For example, government agencies might not release information unless you follow the specific steps/format requirements of a Freedom of Information Act (or FOIA) request. Healthcare providers and other entities may require a signed release (such as a HIPAA form) from the person about whom you are seeking to obtain information. Sometimes these providers have their own forms that the person must sign. It is also becoming more frequent for third parties to request pre-payment for copies or other expenses related to providing the requested information. Thus, it is best to contact third parties prior to requesting the information to determine if there are any such requirements and to confirm that you are contacting the correct person/location to obtain the desired information. In these letters:

• The opening should provide context for the request. When writing to the client, refer to a previous meeting, transaction, or conversation relating to the enclosure. When writing to someone other than the client, start by identifying the law office’s or the attorney’s relationship to the client (for example, “[Client name] has retained our law firm to pursue damages for personal injuries suffered on [date of the accident].”
• The body should explain the nature of the requested information in detail. Define the necessary parameters of the requested information, such as relevant time periods, desired formats, and sources/resources for locating the information (if necessary). Include a reasonable deadline (stated as a specific date) by which you would like to receive the information. Giving the recipient two to four weeks after the date of the letter is fairly typical. Be sure to add ticklers/reminders to your calendar to confirm that the requested information has been received.
• The body should also confirm compliance with the recipient’s requirements for providing the information and enclosure of necessary documents, releases, or payments.
• The closing should invite the recipient to contact the appropriate person (either the supervising attorney or the paralegal) with questions or concerns or to advise of an inability to provide the requested information by the stated deadline.

Ethics Watch

Letters to third parties might be discoverable by opposing counsel. Thus, you must very carefully review the information you include about the client or the client’s legal matter to avoid a breach of confidentiality. It is also important to ensure you don’t include any negative information about the client, the client’s legal matter, or anything that might indicate a client’s previous conditions, injuries, or problems. Don’t include information about the supervising attorney’s litigation strategy. Many times, you must limit your explanation to, “This law firm is involved in litigation concerning an accident between Sally Smith and Jim Jones.” This type of background also reduces the likelihood that your source will bias the information provided, so as to tell you what he/she thinks you want to hear.

Status Letters

Status letters are an update to the client concerning the matter your firm is handling for the client. These letters are used to keep the client informed of recent developments, or sometimes serve to let the client know that his/her legal matter has been reviewed by the supervising attorney (this is especially important if a few weeks have passed and there has been little to know outside activity occurring, as sometimes happens in litigation matters). In the body, be sure to include a description of the next step(s), when each step needs to be completed, and who is responsible for completing each step.

Ethics Watch

If the status letter includes advice or recommendations, the attorney must sign it.

Confirmation Letters

Confirmation letters are used to provide a permanent and official record of meetings, agreements, conversations, discussions, or other information. The purpose of these letters is to safeguard against misunderstandings, misinterpretations, or disagreements about the subject matter. Accuracy and detail are important, as well as a neutral and professional tone.

• The opening should refer specifically to a previous meeting, transaction, or conversation, including its date, time, location, and persons present.
• The body should describe in detail the content of what was discussed; what each party agreed to do or not do; and a description of the next step(s), including when each step needs to be completed and who is responsible for completing each step; and state that the description is a complete, full, and accurate description of what transpired.
• The closing often includes a statement that the writer will presume that the description is a complete, full, and accurate description of what transpired unless the recipient responds in writing (typically by a certain date) with an objection or statement of what information is erroneous. Sometimes, the recipient is provided with a duplicate copy of the letter with a request that the recipient sign and return the copy to confirm its accuracy. These letters typically do not contain a closing inviting the recipient to contact the supervising attorney with questions or concerns.

Ethics Watch

Depending on the nature of what is being confirmed or the nature of the relationship (adversarial or non-adversarial) the ethical rules may require the attorney to sign it.

