Introduction
Article I: Interim Conference Rules For Disputes Among Lawyers
          (Promulgated May 1997)
Article II: Mediation Procedures For Disputes Among Lawyers
          (As Revised May 1997)
Article III: Arbitration Rules For Disputes Among Lawyers
          (As Revised May 1997)
APPENDIX I : THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK
          Mediation And Arbitration Of Disputes Among Lawyers, Pre-Dispute Clauses
APPENDIX II: THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK
          Mediation Procedure For Disputes Among Lawyers
APPENDIX III: THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK
          Arbitration Rules For Disputes Among Lawyers
APPENDIX IV: THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK
          Mediation Procedures For Disputes Among Lawyers
APPENDIX V: THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK
          Arbitration Rules For Disputes Among Lawyers
APPENDIX VI: THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK
          Interim Conference Rules For Disputes Among Lawyers

Introduction

     Disputes among lawyers occur with increasing frequency. Often these disputes affect client and public interests.

     Among the many useful services of the Association of the Bar of the City of New York to the community and to the Bar is to provide a forum for the prompt, efficient, and private resolution of these disputes.

     Recognizing the interest of the community, clients and the Bar, the Association has adopted these Procedures for Mediation and Rules for Arbitration of Disputes Among Lawyers (As revised effective May 1997). In addition, the Association maintains a list of mediators and arbitrators, and also provides assistance in the neutral selection process, conference facilities, sample dispute resolution clauses, and assistance to parties in bringing a dispute to mediation or arbitration.

     The Association first issued arbitration rules in 1987 and mediation rules in 1991. Amendments have been made based on experience. The current Procedures and Rules follow.

     Because of its success in resolving disputes rapidly, privately, informally, at modest cost, and with a minimum of animosity, mediation is recommended as the initial dispute resolution process. The parties control the proceedings and the outcome. The role of the mediator is facilitative and advisory.

     It is expected that most disputes will be resolved through mediation. However, the parties may also choose binding arbitration, or any other method of dispute resolution.

     It is important to note a new aspect of the revised Procedures and Rules, namely, the availability of a qualified neutral at an Interim Conference promptly after the dispute arises. This procedure appears in Article I in the ensuing Procedures and Rules. Where feasible, the Association will endeavor to implement this process within 24 hours of receipt of a party's written request to the Association. Such immediate intervention is available to protect the interests of the parties, but also -- and importantly -- to protect the interests of clients. A dispute that warrants an Interim Conference may occur at the time such dispute first arises, or it may occur at a later time in the dispute resolution process. An Article I Interim Conference procedure will be available to parties who have agreed to mediate under Article II procedures or to arbitrate under Article III rules. An Interim Conference may result in binding provisional relief, which may be subject to revision in subsequent proceedings if circumstances warrant.

     The best time to agree on a sensible way to resolve a dispute is when the parties are negotiating their agreement, before any dispute has arisen. At that juncture, agreeing on rational, fair dispute resolution procedures can be a relatively simple task. Once a dispute has arisen, it can be much more difficult for parties to agree about anything at all.

     Consideration should be given to including the following three successive stages of dispute resolution in partnership agreements:

*     Negotiation. A provision requiring negotiations between persons with decision-making authority.

*     Non-Binding Resolution. A provision requiring mediation, or other forms of non-binding dispute resolution.

*     Binding Resolution. A " backstop" final adjudication process, such as binding arbitration, or, if no other procedure is agreed upon, litigation.

     Sample clauses and agreements appear in Appendices I-VI.

     Lawyers having questions about the Association's mediation or arbitration procedures should contact the Association's General Counsel, Alan Rothstein [(212) 382-6623], the Chair of the Committee on Arbitration, or the Chair of the Committee on Altenative Dispute Resolution.

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     These Article I Rules apply to disputes among lawyers with regard to business or professional aspects of their practice of law, when a party asserts a need for immediate provisional relief, including a party's need to discharge its professional responsibilities to one or more clients. These Article I Rules shall apply when the parties have agreed to utilize them or when procedures under the Procedures of Article II or the Rules of Article III previously agreed to by the parties are either not applicable or not practicable to meet any need referred to above.

1. Appointment of Neutral; Scheduling of Conference
     a. Unless the parties have agreed otherwise with respect to any of the steps set out hereafter in this Rule 1(a), within 24 hours (or as soon thereafter as practicable) after receipt by the Association of written notice of a dispute within the scope of these Article I Rules (A suggested form of Notice Requesting Interim Conference appears at Appendix VI.), together with the appropriate fee and certification that all other parties (and any other neutrals already appointed) have been notified, the Association shall appoint a neutral (the IC Neutral). The IC Neutral shall promptly, on notice to all parties and all other neutrals already appointed, convene an Interim Conference among the parties and the IC Neutral at the Association or such other place as the parties and the IC Neutral agree.
     b. In selecting the IC Neutral, the Association shall endeavor, whenever possible, to select a neutral who meets the criteria set forth in paragraph 6(c) of Article II or paragraph 7(c) of Article III or as otherwise agreed by the parties. The Association may, in its discretion, select an IC Neutral not meeting such criteria in order to effect an expeditious selection and to meet the needs of the parties and their clients for prompt interim relief.
     c. Any challenge to the independence of neutrality of an IC Neutral shall be resolved by the Association.

2. Interim Conference; Provisional Orders and Awards
     a. The purpose of the Interim Conference shall be to apprise the IC Neutral of the issues, the immediate needs of the parties, and the immediate needs of any clients of the parties, to enable the IC Neutral to order immediate, binding provisional relief as appropriate in light of the foregoing. The IC Neutral may also, subject to agreement of the parties, render non-binding advice to assist the parties
          (i) to agree on the course of future proceedings (including without limitation early neutral evaluation or proceedings under Article II or Article III), and
          (ii) to address any other matter that appears to require immediate attention.
     b. The parties irrevocably consent to the entry of an award or order of the IC Neutral pursuant to CPLR 7502(a) and 7510 and/or any other applicable laws, and hereby irrevocably waive any objection, jurisdictional or substantive, to judicial confirmation and enforcement of such provisional or interim award or order, except upon a ground set forth in CPLR 7511(b) or 9 U.S.C. § 10; provided, however, that any award or order issued pursuant to these Article I Rules may be revised or revoked during subsequent proceedings under this Article I, or under Article II or Article III.

