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ALTERNATIVE DISPUTE RESOLUTION

SUNDAY 8:00AM 10:00AM
ATTY. DAVID BALLESTEROS
GROUP NO. 1
MEMBERS
Magistrado, Emmanuel
Mateo, Mark Anthony
Tirana, Redentor
Bumagat, Joan Don
Pantonal, Cynthia

CHAPTER 7 : OTHER FORMS OF ADR

OTHER FORMS OF ADR: EN MM CA
1. Early Neutral Evaluation
2. Neutral Evaluation
3. Minitrial
4. Mediationarbitration
5. Combination thereof
6. And any other ADR form
Rules for the other forms of ADR, in order of applicability, are:
1. The agreement of the parties
2. Provisions of the IRR specifically applicable to the particular form of ADR;
and
3. Provisions of the IRR on arbitration and medication for other forms of ADR
akin to
arbitration and mediation , respectively
Neutral and Early Neutral Evaluation (Article 7.6, IRR)
o Neutral evaluation is an ADR process wherein the parties and their lawyers
are brought
together to present summaries of their cases and to receive a nonbinding
assessment
by an experienced neutral person, with experience in the subject matter or
substance of
the dispute
o Early neutral evaluation is availed of early in the pretrial phase.
o The agreement of the parties shall govern the conduct of the neutral or
early neutral
evaluation. In default of an agreement, the provisions of the IRR on neutral or
early
neutral evaluation shall apply
o In the absence of an agreement between the parties or of specific
provisions of the law
or rules applicable to them, the rules on mediation shall apply suppletorily
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o The parties may empower neutral third person to render a binding
assessment in which

case the neutral or early neutral evaluation becomes akin to domestic

arbitration.
Under these situation, the rules on arbitration shall apply suppletorily
o Qualifications of Neutral Third Person:
If the parties cannot or fail to agree on the qualifications of the neutral third
person,
or if the parties are unable to make the selection despite their agreement,
either
party may make the appointment. The default appointing authority is the
National
President of the IBP or his representative
o Neutral Evaluation
Parties are required to submit and exchange position papers containing the
issues ad
statements of the relevant facts and append thereto supporting documents
and
affidavit of witnesses.
In order to maintain impartiality of the neutral third person
there shall be no ex parte communications between him and any party to
the
dispute
Confidentiality of the proceedings, communications and assessment shall
also be maintained
o Neutral third person shall issue a written evaluation or assessment within
thirty days
from the conclusion of the evaluation process
Minitrial (Article 7.7 IRR)
o Definition. It is a structure dispute resolution method in which the merits of
the case are
argued before a panel composed of senior decisionmakers, with or without
the presence
of a neutral third person, before which the parties seek a negotiated
settlement
o The agreement of the parties shall govern the conduct of the proceedings,
in the absence
of which, the provisions of IRR on minitrial shall be applicable.
o A minitrial may be conducted either :
i. As a separate dispute resolution process
ii. As a continuation of mediation, neutral or early neutral evaluation or any
other ADR process
(In either case, the proceedings may be conducted with or without the
presence or participation of a neutral third person. If one is chosen, he
shall preside over the minitrial
o Senior Executive or decisionmakers. A panel of senior executives or
decisionmakers shall
be appointed by the parties. They may choose one or more for each party
provided that
the parties shall appoint an equal number of senior executives or decision
makers
o The party shall submit a brief summary of the dispute, identifying the
specific factual or

legal issues, after which they shall appear before the minitrial panel
members before
whom the lawyers shall present their respective cases starting with the
claimant
o Thereafter, the lawyers or the parties representative may offer rebuttal or
surrebuttal
arguments
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o The representationinchief shall be made without interruption one (1)
hour, and the
rebuttal or surrebuttal shall be for thirty (30) minutes, unless a different
period is agreed
upon by the parties.
o The panel members may ask clarificatory questions after each
presentation, rebuttal or
surrebuttal
o After minitrial, the panel members, with the assistance of the neutral third
person, shall
negotiate a settlement of the dispute
MediationArbitration (Article 7.8, IRR)
o Definition. MediationArbitration (or medarb) is a two step dispute
resolution process
involving mediation and then followed by arbitration
o The proceedings shall be governed by the agreement of the parties. In the
absence of an
agreement, and in view of its dual nature, its proceedings be governed by the
rules on
mediation first, and thereafter, by the rules on domestic arbitration
o As a rule, no arbitrator shall act as mediator, and no mediator shall act as
arbitrator, at the
same time in any proceeding.
o The mediator so appointed is precluded from acting as arbitrator of the
same dispute,
unless the parties have agreed in writing thereafter
o A mediator while precluded from discussing with the parties merits of the
dispute, may
do so when duly appointed as an arbitrator in a mediationarbitration
o During the arbitration stage, the mediator who is authorized in writing to
act as arbitrator
shall make an appropriate disclosure as of the arbitration proceeding had just
commenced. He shall likewise take the appropriate oath or affirmation as an
arbitrator
Combination and Innominate Forms of ADR
o The parties are allowed to avail of any combination of ADR forms.
o The parties may even come up with their own forms or methods which,
albeit
innominate, may be allowed by law as long as they satisfy the requisites of
ADR,
comply with the essential requisites of a valid contract
o In the case of the nominate ADR forms, combinations and innominate ADR
forms are