Opinion Letters

Ethics Watch

Because opinion letters always contain legal advice or opinions, paralegals may draft them but should never sign them. Sometimes your supervising attorney will ask you to research a specific legal question and report the results to him/her, usually in a legal research memorandum. If it is thorough and well-written, the attorney may ask you to convert your memorandum to an opinion letter to be sent to the client.

• The opening should refer specifically to the client’s legal question and detail the facts the client provided that relate to the question. The last sentence of the opening paragraph should include a statement that all opinions and advice in the letter are based on the facts provided and that any new or omitted facts might change the opinion, advice, or outcome.
• The body should explain the law and the attorney’s opinion/advice, a description of potential outcome(s) of the course(s) of action the client could take, and provide guidance as to the best action to take. If applicable, politely, but persuasively, direct the client to the best course of action. Make sure to use language the client will understand – avoid legalese.
• The closing should invite questions from the client, and/or request that the client inform the attorney (who will sign the letter) of the course of action the client chooses.

Demand Letters and Settlement Offers

Sometimes, legal correspondence is sent to “the other side,” (for example, an opposing party or adversary counsel), seeking settlement or demanding payment of a claim. While these letters are similar, each has unique requirements.

Settlement Offers

These letters are typically sent to insurance companies or opposing counsel. Often, they include settlement brochures or copies of other documents supporting the proposed settlement of the claim. Supporting documentation, such as excerpts from medical records or a copy of the contract at issue, is often included. Organize the information in a logical and user-friendly manner; you want to make it easy for the recipient to understand your information and be persuaded by it.

• The opening should refer to the legal matter between the two parties, including the date and location of the incident underlying the claim, if applicable. Typically, the last sentence of the opening paragraph includes a statement about the nature of the proposed settlement; and specifically, whether it is a statutory offer of settlement or judgment being made pursuant to Wisconsin statutes.
• The body should explain the facts and the law impacting the case and supporting the proposed settlement. It often includes references to relevant documents, pleadings, or discovery associated with the case. Politely, but persuasively, state that the law and facts favor the client and the recipient should accept/comply with the proposed settlement terms. The tone should be respectfully assertive, but not overbearing, threatening, or inflammatory.
• The body should also provide in specific detail the proposed settlement terms, including actions/inactions for each party; the amount of money to be paid, by whom, and by what date; and any releases or other documents to be signed by the parties to finalize the settlement.
• The closing should provide a deadline by which the proposed settlement must be accepted, as well as the method by which it must be accepted, and thank the recipient for his/her consideration.

Demand Letters

These letters are similar to settlement offers, except that they use stronger persuasion. Many demand letters expressly assess blame to the recipient or the recipient’s client. Demand letters that constitute an attempt to collect a debt or a judgment fall under this category, and there are statutory rules regarding what those letters are required to include, as well as prohibited actions.

• The opening should refer to the legal matter between the two parties, including the date and location of the incident underlying the claim, if applicable.
• The body should describe in detail the action you are seeking from the recipient; for example, the amount of money to be paid, the action that must be taken, or the actions that the recipient must cease and desist from taking.
• The body should also provide a deadline by which the demanded action must be completed, as well as the method by which it must be completed. The closing usually also includes a statement of the consequence for failure to act by the stated deadline: “If we do not hear from you on or before [month, day, year], we will take whatever action is necessary to protect our client’s interests.” If you can legally do so without sounding overly threatening, you may wish to list some of the actions you are considering taking. Use a very assertive, but not hostile, tone.
• The closing typically thanks the recipient for his/her prompt action, as if assuming compliance will occur immediately.

Ethics Watch

Because demand letters and settlement offers always contain legal opinions and recommendations for specific legal actions to take or not take, paralegals may draft them but should never sign them.

Retainer, Non-Retainer, Disengagement and Termination Letters

Ethics Watch

Because these letters always involve establishing (or not establishing) or terminating an attorney-client relationship, the attorney must sign them. Additionally, other ethical rules require very careful drafting of these letters.

