Engagement Letter (Lite Scope) - New York

ENGAGEMENT LETTER (LITE SCOPE) — NEW YORK

Attorney / Firm Information

Firm Name: [________________________________]
Attorney Name: [________________________________], New York Registration No. [________]
Address: [________________________________]
City, State, ZIP: [________________________________], NY [__________]
Phone: [________________________________]
Email: [________________________________]
Website: [________________________________]

Date and Client Information

Date: [__/__/____]

To:
Client Name: [________________________________]
Address: [________________________________]
City, State, ZIP: [________________________________]
Phone: [________________________________]
Email: [________________________________]

Re: [________________________________] (Matter Description)
Our File No.: [________________]

Dear [________________________________]:

Thank you for selecting this firm to represent you. This letter sets forth the terms under which we will provide legal services. Please read it carefully.

IMPORTANT NEW YORK NOTICE (22 NYCRR Part 1215): Unless an exception in § 1215.2 applies, an attorney who undertakes to represent a client and enters into an arrangement for, charges, or collects any fee from a client shall provide a written letter of engagement before commencing the representation, or within a reasonable time thereafter in the circumstances stated by § 1215.1(a). The letter must address: (1) the scope of legal services; (2) attorney's fees, expenses, and billing practices; and (3) where applicable, the client's possible right to arbitrate fee disputes under Part 137. A qualifying signed written retainer addressing those subjects may be used instead. This letter is drafted to satisfy Part 1215 when the rule applies.

1. Scope of Representation

1.1 Services to Be Provided (Required by 22 NYCRR § 1215.1(b)(1))

We are engaged to represent you in the following matter(s):

[________________________________]
[________________________________]

Type of Matter (check all that apply):

• ☐ Civil Litigation — New York Supreme Court
• ☐ Civil Litigation — New York City Civil Court
• ☐ Civil Litigation — Federal Court (Southern / Eastern / Northern / Western District of New York)
• ☐ Family Law / Domestic Relations (see special requirements in Section 8.3)
• ☐ Criminal Defense
• ☐ Real Estate Transaction
• ☐ Business Formation / Corporate
• ☐ Estate Planning / Probate / Surrogate's Court
• ☐ Employment Law
• ☐ Landlord-Tenant / Housing Court
• ☐ Immigration
• ☐ Administrative / Regulatory Proceeding
• ☐ Appeals (Appellate Division / Court of Appeals)
• ☐ Other: [________________________________]

1.2 Explicit Exclusions

This engagement does not include the following unless a separate written agreement is executed:

• ☐ Representation in any appeal or post-judgment proceedings
• ☐ Representation in any related or collateral matters
• ☐ Tax advice or tax return preparation
• ☐ Representation in bankruptcy proceedings
• ☐ Collection of any judgment or award obtained
• ☐ Representation before any federal or state agency
• ☐ Any matter not specifically described in Section 1.1 above

1.3 Limited Scope Representation (Unbundled Legal Services)

Under New York Rules of Professional Conduct Rule 1.2(c), a lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances, the client gives informed consent, and the lawyer adequately informs the client of the risks and benefits.

• ☐ This engagement is for limited scope representation as follows:
  [________________________________]
  [________________________________]

Client acknowledges: Limited scope means the attorney will handle only the tasks specifically identified above. The client is responsible for all other aspects of the matter.

New York-Specific Note: New York Uniform Civil Rules for the Supreme Court and the County Court (22 NYCRR § 202.4-a) permit limited scope appearances. Attorneys providing limited scope assistance should clearly delineate the boundaries of their involvement to avoid becoming counsel of record for the entire matter.

2. Fee Arrangement

2.1 Fees, Expenses, and Billing Practices (Required by 22 NYCRR § 1215.1(b)(2))

Select the applicable fee arrangement:

☐ Option A: Hourly Rate

• Time is billed in increments of [____] of an hour (typically 1/10th = 6 minutes).
• Billable activities include legal research, drafting, telephone calls, emails, court appearances, travel time, and related tasks.
• Rates are subject to adjustment upon 30 days' written notice to the client.

New York Note (NYRPC Rule 1.5(a)): A lawyer shall not make an agreement for, charge, or collect an excessive or illegal fee or expense. A fee is excessive when, after a review of the facts, a lawyer of ordinary prudence would be left with a definite and firm conviction that the fee is excessive. Factors include: time and labor required; difficulty of the questions; skill needed; the preclusion of other employment; the fee customarily charged; the amount involved and the results obtained; time limitations; the nature and length of the professional relationship; and the experience, reputation, and ability of the lawyer.