governed principally by the agreement of the parties

o In the absence of such agreement, the rules and procedures for mediation
are
suppletorily applicable if the combination or innominate ADR form is akin to
mediation
o The rules and procedure of the arbitration apply suppletorily to
combinations and
innominate ADR forms that are akin to arbitration
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CHAPTER 8 : SPECIAL RULES OF COURT ON ALTERNATIVE

DISPUTE RESOLUTION
Subject Matter and Coverage (Rule 1.1 Special ADR Rules)
The Special ADR Rules govern the following judicial processes and
proceedings.
1. Relief on the issue of existence, validity and enforceability of the
arbitration agreement
2. Referral to alternative dispute resolution
3. Interim measures of protection
RIA - CTA
4. Appointment of Arbitration
5. Challenge to appointment of arbitrator
6. Termination of mandate of arbitrator
7. Assistance in taking evidence
8. Confirmation, correction or vacation of award in domestic arbitration
9. Recognition and enforcement or resetting aside of an award in
international commercial
arbitration
10. Recognition and enforcement of foreign arbitral award
11. Confidentiality / protective orders; and
12. Deposit and enforcement of mediated settlement agreement
Special Proceedings (Rule 1.2, Special ADR Rules)
Except for the deposit of mediated settlement agreements, the foregoing
procedures
are special proceedings. As such, jurisdiction over the persons of the
parties is
acquired by the court, not through the service summons, but upon proof of
compliance
with the jurisdictional requirement
The petition is required to serve copies of the petition upon the respondent
before it is
filed in court
Summary Proceedings (Rule 1.3, Special ADR Rules)
The proceedings under the Special ADR Rules are generally summary and
therefore, are
conducted by way of submission of verified pleadings, affidavit and
supporting
documents, except the proceedings involving the confirmation, recognition
and
enforcement of arbitral awards which are generally nonsummary, and the
deposit of
mediated settlement agreements which is not a judicial proceedings

The following pleadings, motions or petitions are not allowed and

shall not be accepted for filing:
Motion to dismiss
Motion for bill of particulars
Motion for new trial or for reopening of trial
Petition for relief from judgment
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Motion for extension, except in cases where an ex parte temporary
restraining order of
protection has been issued
Rejoinder to reply
Motion to declare a party in default
Any other pleading specifically disallowed under any provision of the
Special ADR Rules
Nonsummary Proceedings (Rule 1.8, Special ADR Rules)
The proceedings under the Special ADR Rules which are generally non
summary are the
following:
1. Confirmation, correction or vacation of award in domestic arbitration
2. Recognition and enforcement of an award in an international commercial
arbitration
3. Recognition and enforcement of a foreign arbitral award
Jurisdiction and Venue
Jurisdiction over any of the proceedings covered by the Special ADR Rules is
lodged by law with
the Regional Trial Courts.
i. The place where any of the parties resides or has his place of business
ii. The place where the asset or act involved is located.
iii. The National Capital Judicial region, at an option of the petitioner
Fundamental Principles Adopted by the Special ADR Rules (Rules 2.1
to 2.7, Special ADR
Rules)
The Special ADR Rules took into account the following fundamental policies,
principles and
objectives of ADR:
1. Self determination, party autonomy, and promotion of ADR as a means of
resolving
Disputes
2. Preference for Arbitration
3. Doctrine of Separability/Severability the arbitration clause shall be
treated as an
agreement independent of the contract of which it forms part, and a decision
that the
contract is null and void shall not entail ipso jure the invalidity of the
arbitration clause.
4. Freedom to agree on the procedure to be followed in the conduct of arbitral
proceedings
5. The competencecompetence principles the arbitral tribunal should be
accorded the
first opportunity or competence to rule on the issue whether or not it has the
competence or jurisdiction to decide a dispute submitted to it for decision,
including any

objection with respect to the existence or validity of the arbitration

agreement.
6. No Arbitrator shall act as mediator in any proceedings in which he is acting
as arbitrator