3. Subsequent Role of IC Neutral
     a. In mediation proceedings under Article II either prior to or subsequent to the Interim Conference, and in arbitration proceedings under Article III either prior to or subsequent to the Interim Conference, the IC Neutral shall not serve as mediator or as an arbitrator, unless the parties and the IC Neutral agree otherwise; provided, however, that if arbitrator(s) have been appointed under Article III, and any arbitrator so appointed is willing and able to conduct the Interim Conference, such arbitrator shall act in lieu of an IC Neutral, including without limitation at an initial pre-hearing conference provided for in Article III Rule 9 (d).
     b. It is the intention of these Article I Rules and those of Article III that an IC neutral under this Article I and an arbitrator under Article III shall have the same powers to confer with the parties and grant interim relief.

4. IC Neutral's Fees and Expenses
     Each written notice requesting an Interim Conference in accordance with Rule 1(a) of this Article I shall be accompanied by an initial fee of $3500, with $500 to be applied to Association administrative expense and $3000 applied to the IC Neutral's first day of service. For subsequent days of service or portions thereof, the IC Neutral shall be compensated at the IC Neutral's regular hourly or per diem rate, unless the IC Neutral agrees otherwise. If any party fails to deposit the initial fee provided for above or to provide any subsequent advance requested by the IC Neutral, the Association may ask another party to advance the deficiency on terms and conditions acceptable to the paying party and to the IC Neutral. No proceedings will take place until the required initial fee is paid. No proceedings will take place or continue while a subsequent requested advance is unpaid without the consent of the IC Neutral.

5. Invoking These Rules
     Any party to an agreement to resolve disputes under these Article I Rules, the Procedures of Article II, or the Rules of Article III, may invoke these Article I Rules on written notice to the Association and to all other parties and neutrals as provided for in Rule 1 above, and thereafter all parties to such agreement shall be bound by these Article I Rules and any order issued pursuant to these Article I Rules, notwithstanding that a party who has received appropriate notice has not appeared at an IC Conference under these Article I Rules.

6. Administrator
     The Association, through the President of the Association, shall administer all Interim Conference proceedings under these Article I Rules. The President of the Association may designate, as Administrator, the Executive Secretary, other staff personnel or a member of the Association to perform specific administrative functions.

7. Confidentiality and Immunity
     a. Unless confidentiality is waived by all parties, all Interim Conference proceedings shall be confidential, shall be immune from discovery or production in any other forum, and shall not be used for any purpose other than the Interim Conference and related proceedings under the Procedures of Article II or the Rules of Article III. Absent such waiver, the parties, the IC Neutral, and Association shall use their best efforts to keep confidential the existence of any dispute, any Interim Conference proceedings and all events in connection with the Interim Conference.
     b. IC Neutrals and the Association and its employees shall have the same immunity from civil suit or claim in connection with any conduct or actions in the Interim Conference that a judicial officer or body would have in a court proceeding. By adopting these Article I Rules, the parties agree not to bring suit against or subpoena (i) an IC Neutral, (ii) the Association or (iii) any member of the Association other than a party to the Interim Conference with respect to any conduct of the IC Neutral or the Association related to the Interim Conference.
     c. Neither the Association nor any employee or member thereof shall be liable for any act or omission in connection with these Article I Rules or any Interim Conference thereunder except, however, for any obligation a member may have as a party in such an Interim Conference.

8. Fees and Expenses
     The parties shall bear their own attorney fees and expenses and shall bear equally the IC Neutral's fees and expenses, unless the parties have agreed or the IC Neutral has ruled otherwise.

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     These Article II Procedures supersede all prior rules and procedures. These Article II Procedures apply to disputes among lawyers with regard to business or professional aspects of their practice of law when the parties have agreed to utilize them.

1. Purpose
     The mediation process, as established by these Procedures adopted by The Association of the Bar of the City of New York (the "Association"), provides a prompt, private and cost-effective mechanism prior to or in conjunction with arbitration or litigation for resolving disputes among lawyers.

2. Competence
     a. These Procedures may be used for the resolution of any dispute between or among lawyers with regard to the business or professional aspects of their practice of law (In the event of a fee dispute between an attorney and client, resolution may be had through mediation and/or arbitration by the Joint Committee on Fee Disputes and Conciliation [a joint committee of the New York County Lawyers' Association, Association of the Bar of the City of New York and the Bronx County Bar Association], at 14 Vesey Street, New York, NY 10007 (212) 267-6646. In Domestic Relations matters fee disputes must be resolved, at the option of a client, through a binding arbitration program organized by the Administrative Judge in each judicial district pursuant to Part 136 of the Rules of the Chief Administrator and administered by the Unified Court System of the State of New York).
     b. Prior to the appointment of a mediator pursuant to these Procedures, the Association, upon its own motion or in light of the objection or suggestion of a party, shall have the sole power to determine whether these Procedures apply to a dispute. This decision shall be final and binding on the parties.

3. Application of these Rules
     Whenever the parties have agreed to mediation by the Association or under these Procedures, they shall be deemed to have incorporated in their agreement the Procedures in effect at the time of commencement of mediation unless the parties otherwise agree.

4. Administrator
     The Association, through the President of the Association, shall administer all mediation proceedings under these Procedures. The President of the Association may designate, as Administrator, the Executive Secretary, other staff personnel or a member of the Association to perform specific administrative functions.

5. Initiation of Mediation; Agreement for Submission
     a. When parties have executed a post-dispute Agreement to Participate In Mediation (A suggested form of Agreement To Participate In Mediation appears at Appendix IV) or a pre-dispute agreement to mediate under these Procedures, any party may invoke the process by serving all other parties and filing with the Association (i) two copies of their post-dispute Agreement To Participate In Mediation or (ii) two copies of a Request To Mediate including two copies of their pre-dispute agreement to mediate.(A suggested form of Request For Mediation appears in Appendix II)
     b. The Association will forthwith send notice to each other party of the filing of any of the foregoing documents.