☐ Option B: Flat Fee

• Total flat fee for the above-described scope of work: $[________________]
• Payment schedule:
• $[________________] due upon execution of this agreement
• $[________________] due on [__/__/____]
• $[________________] due upon completion

New York Note on Flat Fees: Under New York NYRPC Rule 1.15, advance payment of fees that have not yet been earned must be deposited into the attorney trust account and may only be withdrawn as earned. A "minimum fee" or "nonrefundable retainer" must be clearly documented, and New York courts have held that fees denominated as "nonrefundable" may still be subject to return if the services are not performed. See Matter of Cooperman, 83 N.Y.2d 465 (1994) (nonrefundable retainer fees are impermissible). An earned-on-receipt flat fee must be clearly disclosed and the client must give informed consent.

• ☐ Flat fee is earned as services are performed (held in escrow/trust until earned)
• ☐ Flat fee is a true retainer for availability — Client understands limitations per Cooperman

☐ Option C: Contingency Fee

• Attorney's fee shall be [________]% of the gross recovery obtained.
• If the matter is resolved:
• Before filing suit: [________]%
• After filing suit but before trial: [________]%
• During or after trial: [________]%
• On appeal: [________]%

New York Requirement (NYRPC Rule 1.5(c)): A contingent fee agreement shall be in a writing provided to the client and shall state the method by which the fee is to be determined, including the percentage(s) that accrue to the lawyer in the event of settlement, trial, or appeal; the litigation and other expenses to be deducted from the recovery; and whether such expenses are deducted before or after the contingent fee is calculated. At the conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination.

Prohibited contingency fees: NYRPC Rule 1.5(d) prohibits contingent fees in domestic relations matters and in criminal cases.

Medical Malpractice Sliding Scale (Judiciary Law § 474-a): In medical, dental, or podiatric malpractice actions, New York imposes a sliding scale:
- 30% of the first $250,000
- 25% of the next $250,000
- 20% of the next $500,000
- 15% of the next $250,000
- 10% of any amount exceeding $1,250,000

• Expenses and costs shall be deducted: ☐ Before ☐ After the contingency fee is calculated.
• Client is responsible for costs and expenses regardless of outcome: ☐ Yes ☐ No

☐ Option D: Hybrid Arrangement

Description: [________________________________]
[________________________________]

2.2 Billing and Payment Terms

• Invoices will be issued: ☐ Monthly ☐ Bi-monthly ☐ Quarterly ☐ Upon completion
• Payment is due within [____] days of the invoice date.
• Payments may be made by: ☐ Check ☐ Credit Card ☐ Wire Transfer ☐ ACH
• A late charge of [____]% per month (not to exceed [____]% annually, subject to New York Banking Law § 14-a and General Obligations Law § 5-501 interest limits) will be assessed on balances overdue more than [____] days.

New York Usury Note: Before selecting a late charge, counsel must determine whether it is interest on a loan or forbearance and include every interest-equivalent charge. Banking Law § 14-a supplies the general 16% § 5-501 maximum; § 5-501(6) contains $250,000 and $2.5 million exceptions; and Penal Law § 190.40 applies only when an unauthorized person knowingly charges more than 25%. The retainer, client status, amount, purpose, and applicable attorney-fee rules require separate review.

3. Retainer and Trust Account

3.1 Initial Retainer

• An initial retainer of $[________________] is required before work commences.
• The retainer will be deposited into our attorney trust account (IOLA account or separate interest-bearing account) in accordance with NYRPC Rule 1.15.
• The retainer will be applied against fees and costs as they are incurred. Invoices will reflect amounts drawn from the retainer.

3.2 Replenishment

• If the retainer balance falls below $[________________], Client agrees to replenish the retainer to the original amount within [____] days of written notice.
• Deliberate disregard of a fee or expense obligation may support withdrawal under current Rule 1.16(c)(5), subject to required notice, prejudice protections, and tribunal permission.

3.3 New York Trust Account / IOLA Information

New York IOLA Requirement (NYRPC Rule 1.15 and Judiciary Law § 497): All funds entrusted to an attorney must be maintained in a special account, separate from the attorney's personal or business funds. Client funds that are nominal in amount or expected to be held for a short period must be deposited into an Interest on Lawyer Account (IOLA) at an eligible banking institution. Interest on IOLA accounts is remitted to the IOLA Fund of the State of New York to fund civil legal services for the poor.

