Engagement Letter - Legal Services

NEW YORK ENGAGEMENT AGREEMENT FOR LEGAL SERVICES

Date: [__/__/____]

This form is for an hourly or fixed-fee civil matter. Do not use it for a domestic-relations matter governed by Part 1400, a contingent-fee matter, or another matter requiring a different form.

1. Client and Scope

The Firm represents [CLIENT NAME] only. It does not represent an owner, officer, employee, affiliate, family member, insurer, or other person unless a separate signed agreement says so.

Included services:

[____________________________________________________________]

[____________________________________________________________]

Excluded services unless added in writing:

• ☐ Appeal
• ☐ Post-judgment enforcement or collection
• ☐ Tax, regulatory, benefits, or business advice
• ☐ Representation in another proceeding or forum
• ☐ Other: [________________________________]

The Client controls the objectives of the representation and whether to accept a settlement. Any scope limitation must be reasonable, and the Client must give the informed consent required by the applicable rules.

2. Fees, Expenses, and Billing

Select one:

• ☐ Hourly. Rates and billing increments appear in Exhibit A.
• ☐ Fixed fee. Fee, covered work, milestones, and refund treatment appear in Exhibit A.

The Firm will charge no nonrefundable retainer. Any minimum-fee term requires separate review and plain-language completion consistent with current Rule 1.5(d)(4).

The Client is responsible only for the expense categories selected in Exhibit A. The Firm will obtain advance approval before incurring a single outside expense exceeding $[________].

Invoices will be sent ☐ monthly ☐ at these intervals: [________________________________]. Payment is due [____] days after the invoice date. This Agreement states no interest, late charge, acceleration, collection-fee, or prevailing-party term.

3. Advance Payment

• ☐ No advance payment.
• ☐ A separate advance-payment and trust-account addendum is attached.

Do not accept or describe an advance payment until New York counsel has classified it under the current professional-conduct rules, identified the account treatment, stated when funds become earned, and explained refund and accounting treatment.

4. Client Responsibilities

The Client will provide complete and accurate information, preserve relevant material, keep contact information current, appear when required, and respond to reasonable requests.

5. Confidentiality and Conflicts

The Firm will protect confidential information as required by Rule 1.6.

The Firm has checked the names and relationships supplied as of [__/__/____]. Any conflict disclosure is attached as Exhibit B. This Agreement is not advance consent to an unidentified future conflict.

If Rule 1.7 permits a current-client conflict to be consented to, the Firm may proceed only when all of that Rule's conditions are satisfied and each affected client gives informed consent confirmed in writing.

6. Staffing and Outside Professionals

Other Firm lawyers and supervised staff may work on the Matter at the rates in Exhibit A. A separate lawyer, expert, investigator, consultant, or other outside professional may be engaged only after the Client receives the proposed role and payment arrangement and gives any approval required here:

[____________________________________________________________]

Any division of a legal fee requires separate compliance review and documentation.

7. Ending the Representation

The Client may discharge the Firm. The Firm may withdraw only as permitted by the professional-conduct rules and any governing tribunal rule or order.

On termination, the Firm will provide an accounting, refund any unearned or unincurred amount, and take the protective steps required by current law. The Firm's file-retention and release policy is attached as Exhibit C.

8. Fee Disputes

Part 137 applies to covered civil fee disputes and makes arbitration mandatory for the attorney when a covered client requests it. The current rule excludes, among other matters, a disputed amount below $1,000 or above $100,000 unless the parties consent.

Before commencing a covered fee-collection action, the Firm must provide the approved notice, instructions, and request form by a method permitted by § 137.6. The notice gives the Client 30 days after receipt to elect the Part 137 process.

This Agreement does not create advance consent under § 137.2(b)-(d). If the parties want advance fee-arbitration consent, they must use the prescribed information and form after separate review.

9. No Risk-Shifting or Dispute Waiver

This Agreement contains no malpractice-liability cap, client indemnity, consequential-damages waiver, mandatory arbitration of malpractice claims, jury-trial waiver, exclusive forum, confession of judgment, security interest, force-majeure clause, or automatic attorney-fee award.

Rule 1.8(h)(1) prohibits an agreement prospectively limiting the lawyer's malpractice liability to the Client.

10. Entire Agreement and Amendments

This Agreement and its completed exhibits state the engagement terms for the Matter. A change to scope, fees, or expenses must be communicated in writing as required by current law. If a provision is unenforceable, the remaining provisions continue to the extent permitted.

11. Signatures

The Client confirms receipt of a completed copy and an opportunity to ask questions.

LAWYER / FIRM

Signature: ________________________________________

Name and title: [________________________________]

Date: [__/__/____]

CLIENT

Signature: ________________________________________

Name and title, if applicable: [________________________________]

Date: [__/__/____]

Exhibits

• Exhibit A: Fee, rate, billing-increment, and expense schedule
• Exhibit B: Conflict disclosure and any informed consent confirmed in writing
• Exhibit C: File-retention and release policy
• Exhibit D: Advance-payment and trust-account addendum, if selected