6. Selection of the Mediator
     a. Unless the parties agree otherwise, there shall be one mediator.
     b. The parties may by agreement
          (i) appoint the mediator,
          (ii) provide that the Association will appoint the mediator from the Panel described in subparagraph (c) below or otherwise in its discretion, or
          (iii) provide for any other method of appointment of the mediator.
     c. The Association will maintain a Panel of Mediators. All persons on the Panel will
          (i) have been admitted to the practice of law ten years or more,
          (ii) be experienced in the resolution of civil disputes, and
          (iii) have such other and further qualifications as the Association deems appropriate.
     d. If the parties so desire, or if they are unable to select a mediator, or are unable to agree on a method for the selection of a mediator, the mediator will be appointed by the Association.
     e. If there is no agreement between the parties for the resolution of a dispute within the scope of these Procedures, the Association may seek agreement of the parties to mediation under these Procedures.

7. Independence and Role of the Mediator
     a. The mediator shall be independent and neutral. All mediators shall be obligated before proceeding and at any stage of the proceeding to disclose any relationship with any party or representative of a party and any other fact which may appear to affect the mediator's independence or neutrality.
     b. Any challenge to the independence or neutrality of a mediator shall be resolved by the Association.
     c. The mediator's function is to facilitate the parties' voluntary efforts to resolve their disputes or to agree on alternative methods for resolving them—including, but not limited to, submitting their disputes to arbitration pursuant to the Association's Rules for Arbitration of Disputes Among Lawyers. To serve that purpose the mediator may take such steps consistent with these Procedures (or the parties' agreed modifications of these Procedures) as the mediator deems appropriate. Unless the parties agree otherwise, the mediator shall have no power to impose any outcome upon the parties or in any way change or affect their rights and obligations.

8. Compensation of the Mediator
     The mediator shall be compensated at the mediator's regular hourly rate plus expenses, unless the parties and the mediator agree otherwise. The Association may require the parties to deposit with it an advance against the anticipated fees and expenses of the mediator, and may from time to time require additional advances or deposits. If any party fails to pay an advance when requested by the Association, the Association may ask another party to advance the deficiency on terms and conditions acceptable to the paying party and to the mediator. No proceedings will take place or continue while a requested advance is unpaid without the consent of the mediator.

9. Confidentiality and Immunity
     a. Unless confidentiality is waived by all parties, all mediation proceedings shall be confidential, shall be immune from discovery or production in any other forum, and shall not be used for any purpose other than the mediation. Absent such waiver, the parties, mediator, and Association shall use their best efforts to keep confidential the existence of any dispute, any mediation proceedings and all events in connection with the mediation.
     b. Mediators and the Association and its employees shall have the same immunity from civil suit or claim in connection with any conduct or actions in the mediation that a judicial officer or body would have in a court proceeding. By adopting these Article II Procedures, the parties agree not to bring suit against or subpoena
          (i) a mediator,
          (ii) the Association, or
          (iii) any member of the Association other than a party to the mediation
with respect to any conduct of the mediator or the Association relating to the mediation.
     c. Neither the Association nor any employee or member thereof shall be liable for any act or omission in connection with these Article II Procedures or any mediation thereunder except, however, for any obligation a member may have as a party in such a mediation.

10. Mediation of Pending Litigation or Arbitration
     Absent agreement otherwise among the parties to the mediation, submission of any dispute to or participation in the mediation in and of itself shall not stay any other proceeding between or among the parties.

11. Fees and Expenses
     The parties shall bear their own attorney fees and expenses and shall bear equally the mediator's fees and expenses, unless the parties have agreed otherwise.

12. Interim Conference
     Unless the parties have otherwise expressly agreed, any party to an agreement to resolve disputes under these Article II Procedures may invoke the Interim Conference Rules For Disputes Among Lawyers of Article I, before or during proceedings under these Article II Procedures, by providing written notice to the Association and to all other parties and neutrals as provided for in Article I, Rule 1, and thereafter all parties to such agreement shall be bound by the Interim Conference Rules of Article I and by any order issued pursuant to the Rules of Article I, notwithstanding that a party who has received appropriate notice has not appeared at an Interim Conference.

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     These Article III Rules supersede all prior rules and procedures. These Article III Rules apply to the resolution of disputes among lawyers with regard to the business or professional aspects of their practice of law when the parties have agreed to utilize them.

1. Purpose
     The arbitration procedure established by these Rules adopted by The Association of the Bar of the City of New York (the "Association") provides a mechanism for resolving disputes among lawyers.

2. Competence
     a. These Rules may be used for the resolution of any dispute between or among lawyers with regard to the business or professional aspects of their practice of law.(In the event of a fee dispute between an attorney and client, resolution may be had through mediation and/or arbitration by the Joint Committee on Fee Disputes and Conciliation [a joint committee of the New York County Lawyers' Association, Association of the Bar of the City of New York and the Bronx County Bar Association], at 14 Vesey Street, New York, NY 10007 (212) 267-6646. In Domestic Relations matters fee disputes must be resolved, at the option of a client, through a binding arbitration program organized by the Administrative Judge in each judicial district pursuant to Part 136 of the Rules of the Chief Administrator and administered by the Unified Court System of the State of New York.)
     b. Prior to the appointment of the arbitrator(s) pursuant to these Rules, the Association, upon its own motion or in light of the objection or suggestion of a party, shall have the sole power to determine whether these Rules apply to a dispute. This decision shall be final and binding on the parties.
     c. Once the arbitrator(s) pursuant to these Rules has/have been appointed, the arbitrator(s), upon the arbitrator(s)' own motion, or upon the application or objection of a party, shall have the sole power to determine whether these Rules apply to a dispute, and the arbitrator(s)' decision shall be final and binding on the parties.

3. Application of these Rules
     Whenever the parties have agreed to arbitration by the Association or under these Rules, they shall be deemed to have incorporated in their agreement the Rules in effect at the time of commencement of the arbitration unless the parties agree otherwise.

4. Administrator
     The Association, through the President of the Association, is the administrator of all arbitration proceedings under these Rules. The President may designate, as Administrator, the Executive Secretary, other staff personnel or a member of the Association to carry out specific administrative functions.