Record-Keeping (NYRPC Rule 1.15(d)): Attorneys must maintain records of all deposits, withdrawals, and balances for each client matter. Records must be preserved for seven years after the events they record.

3.4 Refund of Unearned Fees

Upon termination of the engagement for any reason, any unearned portion of the retainer or advance fee will be promptly refunded to the Client, as required by NYRPC Rule 1.16(e).

4. Costs and Expenses

In addition to attorney fees, Client is responsible for all costs and expenses incurred in connection with the matter, including but not limited to:

• ☐ Court filing fees (index number purchase, motion fees, etc.)
• ☐ Service of process fees
• ☐ Deposition and transcript costs
• ☐ Expert witness fees and consulting fees
• ☐ Travel expenses (mileage, lodging, meals)
• ☐ Copying, printing, and scanning charges
• ☐ Postage and courier / delivery fees
• ☐ Online legal research charges (Westlaw, LexisNexis, etc.)
• ☐ Mediation and arbitration fees
• ☐ Process server fees
• ☐ E-filing fees (NYSCEF)
• ☐ Other: [________________________________]

Costs and expenses will be: ☐ Advanced by the firm and billed to Client ☐ Billed directly to Client for payment before incurred

5. Client Responsibilities

Client agrees to:

• ☐ Provide complete, truthful, and timely information and documents relevant to the matter
• ☐ Respond promptly to all communications from this firm (within [____] business days)
• ☐ Appear at all scheduled court hearings, depositions, mediations, conferences, and other proceedings
• ☐ Keep the firm informed of any changes in contact information (address, phone, email)
• ☐ Pay all invoices and replenish retainers when due
• ☐ Not discuss the case with opposing parties or their attorneys without consulting this firm first
• ☐ Cooperate fully in discovery and document production
• ☐ Make timely decisions regarding settlement offers and litigation strategy

Failure to cooperate may support withdrawal only if the current Rule 1.16(c)(7) standard and every applicable notice, prejudice-prevention, and tribunal requirement are satisfied.

6. Communication Policy

6.1 Primary Point of Contact

• Lead attorney for this matter: [________________________________]
• Paralegal / assistant contact: [________________________________]

6.2 Response Times

• We will endeavor to respond to client inquiries within [____] business days.
• Urgent matters should be communicated by telephone to [________________________________].
• Routine status updates will be provided: ☐ Monthly ☐ As developments occur ☐ Upon request

New York Note (NYRPC Rule 1.4): A lawyer must: (1) promptly inform the client of any decision or circumstance requiring the client's informed consent; (2) reasonably consult with the client about the means by which the client's objectives are to be accomplished; (3) keep the client reasonably informed about the status of the matter; (4) promptly comply with reasonable requests for information; and (5) consult with the client about any relevant limitation on the lawyer's conduct when the client expects assistance not permitted by the Rules.

6.3 Preferred Communication Method

• ☐ Email
• ☐ Telephone
• ☐ Secure client portal
• ☐ U.S. Mail
• ☐ Text message (for scheduling only)

6.4 Electronic Communication Confidentiality Warning

Important Notice: Email and other electronic communications are not inherently secure. While we take reasonable steps to protect confidentiality under NYRPC Rule 1.6, there is a risk of interception by third parties. By consenting to electronic communication, Client acknowledges and accepts this risk. NYRPC Rule 1.6(c) requires a lawyer to make reasonable efforts to prevent unauthorized access to confidential information.

7. Termination of Representation

7.1 Client's Right to Terminate

Client may discharge the Firm by providing written notice. Any tribunal permission or substitution requirement still controls when applicable. Client remains responsible for fees earned and costs incurred through the lawful end of the engagement, subject to any fee dispute and current law.

