What if the client refuses consent?

If a client declines to consent to information transfer, do not forward privileged records. Document the refusal in the matter file and advise the receiving counsel of the limitation; seek discrete alternatives such as redaction or court authorization if necessary.

Is an eSignature valid?

Yes. Electronic signatures are valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA in most states when intent, consent, attribution, and retention are present; certain exceptions may apply for particular documents.

Are notaries required?

Notarization is required for some executed consents or fee-splitting affidavits depending on state law; verify the receiving jurisdiction and attach notarized acknowledgements when necessary.

How to handle conflicts?

Perform a documented conflict check before referral. If a conflict exists, disclose to the client and obtain informed written consent or decline the referral per applicable ethical rules.

What records should be transmitted?

Send only records necessary for the receiving counsel to perform the agreed scope. Include a file index, key correspondence, pleadings, and billing notes while minimizing extraneous or irrelevant materials.

How long to keep referral records?

Retain referral documentation at least through the matter life plus a multi-year period consistent with firm policy and regulatory requirements; consult retention guidelines for tax and healthcare matters.

Electronic Signature
Templates
Legal
Legal Referral Information Form

Legal Referral Information Form

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

LEGAL REFERRAL INFORMATION FORM

This Legal Referral Information Form (the Agreement) is made and entered into as of Effective Date: by and between Referring Party: with principal address: and Receiving Counsel: with principal address: .

RECITALS

WHEREAS, Referring Party has a potential client or matter and possesses certain information and documents related thereto; and

WHEREAS, Receiving Counsel is willing to evaluate and, if appropriate, represent the referred client subject to the terms of this Agreement; and

WHEREAS, the parties desire to set forth their understanding concerning the referral, the handling of client information, fee allocation, and other administrative matters.

NOW, THEREFORE, in consideration of the mutual covenants contained herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties agree as follows:

1. DEFINITIONS

For purposes of this Agreement, the following terms have the meanings given to them: "Client" means the individual or entity identified below; "Referred Matter" means the legal matter described below; "Referral Fee" means any compensation payable to Referring Party under Section 4.

2. REFERRAL DETAILS

Client Name Client Contact Information Description of the Referred Matter

Date of Referral: Client informed of referral: Yes

3. FEE ARRANGEMENT AND PAYMENT

The parties agree that any Referral Fee payable to Referring Party shall be as set forth below and shall be paid in accordance with the terms herein.

Anticipated Fee Percentage or Amount Fee Basis (describe calculation) Payment Terms

Payment will be made to: Remittance Address:

4. CONFIDENTIALITY AND DOCUMENTS

Each party shall maintain in confidence all non-public client information and documents exchanged in connection with the referral. Documents transmitted with the referral are described below.

Documents Transmitted with Referral

5. CONFLICTS AND REPRESENTATIONS

Each party represents that to the best of its knowledge no conflict of interest exists that would preclude acceptance of the Referred Matter. If a conflict is discovered, Receiving Counsel will promptly notify Referring Party and the Client and will take no action adverse to the interests of Referring Party without prior written notice.

Conflict check completed: Yes

If conflict exists, describe

6. RECORDS, COOPERATION, AND NOTICES

The parties shall cooperate in the transfer of files, fee accounting, and any client communications necessary to effect the referral. Notices required by this Agreement shall be delivered to the addresses provided below.

Referring Party Notice Address Receiving Counsel Notice Address

7. INDEMNIFICATION

Each party shall indemnify and hold harmless the other from and against any losses, claims, liabilities, or expenses (including reasonable attorneys' fees) arising from the indemnifying party's negligent acts, breaches of this Agreement, or violations of applicable law, except to the extent caused by the indemnitee.

8. TERM, TERMINATION, AND SURVIVAL

This Agreement shall remain in effect until the conclusion of the Referred Matter or until terminated by either party upon thirty (30) days' written notice. Termination shall not affect any obligation to pay Referral Fees earned prior to the effective date of termination. Provisions regarding confidentiality, payment, indemnification, and governing law shall survive termination.

9. GOVERNING LAW; ENTIRE AGREEMENT; SEVERABILITY

This Agreement shall be governed by and construed in accordance with the substantive laws of the jurisdiction specified by mutual agreement of the parties. This Agreement constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior oral or written agreements. If any provision of this Agreement is held invalid or unenforceable, the remaining provisions shall remain in full force and effect.