5. Initiation of Arbitration
     a. Any party to any existing dispute falling under Rule 2(a) may commence arbitration under these Rules by filing with the Association four copies of a Submission To Arbitration Agreement in the form prescribed by the Association and signed by the parties.(A form of Submission To Arbitration Agreement appears at Appendix V)
     b. In the case of a pre-dispute agreement to arbitrate a dispute falling under Rule 2(a), any party may initiate arbitration by serving on each other party one copy, and filing with the Association four copies, of the pre-dispute agreement to arbitrate and a Demand For Arbitration in the form prescribed by the Association and including a statement of the party's claim.(A form of Demand For Arbitration appears at Appendix III)
     c. The Association will forthwith send to each party notice of the filing of such Demand For Arbitration or such Submission To Arbitration Agreement.

6. Objection to Competence; Answers and Counterclaims
     a. Within twenty days after receipt by a respondent party of a Demand For Arbitration, the respondent party or parties may serve and file objections to competence under Rule 2 hereof. If such objection is made and overruled, then within twenty days after receipt of notice of such ruling—and if no such objection is made or if the arbitration is initiated by a Submission To Arbitration Agreement, then within twenty days after receipt of the Demand For Arbitration or the filing of a Submission To Arbitration Agreement—the respondent party or parties may, but need not, serve and file an answer to the claims asserted in the Demand For Arbitration or Submission To Arbitration Agreement.
     b. An answer, if filed, may contain one or more counterclaims. Within twenty days after receipt by a party of a counterclaim, such party may serve and file objections to competence under Rule 2 hereof. If such objection is made and overruled, then within twenty days after receipt of the notice of such ruling—and if no such objection is made, then within twenty days after receipt of the counterclaim—the counterclaim-respondent party may, but need not, serve and file a reply to such counterclaim.
     c. If no answer is served and filed, the claims in the Demand For Arbitration or Submission to Arbitration Agreement shall be deemed denied.
     d. If no reply is served and filed, the claims in the counterclaim shall be deemed denied.

7. Selection of Arbitrator(s)
     a. The parties may by agreement elect to have either one or three arbitrators, and provide for the method of appointing the arbitrators(s) (see subparagraph (b)). Absent agreement on the number of arbitrators, the Association will in its discretion determine whether there shall be a sole arbitrator or three arbitrators.
     b. The parties may by agreement
          (i) appoint such arbitrator(s),
          (ii) provide that each party will appoint one arbitrator, and that these two arbitrators or the Association will appoint the third arbitrator,
          (iii) provide that the Association will appoint the arbitrator(s) from the Panel described in subparagraph (c) below or otherwise in its discretion, or
          (iv) provide for any other method of appointment of such arbitrator(s).
     c. The Association will maintain a Panel of Arbitrators. All persons on that Panel will
          (i) have been admitted to the practice of law ten years or more,
          (ii) be experienced in the litigation or arbitration of civil disputes, and
          (iii) have such other and further qualifications as the Association may from time to time prescribe.
     d. If the parties so desire, or if they are unable to agree on a choice of arbitrator(s), or on another method for the selection of the arbitrator(s), or if one or more arbitrators required to be appointed by the parties or by other arbitrators are not so appointed, the appropriate number of arbitrator(s) will be appointed by the Association.
     e. If there is no agreement between the parties for the resolution of a dispute within the scope of these Rules, the Association may seek agreement of the parties to arbitration under these Rules.

8. Independence of Arbitrators
     a. All arbitrators shall be independent and neutral. All arbitrators shall be obligated before proceeding and at any stage of the proceeding to disclose any relationship with any party, representative or witness and any other fact which may appear to affect the arbitrator's independence or neutrality.
     b. Any challenge to the independence or neutrality of an arbitrator shall be resolved by the Association.

9. Conduct of Arbitration Proceedings
(This Rule 9 is adapted from Part C, Rules 9 - 11, of the Rules for Non-Administered Arbitration of Business Disputes of the CPR Institute for Dispute Resolution. A Commentary on those rules is available from CPR, 366 Madison Avenue, New York, NY 10017, and may be helpful to parties using these rules.)
     a. Subject to these Rules, the arbitrator(s) shall have the power to, and may, conduct the arbitration in such manner as they shall deem appropriate. The chair of a multi-person arbitral panel shall be responsible for the organization of arbitral conferences and hearings and arrangements with respect to the functioning of the arbitration.
     b. The proceedings shall be conducted in an expeditious manner. The arbitrator(s) are empowered to impose time limits they consider reasonable on each phase of the proceeding, including without limitation the time allotted to each party for presentation of its case and for rebuttal.
     c. Except as otherwise provided in these Rules or permitted by the arbitrator(s), no party or anyone acting on a party's behalf shall have any ex parte communication with any arbitrator with respect to any matter relating to the proceeding. A party and the arbitrator whom such party may appoint or has appointed may confer regarding the selection of the third arbitrator.
     d. As promptly as possible after the selection of the arbitrator(s), the arbitrator(s) shall hold (in person or by telephone) an initial pre-hearing conference. Under appropriate circumstances, this conference may be conducted in conjunction with an Interim Conference under Article I. The objective of this initial pre-hearing conference shall be to discuss all elements of the arbitration with a view to planning for its future conduct. Matters to be considered in the initial pre-hearing conference may include, but are not limited to, the following:
           (i) Procedural matters such as discovery, bifurcation, scheduling of conferences and hearings, prehearing memoranda, record of conferences and hearings, including the need for transcripts, time allotted to each party for presentation of its case and for rebuttal, sequestration of witnesses, manner and order for presenting proof, and how expert testimony should be presented;
          (ii) The early identification and narrowing of the issues;
          (iii) Stipulations of fact and admissions solely for purposes of the arbitration, as well as simplification of document authentication; and
          (iv) The possibility of settlement negotiations, with or without the assistance of a mediator.
     e. Further pre-hearing or other conferences may be held as the arbitrator(s) deem appropriate.
     f. The arbitrator(s) may hold hearings and schedule meetings, including telephone meetings, wherever they deem appropriate.
     g. The arbitrator(s) shall permit and facilitate only such discovery as they shall deem appropriate, taking into account the demonstrated needs of the parties and the desirability of making discovery expeditious and cost-effective.
     h. The arbitrator(s) may issue orders to protect the confidentiality of privileged material and other sensitive information disclosed in the arbitration.
     i. Evidence and Hearings
          (i) The arbitrator(s) shall determine the order and manner in which the parties shall present their cases. Unless otherwise determined by the arbitrator(s), the presentation of a party's case shall include the submission of a pre-hearing memorandum including, without limitation, the following elements:
                (A) A statement of facts;
                (B) A statement of each claim and each defense being asserted;
                (C) A statement of the applicable law upon which the party relies;
                (D) A statement of the relief requested, including the basis for any damages claimed; and
                (E) A statement of the evidence to be presented, including the name, capacity and subject of testimony of any witness to be called, the identification of exhibits, and an estimate of the amount of time required for the witness' direct testimony.
          (ii) The arbitrator(s) shall have the discretion to receive evidence in written form or in oral form, or both. The arbitrator(s) are not required to apply the rules of evidence, provided, however, that the arbitrator(s) shall endeavor to preserve lawyer-client privilege and work product immunity. The arbitrator(s) shall determine the applicability of any privilege or immunity and the admissibility, relevance, materiality and weight of the evidence offered.
          (iii) The arbitrator(s), in their discretion, may require the parties to produce evidence in addition to that initially offered. They may also appoint, at the expense of the parties, one or more experts whose testimony and reports shall be subject to cross examination and rebuttal.
          (iv) The arbitrator(s) shall have the right to exclude witnesses from hearings during the testimony of other witnesses, provided, however, that it shall be presumed that parties and expert witnesses may be present throughout the evidentiary hearing.