7.2 Attorney's Right to Withdraw

The Firm may terminate or withdraw only as permitted or required by current New York Rule 1.16 and any tribunal rule or order. Potential grounds include:

• ☐ Client deliberately disregards an agreement or obligation concerning expenses or fees — Rule 1.16(c)(5)
• ☐ Client fails to cooperate or renders the engagement unreasonably difficult to carry out effectively — Rule 1.16(c)(7)
• ☐ The lawyer knows or reasonably should know that the engagement will result in a violation of the Rules of Professional Conduct or other law — Rule 1.16(a)(2)
• ☐ Client insists on illegal conduct or conduct prohibited by the Rules — Rule 1.16(c)(13)
• ☐ The lawyer's physical or mental condition makes the engagement difficult to carry out effectively — Rule 1.16(c)(9)
• ☐ Other verified current Rule 1.16 ground: [________________________________]

Withdrawal is subject to court approval where required. In New York state courts, the attorney must comply with CPLR § 321(b) and obtain court permission to withdraw from a pending action.

7.3 File Return

Upon termination, the firm will promptly return client documents and property upon request. Under NYRPC Rule 1.16(e), the attorney must take steps to protect the client's interests, including giving reasonable notice, allowing time to retain new counsel, and delivering all papers and property to which the client is entitled. The firm may retain copies for its records. A retaining lien may apply under New York common law for unpaid fees, but the attorney may not withhold the file to the client's prejudice in a pending matter absent court approval.

8. Conflicts of Interest and Ethics Disclosures

8.1 Conflict Check

We have conducted a conflict check as of the date of this letter and have not identified any conflicts of interest that would prevent us from representing you in this matter. If a conflict arises during the course of representation, we will promptly notify you and take appropriate action under NYRPC Rules 1.7 and 1.9.

8.2 Waiver of Conflict (if applicable)

• ☐ A potential conflict of interest has been identified and is described as follows:
  [________________________________]
  [________________________________]

Client provides informed consent, confirmed in writing, to the conflict after full disclosure: ☐ Yes ☐ No

8.3 Domestic Relations Matters — Special New York Requirements (22 NYCRR Part 1400)

If this matter involves a domestic relations case: New York requires additional disclosures under 22 NYCRR Part 1400. The attorney must:
- Provide the client with a Statement of Client's Rights and Responsibilities in the form prescribed by the Appellate Divisions (22 NYCRR § 1400.2) at the initial conference, prior to signing a retainer agreement
- Obtain a signed acknowledgment of receipt from the client
- Execute a written retainer agreement that complies with § 1400.3
- File a statement of net worth (if required)

☐ This is a domestic relations matter — Statement of Client's Rights and Responsibilities has been provided and signed acknowledgment obtained (attached).

8.4 Former or Current Client Relationships

• ☐ This firm has previously represented or currently represents: [________________________________]
  in matters that are: ☐ Related ☐ Unrelated to the current engagement.

9. Fee Dispute Resolution — Part 137 (Required by 22 NYCRR § 1215.1(b)(3))

9.1 Right to Fee Arbitration

IMPORTANT NEW YORK NOTICE (22 NYCRR Part 137): In the event of a fee dispute between the attorney and client, you may have the right to seek arbitration of the dispute pursuant to Part 137 of the Rules of the Chief Administrator. Part 137 provides for the informal and expeditious resolution of fee disputes through arbitration and, where available, mediation.

Key features of the Part 137 program:
- Arbitration is available for fee disputes ranging from $1,000 to $50,000
- If the client requests fee dispute resolution under Part 137 and it fits the program's parameters, attorney participation is mandatory
- The program is administered by local bar associations
- The arbitration panel determines the reasonableness of fees
- An arbitration award may be confirmed as a court judgment

Client acknowledges awareness of the right to fee dispute arbitration under Part 137: ☐ Yes

9.2 Other Dispute Resolution

• ☐ Client and Attorney agree to attempt mediation before formal arbitration or litigation
• ☐ Fee disputes outside the scope of Part 137 shall be resolved by litigation in the courts of the State of New York

9.3 Limitation of Liability

New York Note: Under NYRPC Rule 1.8(h), a lawyer shall not make an agreement prospectively limiting the lawyer's liability to a client for malpractice unless the client is independently represented in making the agreement.

• ☐ No limitation of liability applies
• ☐ With independent counsel's consent, liability is limited to: $[________________]

10. No Guarantee of Outcome

Client understands and acknowledges that:

• No attorney can guarantee the outcome of any legal matter.
• Any expressions of opinion regarding the likely outcome or potential value of a case are based on the attorney's professional judgment and experience but are not promises or guarantees.
• The legal system is inherently uncertain, and outcomes depend on many factors beyond the attorney's control, including the actions of courts, opposing parties, witnesses, and government agencies.
• Past results in similar matters do not guarantee a similar outcome in Client's case.