Retainer Letter

Also known as an engagement letter, the purpose of this letter is to inform the client that the attorney has accepted the client’s legal matter, and to specify the parameters of the representation. Usually, a written fee agreement is enclosed for the client to review, sign, and return.

• The opening should refer to the initial consultation or meeting with the client, including its date, location, and the identity of others present. The opening also informs the client of the attorney’s decision. A typical opening would be, “My paralegal, [name of paralegal] and I enjoyed meeting with you at our office to discuss your [describe the legal matter; for example, your estate plan, your claim against xx]. I am pleased to inform you that our law office has decided to [draft your estate plan, represent you, or accept your case].” If a legal matter is a claim that might be litigated, include a statement directing the client to refrain from giving any statements concerning the accident or discussing your claims with anyone outside of the law office.
• The body should describe the nature and limitations of the representation, if any. What is the goal of the representation? What services or tasks are being performed, or what documents are being drafted, for the client?
• The body typically also highlights important portions of the fee agreement, such as any up-front payment (or advanced fee) required, the amount of the flat fee, or the hourly rates for persons who will be working on the file. Sometimes additional information or documents are requested from the client at this time.
• The closing should request the client to carefully review the entire fee agreement and contact the attorney with any questions before signing it. Often, the closing ends with a statement such as, “We look forward to working with you.”

Non-Retainer Letter

Also known as a non-engagement letter, the purpose of this letter is to inform the recipient that the attorney has decided not to accept the client’s legal matter, or that the law office is declining to represent him/her.

• The opening should refer to the initial consultation or meeting with the client, including its date, location, and the identity of others present. The opening also informs the client of the attorney’s decision. A typical opening would be, “My paralegal, [name of paralegal] and I enjoyed meeting with you at our office to discuss your [describe the legal matter; for example, your estate plan, your claim against xx]. Unfortunately, I regret to inform you that our law office has decided not to [draft your estate plan, represent you, take on your case].” It is important to end the opening with a statement such as “We will be taking no action on your behalf.”
• The body must inform the recipient if there are any important deadlines coming up. If the claim involves a statute of limitations, inform the recipient, in bold font, when the statute will expire. You should also explain the consequence of allowing the statute to expire (i.e., “You will be forever barred from making a claim.”).
• The closing should reiterate, unequivocally, that the law office is declining the legal matter, using neutral language (for example, "We are unable to assist you in pursuing your claim.") The closing should not invite questions or any other type of response from the recipient. Typically, the closing ends with a sentence reiterating the need to seek alternative legal counsel at the recipient's earliest convenience.

Ethics Watch

The ethical rules applicable to attorneys require all of these disclosures to avoid malpractice or other ethical complaints.

• Do not include any statements about the strength of the recipient’s case or any other evaluations.
• Specify any important deadlines that may impact the recipient's ability to pursue his/her claim
• Recommend that the recipient seek the advice of a different attorney.
  • Name a specific attorney or law firm if the reason for the non-engagement is that your firm either has a conflict of interest, doesn’t practice in that area of law, or is simply too busy to handle the matter.
  • Don’t name a specific attorney or law firm if the reason for the non-engagement is that your firm is uncomfortable with either the claim or the recipient (but don’t express this in the letter). Legal communities are quite small, and you don’t want to be known for sending bad clients/claims to other attorneys. Instead, refer the recipient to a lawyer referral service.

Disengagement Letter

A close relative of the non-engagement letter is the disengagement letter, which is used to communicate to a current client the decision to stop representation before the legal matter is concluded (also known as “firing” the client). Some dos and don’ts for writing these letters:

• The opening of the letter is typically very brief. It may refer to the ongoing legal matter, but only summarily (“As you are aware, since [date] this office has been engaged in [generally describe legal services] on your behalf.’). Next, the opening provides a professional, generic reason for the disengagement, such as, “Due to our fundamental differences in opinion with respect to the best course of action regarding your claim, we are unable to continue representing you.” Although it is acceptable to provide professional reasons, such as non-payment of fees or failure to attend required hearings, do not include inflammatory reasons – especially if they would be difficult to prove (for example, the client lied). You don’t want to anger the recipient, which may invite an ethical complaint or a lawsuit against the attorney.
• The body must inform the recipient if there are any important deadlines coming up. If the claim involves a statute of limitations, inform the recipient, in boldfaced type, when the statute will expire. You should also explain the consequence of allowing the statute to expire (i.e., “You will be forever barred from making a claim.”).
• Enclose a copy of the final bill, if applicable, and request payment in full by a specified date.
• The closing should reiterate, unequivocally, that the law office is declining the legal matter, using neutral language (for example, "We are unable to further assist you in pursuing your claim.") The closing should not invite questions or any other type of response from the recipient. Typically, the closing ends with a sentence reiterating the need to seek alternative legal counsel at the recipient's earliest convenience.

Ethics Watch

The ethical rules applicable to attorneys require all of these disclosures to avoid malpractice or other ethical complaints.

• Direct the client to hire a different attorney immediately. Do not name a specific attorney or law firm. Instead, refer the recipient to a lawyer referral service.
• If the client owes the firm money for services and/or fees, include a copy of the fee agreement and a final bill. Request that the outstanding amount be paid by a specific date, but don’t threaten any action at this point.
• Specify any important deadlines that may impact the recipient's ability to further pursue his/her claim

Termination Letter

Unlike the disengagement letter, this letter is used to inform the client that the legal matter is now concluded. Typically, the final bill is enclosed.

• The opening should describe the manner in which the legal matter has concluded. For example, the goals of the representation have been met, or all of the documents have been drafted and signed, or a final judgment has been entered. Often, the opening ends with a statement such as, “In accordance with our signed fee agreement this legal matter is now concluded.”
• The body outlines any final steps that need to be taken by the client. Include any final documents relating to the legal matter. If the client owes the firm money for services and/or fees, include a copy of the fee agreement and a final bill. Request that the outstanding amount be paid by a specific date, but don’t threaten any action at this point. If the client is owed money, enclose payment and state in the body the amount of payment that is enclosed and what it represents (for example, the full and final settlement, or reimbursement of unused legal fees).
• The closing typically ends with a statement thanking the client for retaining the law office and an invitation to re-hire the law office for any future legal needs.

Final Steps Before Sending the Correspondence

Correspondence is a “permanent record” of you and your supervising attorney’s integrity and professionalism. As such, it is critically important to ensure the correspondence is accurate, concise, understandable, and professionally written. Some final things to check:

• Confirm that all names and addresses are correct, complete, accurate, and spelled correctly
• Verify that the correspondence does not contain
  • Slang, informal, or inappropriate language
  • Statements that are inflammatory or unprofessional
  • Information that might be confidential, or harmful to your client/client’s case (when writing to someone other than the client)
• Ascertain whether enclosures should be included with the original correspondence
• Determine the proper delivery method of the original correspondence
• Make sure you know who will receive copies of the correspondence, and use cc and bcc appropriately; ascertain whether these persons will receive copies of the enclosures, as well as the proper delivery method for each of these persons
• If the client is not the primary recipient, send a copy of the correspondence to the client. Do not include
  • Enclosures the client has already been provided
  • Copies of things the client does not need to have (for example, copies of checks accompanying records requests)
• Place a copy of the correspondence in the law office’s client file (but do not cc the file or the supervising attorney)
• If a bcc is used
  • The bcc line should be included only on the copies retained in the client’s file and the copies sent to the persons listed as a bcc. Do not include the bcc line on the letter to the primary recipient or anyone receiving a courtesy copy (cc)
  • Do not include copies of enclosures the bcc recipient does not need
  • The client should not be billed for bcc copies of correspondence, nor for copies of enclosures sent with bcc copies.

These are just some examples of the types of correspondence you may write as a paralegal. As with any legal document, if you have any doubts about the purpose or desired content of any correspondence, ask your supervising attorney for guidance.