10. Fairness and Efficiency
     In any proceeding under these Rules, the Association will expedite selection of the arbitrator(s). Under all circumstances, the arbitrator(s) and the parties shall use their best efforts to promote expeditious, efficient and fair conduct and resolution of the proceedings.

11. Provisional and Interim Orders, Awards and Remedies
     In addition to judicial remedies provided by law in aid of arbitration, the parties shall be deemed to have conferred upon the arbitrator(s) power to make such provisional or interim orders or awards as the arbitrator(s), in their discretion, may deem necessary, desirable, just, or equitable, including without limitation awards providing for equitable relief such as injunctions and specific performance. Such interim awards or orders may also include provision for expedited discovery. The parties irrevocably consent to the entry of an order in the appropriate court embodying such interim award or order of the arbitrator(s), pursuant to CPLR 7502(a) and 7510 and/or any other applicable laws, and hereby irrevocably waive any objection, jurisdictional or substantive, to judicial confirmation and enforcement of such provisional or interim award or order, except upon a ground set forth in CPLR 7511(b) or 9 U.S.C. § 10.

12. Compensation of Arbitrator(s)
     The arbitrator(s) shall be compensated at the arbitrator(s)' regular hourly rate for all time spent on the arbitration, plus expenses, unless the parties and the arbitrator(s) agree otherwise. The Association may require the parties to deposit with it an advance against the anticipated fees and expenses of the arbitrator(s), and may from time to time require additional advances or deposits. Such advances may also be secured through a payment bond or bank guaranty satisfactory to the Association. If any partyfails to pay an advance when requested by the Association, the Association may ask another party to advance the deficiency on terms and conditions acceptable to the paying party and the arbitrator(s). No proceedings will take place or continue while a requested advance is unpaid unless the arbitrator(s) agree to continue to serve.

13. Confidentiality and Immunity
     a. Unless confidentiality is waived by all parties, all arbitration proceedings shall be confidential, shall be immune from discovery or production in any other forum, and shall not be used for any purpose other than the arbitration. Absent such waiver, the parties, arbitrator(s), and Association
          (i) shall use their best efforts to keep confidential the existence of any dispute, any arbitration proceedings, and all events in connection with the arbitration, and
          (ii) in the event of judicial proceedings relating to such arbitration or enforcement of the award, shall cooperate to have the record of such arbitration proceedings, including where possible the award itself, sealed.
     b. Arbitrators and the Association and its employees shall have the same immunity from civil suit or claim in connection with any conduct or actions under these Article III Rules that a judicial officer or body would have in a court proceeding. By adopting these Article III Rules, the parties agree not to bring suit against or subpoena
          (i) an arbitrator,
          (ii) the Association or
          (iii) any member of the Association other than party to the arbitration
with respect to any conduct of the arbitrator or the Association related to the arbitration.
     c. Neither the Association nor any employee or member thereof shall be liable for any act or omission in connection with these Article III Rules or any arbitration thereunder excepting, however, any obligation a member may have as a party to such an arbitration.

14. Other Rules and Procedures; Limitations
     a. In all cases the arbitrator(s) shall have power, upon notice to the parties and after giving the parties opportunity to be heard, to formulate and implement rules and procedures, so long as they are consistent with these Rules.
     b. Notwithstanding the provisions of CPLR 7502(b), all questions as to the application or effect of any statute of limitations to or on any claim or counterclaim shall be determined by the arbitrator(s).

15. Arbitrator(s) as Mediator(s)
     The parties may, by express agreement, vest the arbitrator(s), or one of the arbitrator(s), with the power to act as mediator(s) under the Association's Mediation Procedures For Disputes Among Lawyers in Article II.

16. Award
     a. An award shall be in writing and shall be signed either by the sole arbitrator or by at least a majority if there be more than one. It shall be executed in the manner required by law. The award shall be deemed made at the House of the Association. At the request of either party made at or prior to the first evidentiary hearing, the award shall be accompanied by a separate opinion setting forth the reasons upon which it is based.
     b. An award may provide for interim relief or final relief, and such relief may include, without limitation, equitable relief, monetary relief, measures to protect client's interests, measures to preserve property both tangible and intangible, and unless the parties agree otherwise, punitive or exemplary damages.

17. Amendment of Award
     Absent other agreement by the parties, the arbitrator(s), on their own motion or on application of a party, may for any reason amend, in any respect, any interim or final award within thirty days after the award is transmitted to the parties.

18. Fees and Expenses
     The parties shall bear their own attorney fees and expenses and shall bear equally the arbitrator(s)' fees and expenses, unless (a) the parties have agreed otherwise, or (b) in the absence of such agreement, the arbitrator(s) award otherwise.