10. AMENDMENT; WAIVER; COUNTERPARTS

No amendment or waiver of any provision of this Agreement shall be effective unless in writing and signed by both parties. A waiver of any breach shall not constitute a waiver of any subsequent breach. This Agreement may be executed in counterparts, each of which shall be deemed an original, and all of which together shall constitute one instrument.

11. ADDITIONAL INFORMATION

Special Instructions or Comments

SIGNATURES

Referring Party:

By:

Date:

Receiving Counsel:

By:

Date:

What the Legal Referral Information Form Is

A Legal Referral Information Form records the essential details when one attorney or firm refers a client, matter, or legal task to another attorney or firm. It documents client contact information, case identifiers, scope of referral, referral date, any fee-splitting or retainer arrangements, conflict checks, and consent to share privileged information. The form helps protect attorney ethics compliance, preserves client instructions, and creates an auditable trail of who referred the matter and why. It is commonly used in outsourcings, co-counsel relationships, conflict resolutions, and multi-jurisdictional matters.

Why a Standardized Referral Form Matters

A standardized Legal Referral Information Form reduces ambiguity, speeds intake, and helps comply with ethical duties such as client consent and conflict disclosure. It supports accurate fee agreements and creates a defensible record in case of later disputes.

Who Typically Completes This Form

Referring attorneys, intake staff, and managing partners complete the form to initiate a referral and capture decision-making details before transferring a client or matter.

Referring attorney or partner: Prepares the form, documents reasons for referral, and records any proposed fee sharing.
Receiving attorney or firm: Confirms acceptance, documents scope and any exclusions, and returns signed acknowledgment.
Intake or paralegal staff: Populates client contact data, matter IDs, and attaches supporting documents for the receiving team.

Step-by-Step: Completing the Referral Form

Complete the form in the order below to ensure consent, conflicts, and scope are documented before transferring client files.

01

Prepare form: Open latest template and populate firm and client identifiers.
02

Conduct conflict check: Run conflict search and record results before contacting receiving counsel.
03

Obtain client consent: Secure written or recorded client authorization to share privileged materials.
04

Send and confirm: Transmit form and records; obtain receiving counsel's signed acknowledgment.

Configuring an Online Referral Workflow

Set up a repeatable digital workflow to route referral forms, capture signatures, and attach supporting documents.

Field	Configuration
Referring Attorney	Auto-fill from user profile
Receiving Attorney	Required field with verification
Client Consent	Checkbox + eSignature required
File Attachment	PDF upload, max 50 MB

Digital Platforms and File Formats

Choose a platform that supports secure uploads, audit trails, and common file formats to preserve evidentiary value.

Accepted formats: PDF, DOCX, TIFF
Integrations: Salesforce, NetSuite, Google Workspace
Security: TLS 1.2/1.3; AES-256 at rest

Ensure the chosen system can export ISO-compatible signed PDFs and retain an audit trail for court or ethics inquiries.

Typical Referral Transmission Flow

A clear transmission sequence reduces lost records and ensures timely acceptance by the receiving counsel.

Create: Populate form and attach documents.
Authorize: Obtain client consent and attorney sign-off.
Transmit: Send secure link or encrypted email.
Acknowledge: Receive signed acceptance from recipient.

Security and Compliance Checklist

Encryption: TLS 1.2/1.3; AES-256

Audit Trail: Timestamped actions

Access Control: Role-based permissions

HIPAA Support: BAA available

Retention: Configurable policies

Accessibility: WCAG 2.0 AA

Representative eSignature Vendor Comparison

This high-level comparison shows starting price, trial availability, bulk-send capability, audit trail, HIPAA support, and envelope limits for common eSignature vendors.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial, no card	Varies	Varies	Varies	Varies
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No
Envelope Cap	No cap	100 envelopes/user/year	Varies	Varies	Varies

Common Deadlines and Response Expectations

Set and communicate clear deadlines for referral acknowledgement, acceptance, and records transfer to avoid delays and professional responsibility risks.

Acknowledgement Window:

Request acknowledgment within 3 business days of transmission.

Acceptance Response:

Receiving counsel should accept or decline within 7 business days.

Records Transfer:

Transfer requested files within 10 business days after acceptance.