11. Governing Law

This agreement shall be governed by the laws of the State of New York, the New York Rules of Professional Conduct (22 NYCRR Part 1200), and the applicable rules of the Appellate Division of the Supreme Court. Any disputes arising from this agreement shall be resolved in the Supreme Court of [________________________________] County, New York, or the applicable federal district court, subject to the client's Part 137 arbitration rights described in Section 9.

12. Entire Agreement

This letter constitutes the entire agreement between the parties regarding the subject matter herein and satisfies the requirements of 22 NYCRR Part 1215 (Written Letter of Engagement). It supersedes all prior oral and written agreements or understandings. This agreement may not be modified except by a written instrument signed by both parties.

13. Acknowledgment and Signatures

By signing below, Client acknowledges that:

• ☐ Client has read and understands the terms of this engagement letter
• ☐ Client has had an opportunity to ask questions about the terms
• ☐ Client agrees to the scope of representation described herein
• ☐ Client agrees to the fee arrangement selected above
• ☐ Client has been informed of the right to fee dispute arbitration under Part 137
• ☐ Client has received the Statement of Client's Rights and Responsibilities (if domestic relations matter)
• ☐ Client understands that no outcome is guaranteed
• ☐ Client has received a copy of this executed engagement letter

Attorney Signature

Attorney Name: [________________________________]
Signature: ______________________________________
Date: [__/__/____]
New York Registration No.: [________________]

Client Signature

Client Name: [________________________________]
Signature: ______________________________________
Date: [__/__/____]

If Client is an entity:
Printed Name of Authorized Representative: [________________________________]
Title: [________________________________]

14. Attachments Checklist

• ☐ Fee Schedule (if applicable)
• ☐ Contingency Fee Agreement Addendum (if applicable)
• ☐ Statement of Client's Rights and Responsibilities — 22 NYCRR § 1400.2 (domestic relations only)
• ☐ Signed Acknowledgment of Receipt of Statement (domestic relations only)
• ☐ Conflict Waiver — Informed Written Consent (if applicable)
• ☐ IOLA / Trust Account Disclosure
• ☐ Part 137 Fee Dispute Arbitration Notice
• ☐ Privacy and Electronic Communication Policy
• ☐ Client Intake Questionnaire
• ☐ Authorization for Release of Information
• ☐ Other: [________________________________]

Sources and References

• New York Rule 1.16 joint order effective July 1, 2026 — https://www.nycourts.gov/LegacyPDFS/RULES/jointappellate/Signed%20Letter%20to%20DOS-Joint%20Order%206.1.26.pdf
• Joint Appellate Rules amendment index — https://www.nycourts.gov/rules/amendments-joint-rules-departments-appellate-division
• 22 NYCRR Part 1215 (Written Letter of Engagement) — https://ww2.nycourts.gov/attorneys/lettersofengagementrules.shtml
• 22 NYCRR Part 137 (Fee Dispute Resolution Program) — https://ww2.nycourts.gov/rules/chiefadmin/137.shtml
• 22 NYCRR Part 1400 (Domestic Relations Matters) — https://ww2.nycourts.gov/divorce/part1400.shtml
• New York State Bar Association — What Should Your Engagement Agreement Include? — https://nysba.org/what-should-your-engagement-agreement-include/
• New York Legal Ethics — Letters of Engagement Are Now Mandatory — https://www.newyorklegalethics.com/letters-of-engagement-are-now-mandatory/
• NYCLA — Part 137 Fee Dispute Resolution Program — https://www.nycla.org/part-137-fee-dispute-resolution-program/
• NYC Bar Association — Report on Engagement Letters — https://www.nycbar.org/pdf/report/DOCS_676498_v6.pdf
• NYSBA — Client Rights and Responsibilities — https://nysba.org/public-resources/clients-rights-and-responsibilities/
• Matter of Cooperman, 83 N.Y.2d 465 (1994) — Nonrefundable retainers
• Judiciary Law § 474-a (Medical Malpractice Fee Schedule) — https://www.nysenate.gov/legislation/laws/JUD/474-A

This template is provided by ezel.ai for informational purposes only. It does not constitute legal advice. New York has specific engagement letter requirements under 22 NYCRR Part 1215 that are mandatory. You must have this document reviewed and customized by a qualified attorney licensed in New York before use.