19. Interim Conference
     Unless the parties have otherwise agreed, any party to an agreement to resolve disputes under these Article III Rules may invoke the Interim Conference Rules For Disputes Among Lawyers of Article I, before or during proceedings under these Article III Rules, by providing written notice to the Association and to all other parties and neutrals as provided for in Article I, Rule 1, and thereafter all parties to such agreement shall be bound by the Interim Conference Rules of Article I and by any order issued pursuant to the Rules of Article I, notwithstanding that a party who has received appropriate notice has not appeared at an Interim Conference under the Rules of Article I.

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     The following clauses may be incorporated into the partnership agreement. Select the clauses that reflect one of the dispute resolution sequences below. Possible sequences include:

     -     Negotiation, Mediation and Arbitration
      -     Mediation and Arbitration
      -     Negotiation and Mediation
      -     Negotiation and Arbitration
      -     Mediation only
      -     Arbitration only

Litigation is offered for those who choose not to arbitrate.

Article 00: Dispute Resolution

1. Scope
      This Article 00 shall apply to any dispute, controversy or claim whatsoever with regard to business or professional aspects of their practice of law [now or hereafter arising or already existing] between or among members of this firm or between one or more members or former members and the firm including but not limited to claims [arising out of] [or related to] this agreement [or its validity, construction, interpretation, termination, enforcement or breach] [whether or not such claims are based on contract, tort, federal, state or local statute, regulation or common law or otherwise] [excepting only ___].

     All proceedings conducted pursuant to this Article 00 shall be confidential.

2. Negotiation Clause
     The parties shall attempt in good faith to resolve any dispute covered by this Article 00 promptly by negotiation between persons who have authority to settle the controversy. All such negotiations shall be confidential and treated as compromise and settlement negotiations for purposes of the relevant rules of evidence. Any party may give the other party written notice requesting negotiation. Within [10] days after delivery of the notice, the receiving party shall submit a written response to the other. The notice and the response shall be dated and include (a) a statement of each party's position and a summary of arguments supporting that position. Within [20] days after delivery of the notice requesting negotiation, the parties and their representatives shall meet to negotiate at a mutually acceptable time and place or at the Association of the Bar of the City of New York if the parties cannot otherwise agree. All reasonable requests for information made by one party to the other will be honored promptly.

3. Mediation Clause
Strike the first parenthetical if parties have not agreed to negotiate as a first step.
     Any dispute covered by this Article 00[which has not been resolved by negotiation within [45] days of the notice requesting negotiation, or the parties have failed to meet within [30] days of such notice] shall be submitted to mediation under the then current Mediation Procedures For Disputes Among Lawyers promulgated by The Association of the Bar of the City of New York ("Association"). Pursuant to the procedures of the Association, any party may file a Request for Mediation(See Appendix II for the Request for Mediation) with the Association which will notify all other parties. If the parties fail to agree on the mediator or a method to appoint a mediator within 10 days of the Request for Mediation, the mediator will be selected by the Association in accordance with the aforesaid procedures. By agreeing to mediate any dispute covered by this Article 00, parties agree to submit to the binding Interim Conference Rules contained in Article I of the Association's Rules and Procedures and referenced at Procedure 12 of the Mediation Procedures of the Association.(See Appendix VI for a Notice Requesting an Interim Conference)

4. Binding Dispute Resolution Clause
Strike the first parenthetical if parties have not agreed to negotiate.
Strike the second if they have not agreed to mediate.
     Any dispute covered by this Article 00 [which has not been resolved by negotiation within 45 days of the notice requesting negotiation or the parties have failed to meet within 30 days of such notice, and] [which has not been resolved within 60 days or other period agreed by the parties after initiation of mediation under the Mediation Procedures For Disputes Among Lawyers promulgated by The Association of the Bar of the City of New York ("Association") or if any party who had agreed to mediate fails to participate in the mediation] shall be resolved by binding arbitration in accordance with the then current Arbitration Rules For Disputes Among Lawyers promulgated by The Association of the Bar of the City of New York ("Association") by [a sole arbitrator] [three independent and impartial arbitrators, of whom each party shall appoint one], [three independent and impartial arbitrators,] [all of whom shall be appointed by the Association][one or three arbitrators named or selected as follows:
________________________________________________________
_________________________________________________________
________________________________________________________].
Pursuant to the Arbitration Rules of the Association, either party may file a Demand for Arbitration(See Appendix III for the Demand for Arbitration) with the Association which will notify the opposing party. If the parties fail to appoint the arbitrator(s) required to be appointed by them, within ____ days, the Association will select the arbitrator(s) pursuant to the above stated Arbitration Rules. The arbitration shall be governed by [the United States Arbitration Act, 9 U.S.C. § 1-16], [the New York Arbitration Act, CPLR § 7501 et seq]. Judgment upon the award rendered by the arbitrator may be entered by any court having jurisdiction thereof. The place of arbitration shall be the Association. By agreeing to arbitrate any dispute covered by this Article 00, parties agree to submit to the binding Interim Conference Rules contained in Article I of the Association's Rules and Procedures and referred to at Rule 19 of the Arbitration Rules of this Association.(See Appendix VI for a Notice Requesting an Interim Conference)

5. Litigation
     Any dispute covered by this Article 00 shall be subject to litigation [only] in the ________________________________________ (specify jurisdiction) and the parties agree to jurisdiction in such court.

6. Tolling Statute of Limitations
     All applicable statutes of limitation and defenses based upon the passage of time shall be tolled while the interim conference, negotiation, mediation or arbitration procedures specified in this Article 00 are pending. The parties will take such action, if any, required to effectuate such tolling.

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Case No. _______________

REQUEST FOR MEDIATION

I. Parties:
a. Claimant(s) (names, addresses, phone no's.):



Attorney(s) for Claimant(s) in this matter, including attorney in charge of this matter (names, addresses, phone no's.):




b. Respondent(s) (names, addresses, phone no's.):




Attorney(s) for Respondent(s) in this matter, if known, including attorney in charge of this matter (names, addresses, phone no's.):

II. Competence:
Is this dispute between or among lawyers with regard to business or professional aspects of their practice of law?