Billing Notice:

Confirm fee-splitting arrangements in writing before substantive work begins.

Follow-Up:

Schedule a check-in within 30 days after referral acceptance.

Common Pitfalls to Avoid

Failing to obtain explicit client consent to transfer privileged records can breach ethical duties and expose counsel to discipline or malpractice claims.
Vague scope descriptions often create disputes over who handles subsequent tasks, leading to duplicated work and billing disagreements.
Not performing or documenting a conflict check before referral acceptance increases the risk of disqualification or malpractice exposure.
Transferring incomplete records or failing to secure signed fee-splitting agreements can complicate billing and client trust.

Consequences of Incomplete or Improper Referrals

Ethics Violations: Disciplinary action possible

Malpractice Exposure: Increased malpractice risk

Fee Disputes: Client litigation over fees

Confidentiality Breach: HIPAA or client privacy risk

Administrative Delay: Matter disruptions

Regulatory Penalties: State bar sanctions

Real-World Examples of Referral Workflows

These condensed examples show how structured referral forms support client service and compliance in practice.

Optica Ventures — Intake

A small firm used a standardized referral form to document client consent and matter scope

Resulted in clear file transfer and no billing disputes
Optica reported easier client handoffs and consistent records across intake staff.

Martin Properties — Remote Closings

A real estate practice attached executed consents and fee agreements to the referral form

The receiving counsel confirmed acceptance and recorded receipt
Martin Properties avoided delays on closings and maintained compliance when working offline.

Who May Sign or Authorize a Referral

Referring Attorney

The referring attorney or an authorized partner must sign to authorize release of client files, confirm fee arrangements, and attest to the accuracy of matter details; signature binds the referring firm to the statements in the form.

Receiving Attorney

An authorized attorney or firm representative must sign to acknowledge acceptance, confirm scope limitations, and accept any fee‑splitting terms; this signature forms the acceptance contract between firms.

How to Update or Amend a Referral

Follow a controlled amendment process so all parties and the client approve changes and records remain auditable.

01

Identify change:

Document the reason and scope of the requested amendment.

02

Notify parties:

Send proposed amendment to client and receiving counsel.

03

Obtain consent:

Get signed client consent for any material changes.

04

Amend document:

Update the referral form and version control the file.

05

Record acceptance:

Have receiving counsel sign amended agreement.

06

Archive prior:

Retain original with amendment notes for audit.

Best Practices for Smooth Referrals

Adopt consistent procedures that protect client interests and keep referral administration efficient.

Standardize the template

Use a single firm-approved referral form to ensure consistent data capture, reduce omissions, and simplify audits across matters and staff.

Require client consent

Obtain explicit written consent before transferring privileged or medical information; store consent with the referral record to document authorization.

Document fee agreements

Record fee-splitting or billing responsibilities in writing to prevent later disputes and to satisfy ethical disclosure requirements.

Maintain version control

Keep original and amended forms with timestamps and signer identities to preserve an evidentiary chain of custody for records.

Frequently Asked Questions About Referral Forms

Answers to common questions about completing, signing, and transmitting Legal Referral Information Forms.

Need help? Contact support

What if the client refuses consent?
If a client declines to consent to information transfer, do not forward privileged records. Document the refusal in the matter file and advise the receiving counsel of the limitation; seek discrete alternatives such as redaction or court authorization if necessary.
Is an eSignature valid?
Yes. Electronic signatures are valid under the ESIGN Act (15 U.S.C. ch. 96) and UETA in most states when intent, consent, attribution, and retention are present; certain exceptions may apply for particular documents.
Are notaries required?
Notarization is required for some executed consents or fee-splitting affidavits depending on state law; verify the receiving jurisdiction and attach notarized acknowledgements when necessary.
How to handle conflicts?
Perform a documented conflict check before referral. If a conflict exists, disclose to the client and obtain informed written consent or decline the referral per applicable ethical rules.
What records should be transmitted?
Send only records necessary for the receiving counsel to perform the agreed scope. Include a file index, key correspondence, pleadings, and billing notes while minimizing extraneous or irrelevant materials.
How long to keep referral records?
Retain referral documentation at least through the matter life plus a multi-year period consistent with firm policy and regulatory requirements; consult retention guidelines for tax and healthcare matters.

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