III. Specify the Parties' Pre-Dispute Clause to Use Mediation
(a) Set forth, or annex, the full text of the parties' pre-dispute mediation clause:




(b) Identify by date, parties, and description or annex the pre-dispute agreement containing the clause relied on:




IV. Nature of Dispute and Relief Sought:
(a) Describe the nature of the dispute and the relief sought, including the amount of any monetary claim:




(b) Is equitable relief sought? _____________________________
If so, specify the relief sought _____________________________
_______________________________________________________
_____________________________________________________
___________________________________________________
____________________________________________________

Dated: ____________

__________________________________________, Claimant [or Attorney(s) for Claimant] I.D., Address and Phone [if not already set forth in Item I.a.]

Note to Claimant: To institute proceedings, file two copies of this Request with the Association, send a copy to each other party, and pay the required administrative fee of $500.

Interim Conference Request: If claimant requires interim relief, also file four copies of the Notice Requesting an Interim Conference (see Appendix VI) with the Association and send a copy to the other parties.

Note to All Parties: For further information or assistance, please contact Alan Rothstein, Association's General Counsel (212-382-6623), the Chair of the Committee on Arbitration or the Chair of the Committee on ADR. It is the Association's policy to assist the parties and their counsel to the fullest extent possible in facilitating the smooth, speedy, and efficient conduct of this proceeding.

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Case No. _______________

DEMAND FOR ARBITRATION

I. Parties: (a) Claimant(s) (names, addresses, phone no's.):




Attorney(s) for Claimant(s) in this matter, including attorney in charge of this matter (names, addresses, phone no's.):




(b) Respondent(s) (names, addresses, phone no's.):




Attorney(s) for Respondent(s) in this matter, if known, including attorney in charge of this matter (names, addresses, phone no's.):



II. Competence:
Is this dispute between or among lawyers with regard to business or professional aspects of their practice of law?

III. Specify the Parties' Pre-Dispute Clause to Use Arbitration
(a) Set forth, or annex, the full text of the parties' pre-dispute arbitration clauses:



(b) Identify by date, parties, and description or annex the pre-dispute agreement containing the clause relied on:



IV. Nature of Dispute, Claimant's Claim and Relief Sought:
(a) Describe the nature of the dispute, the claim asserted and the relief sought, including the amount of any monetary claim (a separate statement of claim may be attached):



(b) Is equitable relief sought? ______________________
If so, specify the relief sought _____________________________
_______________________________________________________
____________________________________________________
___________________________________________________

Dated: ________________
_______________________, Claimant (or Attorney(s) for Claimant) I.D., Address and Phone [if not already set forth in Item I. (A)]

Note to Claimant: To institute proceedings, file four copies of this Demand with the Association, and with the other parties, and pay the required administrative fee of $500.

Interim Conference Request: If claimant requires interim relief, also file four copies of the Notice Requesting an Interim Conference (see Appendix VI) with the Association and send a copy to the other parties.

Note to All Parties: For further information or assistance, please contact Alan Rothstein, Association's General Counsel (212-382-6623), the Chair of the Committee on Arbitration or the Chair of the Committee on ADR. It is the Association's policy to assist the parties and their counsel to the fullest extent possible in facilitating the smooth, speedy, and efficient conduct of this proceeding.

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Case No. _______________

AGREEMENT TO PARTICIPATE IN MEDIATION
(when no pre-dispute clause to mediate exists)

1. The date of this agreement is ____________________________.

2. The parties to this agreement are _______________________("______________") and ______________________________("______________").

3. The parties are parties to a dispute described in Paragraph 7 below.

4. The parties agree to submit their dispute to mediation pursuant to the Mediation Procedures For Disputes Among Lawyers of The Association of the Bar of the City of New York ("Association") in effect when this agreement is executed. The parties further agree that any party may invoke the binding Interim Conference Rules of Article I of the Association's Rules and Procedures by filing a Notice Requesting an Interim Conference [see Appendix VI] with the Association and the other parties, before or during the mediation proceeding.

5. The parties agree to be bound by the Procedures and Rules referred to above and to be jointly and severally liable for the Association's administrative fees and for the fees and expenses of the mediator, and of the IC Neutral if any.

6. The parties agree that the mediator shall be selected by the following method: (Choose one of the following)

[  ] The parties have agreed to the following named mediator:

Name ______________________________________________________

Address ___________________________________________________

Telephone ___________________________________________________

[  ] Describe here the parties' agreed other method for selecting the mediator:
_________________________________________________________
_________________________________________________________
_________________________________________________________
__________________________________________________________

[  ] Absent an agreement in accordance with (i) or (ii) above, the mediator shall be appointed by the Association from the panel of mediators maintained by it or otherwise in its discretion.

7. The parties agree that the following statement describes the dispute they are submitting to mediation. If the parties cannot agree to a joint description of their dispute, each party has entered its own description of the dispute in the space provided here:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________

8. The parties represent that the dispute is between or among lawyers with regard to business or professional aspects of their practice of law (see Procedure 2).

9. To enable the parties to discuss all aspects of their dispute freely and to enable the mediator effectively to assist the parties, the parties agree to the following conditions:

10. The parties recognize and acknowledge that The Association of the Bar of the City of New York and its employees and its mediators have no power to impose any settlement or to require any concessions by any of the parties in mediation.

11. The parties intend by this agreement to bind themselves and anyone acting in their interests to all of the conditions of this agreement.

Dated: _____________

____________________________, Claimant
(signature)
by __________________________________
(signature)

Dated: _____________

__________________________, Respondent
(signature)
by __________________________________
(signature)
____________________________________
Name of Claimant
____________________________________
Address
____________________________________
Phone and Fax Numbers
____________________________________
Name and I.D. of Attorney(s) for Claimant (including attorney in charge)
____________________________________
Address
____________________________________
Phone and Fax Numbers
____________________________________
Name of Respondent
____________________________________
Address
____________________________________
Phone and Fax Numbers
___________________________________
Name and I.D. of Attorney(s) for Respondent (including attorney in charge)
____________________________________
Address
____________________________________
Phone and Fax Numbers

Note: To institute proceedings, file two copies of this Agreement to Participate in Mediation with the Association, and pay the required administrative fee ($500.00). This Agreement is not effective until such fee has been paid.

Interim Conference Request. If any party requires interim relief, also file four copies of a Notice Requesting an Interim Conference (see Appendix VI) with the Association and send a copy to the other parties.

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Case No. _______________

SUBMISSION TO ARBITRATION AGREEMENT

1. We, the undersigned parties, hereby agree to submit the dispute described below to arbitration under the Arbitration Rules For Disputes Among Lawyers of The Association of the Bar of the City of New York (the Association) in effect at the time this agreement is executed.

\ 2. The parties further agree that any party may invoke the binding Interim Conference Rules of Article I of the Association's Rules and Procedures by filing a Notice Requesting an Interim Conference (see Appendix VI) with the Association and the other parties before or during the arbitration proceeding.

3. The parties agree to be bound by the Rules referred to above and to be jointly and severally liable for the Association's administrative fees and for the fees and expenses of the arbitrator(s), and of the IC Neutral if any.

4. (State here a brief description of the matter in dispute, claimant's claim, the amount of money involved, if any, and the remedy sought (including equitable relief, if any).)

5. The parties agree that such controversy be submitted to (choose one of the following)(See Rule 7).

A. The following named arbitrator(s):

____________________________________________________
Name
___________________________________________________
Address
___________________________________________________
Phone and Fax Numbers

___________________________________________________
Name
___________________________________________________
Address
___________________________________________________
Phone and Fax Numbers

____________________________________________________
Name
___________________________________________________
Address
___________________________________________________
Phone and Fax Numbers

B. Claimant(s) have appointed as arbitrator
____________________________________________________
Name
___________________________________________________
Address
___________________________________________________
Phone and Fax Numbers

Respondent(s) have appointed as arbitrator
____________________________________________________
Name
___________________________________________________
Address
___________________________________________________
Phone and Fax Numbers

and each of these two arbitrators is to appoint the chair of the tribunal.

C. (One) (Three) arbitrator(s) appointed in the following manner:

6. The parties agree that absent agreement of the parties on some means of selection, the Association shall select, in its discretion, one or three arbitrators from the Panel of Arbitrators maintained by the Association or otherwise in its discretion.

7. The parties agree that they will faithfully observe this agreement and the Rules and that they will abide by and perform any award rendered by the arbitrator(s) and that a judgment of any court having jurisdiction may be entered upon the award.

8. The parties represent that the dispute is between or among lawyers with regard to business or professional aspects of their practice of law (see Rule 2).

     (State below any special requests to the Association or instructions to arbitrators, regarding such matters as the urgency of the arbitration (see Rule 10),modification to the Rules (see Rule 3), the law under which the arbitrators are to decide the dispute, e.g., New York law, the law of another jurisdiction, and mediation (see Rule 15).)

Dated: _____________

____________________________, Claimant
(signature)
by __________________________________
(signature)

Dated: _____________

__________________________, Respondent
(signature)
by __________________________________
(signature)

____________________________________
Name of Claimant
____________________________________
Address
____________________________________
Phone and Fax Numbers

____________________________________
Name and I.D. of Attorney(s) for Claimant (including attorney in charge)
____________________________________
Address
____________________________________
Phone and Fax Numbers

____________________________________
Name of Respondent
____________________________________
Address
____________________________________
Phone and Fax Numbers

____________________________________
Name and I.D. of Attorney(s) for Respondent (including attorney in charge)
____________________________________
Address
____________________________________
Phone and Fax Numbers

Note: To institute proceedings, file four copies of this Submission to Arbitration Agreement with the Association, and pay the required administrative fee ($500.00). This Agreement is not effective until such fee has been paid.

Interim Conference Request. If any party requires interim relief, also file four copies of a Notice Requesting an Interim Conference (see Appendix VI) with the Association and send a copy to the other parties.

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Case No. _______________

NOTICE REQUESTING AN INTERIM CONFERENCE

1. The undersigned is a party to a dispute among lawyers with regard to business or professional aspects of their practice of law.

2. The undersigned entered into an agreement to use the [Interim Conference Rules For Disputes Among Lawyers] [Mediation Procedure For Disputes Among Lawyers] [Arbitration Rules For Disputes Among Lawyers] promulgated by The Association of the Bar of the City of New York ("Association") on ________________, 19___.

3. [On ______________, 19___, the undersigned commenced] [the undersigned has not commenced] [a mediation procedure] [an arbitration procedure] under the [Mediation Procedures] [Arbitration Rules] For Disputes Among Lawyers promulgated by the Association [by filing the appropriate documents required by the Association].

4. The undersigned requests an Interim Conference under Article I of the Interim Conference Rules For Disputes Among Lawyers of the Association due to an immediate need:

_____  (i)  to protect the interests of a client;
_____  (ii)  for other provisional or interim relief. (check applicable sections)

5. The circumstances giving rise to this request are:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________

6. The relief the undersigned seeks is:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
___________________________________________________________________

7. The undersigned certifies that the undersigned [hand delivered] [faxed] a copy of this request to the other parties to this dispute and to all other neutrals previously appointed, named below on ___________________________, 19__:

____________________________________
(party)
____________________________________
(party)
____________________________________
(party)
____________________________________
(party)
____________________________________
(Neutral)
____________________________________
(Neutral)
____________________________________
(Neutral)

8. The undersigned agrees to be jointly and severally liable for the Association's administrative fees and for the fees and expenses of the IC Neutral, unless the parties otherwise agree or the IC Neutral otherwise orders.

9. If this Request is filed before or during an arbitration proceeding pursuant to the Arbitration Rules For Disputes Among Lawyers of the Association, the undersigned agrees that this Interim Conference may be conducted in conjunction with the preliminary hearing conference of Section 9(d) of such Arbitration Rules.

10. Unless the parties and the IC Neutral agree otherwise, the undersigned agrees that the IC Neutral shall not serve as mediator or as arbitrator under Article II or III of the Association Rules and Procedures, provided, however, that if arbitrator(s) have been appointed under Article III, and any arbitrator so appointed is willing and able to conduct the Interim Conference, such arbitrator shall act in lieu of an IC Neutral.

_______________________________
Party Requesting Interim Conference
Dated: ___________________

_______________________________
Party Requesting Interim Conference
Dated: ___________________

_______________________________
Party Requesting Interim Conference
Dated: ___________________

Notice to Party Requesting Interim Conference: The party requesting an Interim Conference shall file four copies of this Notice with the Association and deposit with the Association the initial Interim Conference fee required by Rule 4 of the Interim Conference Rules For Disputes Among Lawyers of the Association.

This Notice is not effective until such initial fee has been paid to the Association.

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