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PART I: DEFINITIONS OF TERMS

Alternative Dispute Resolution System means any process or procedure used to resolve a
dispute or controversy, other than by adjudication of a presiding judge of a court or an
officer of a government agency, as defined in this Act, in which a neutral third party
participates to assist in the resolution of issues, which includes arbitration, mediation,
conciliation, early neutral evaluation, mini-trial, or any combination thereof. (Sec. 3(a), RA
9285)
FORMS OF ADR
a. Mediation means a voluntary process in which a mediator, selected by the
disputing parties, facilitates communication and negotiation, and assist the parties in
reaching a voluntary agreement regarding a dispute. (Sec. 3(q), RA 9285)
i. Court-Annexed Mediation means any mediation process conducted under
the auspices of the court, after such court has acquired jurisdiction of the
dispute. (Sec. 3(l), RA 9285)
ii. Court-Referred Mediation means mediation ordered by a court to be
conducted in accordance with the Agreement of the Parties when as action
is prematurely commenced in violation of such agreement. (Sec. 3(m), RA
9285)
iii. Judicial Dispute Resolution mediation, conciliation and early neutral
evaluation process conducted by the judge of a pending case after a failed
court-annexed mediation and before the pre-trial.1
b. Arbitration means a voluntary dispute resolution process in which one or more
arbitrators, appointed in accordance with the agreement of the parties, or rules
promulgated pursuant to this Act, resolve a dispute by rendering an award. (Sec.
3(d), RA 9285)
c. Early Neutral Evaluation means an ADR process wherein parties and their lawyers
are brought together early in a pre-trial phase to present summaries of their cases
and receive a nonbinding assessment by an experienced, neutral person, with
expertise in the subject in the substance of the dispute. (Sec. 3(d), RA 9285)
d. Mini-Trial means a structured dispute resolution method in which the merits of a
case are argued before a panel comprising senior decision makers with or without
the presence of a neutral third person after which the parties seek a negotiated
settlement.
e. Mediation-Arbitration or Med-Arb a step dispute resolution process involving
both mediation and arbitration.
f. Conciliation the adjustment and settlement of a dispute in a friendly,
unantagonistic manner. (Blacks Law Dictionary)

PART II: FUNDAMENTALS OF ADR


1. Principles of ADR2
a. Promotion of party autonomy and self-determination in the resolution of disputes
1
2

Atty. Gabriel T. Robeniol. (2012). Alternative Dispute Resolution. Quezon City: Central Book Supply Inc. Pp. 28
Ibid. p. 11.

b. Recognition of ADR as an efficient tool and alternative procedure for the resolution
of cases
c. Enlisting of private sector participation
2. Objectives and Benefits of ADR3
a. Party Autonomy
b. Speedy and Cost-Efficient
c. Privacy and Confidentiality
d. Awards are final and binding
3. Features of ADR4
a. ADR is a means to resolve a dispute or controversy
b. ADR utilizes means and methods allowed by law
c. ADR is contractual in nature
d. ADR avoids court trial
e. ADR usually involves the participation of a neutral third party
4. Subject Matters of ADR5
In line with the policy to encourage the use of ADR, in general, all adversarial disputes
and controversies can be the subject matter of ADR, except those which by law or
reasons of public policy are declared not capable of being subject to ADR. Under Section
6(b) to (h), RA 9285, the following issues are not susceptible of ADR:
a) The civil status of persons
b) The validity of marriage or any ground for legal separation
c) The jurisdiction of the courts
d) Future legitime
e) Criminal liability
f) In general, those which, by law, cannot be compromised, e.g. Art 2035 of the
Civil Code.
PART III: MEDIATION
1. Mediation Under the ADR Act of 20046
a. Place of Mediation
i. General Rule: Agreement of the Parties as to the venue of mediation
ii. Default Venue: Any place convenient and appropriate to all parties
b. Stages in Mediation
i. General Rule: The parties may choose the procedure that will govern their
mediation.
ii. Default Procedure: (Article 3. 17(d), Rule 5, IRR of RA 9285)
1. Opening statement of the mediator
2. Individual narration by the parties
3. Exchange by the parties
3

Marthe Lois V. Cordia. Alternative Dispute Resolution in the Philippines. Retrieved from
http://ustlawreview.com/pdf/vol.LI/Alternative_Dispute_Resolution_in_the_Philippines.pdf on November 5,
2014.
4
Atty. Gabriel T. Robeniol. Supra. Pp. 12-14
5
Ibid.
6
Ibid. Pp. 29

4. Summary of the issues


5. Generalization and evaluation of option; and
6. Closure
a. By the execution of a settlement agreement by the parties;
b. By the withdrawal of any party from mediation; or
c. By written declaration of the mediator that any further
effort at mediation would not be helpful. ((Article 3. 17(f),
Rule 5, IRR of RA 9285)
c. Confidential and Privileged Nature of Mediation Communication
All information obtained through mediation proceedings are privileged
and confidential in character
d. The Mediator: Duties and Functions
i. Prior to Mediation
1. On Competence
a. General Rule: It is not required that a mediator shall have
special qualifications by background or profession unless the
special qualifications of a mediator are required in the
mediation agreement or by the mediation parties.
b. However, the certified mediator shall:
i. maintain and continually upgrade his/her
professional competence in mediation skills;
ii. ensure that his/her qualifications, training and
experience are known to and accepted by the
parties; and
iii. serve only when his/her qualifications, training and
experience enable him/her to meet the reasonable
expectations of the parties and shall not hold
himself/herself out or give the impression that
he/she has qualifications, training and experience
that he/she does not have. (Article 3.6, Rule 3, IRR
of RA 9385)
2. On Impartiality A mediator shall maintain impartiality.
a. Before accepting a mediation, an individual who is
requested to serve as a mediator shall:
i. make an inquiry that is reasonable under the
circumstances to determine whether there are any
known facts that a reasonable individual would
consider likely to affect the impartiality of the
mediator, including a financial or personal interest
in the outcome of the mediation and any existing or
past relationship with a party or foreseeable
participant in the mediation; and
ii. disclose to the mediation parties any such fact
known or learned as soon as is practical before
accepting a mediation.

b. If a mediator learns any fact described in paragraph (a) (i) of


this Article after accepting a mediation, the mediator shall
disclose it as soon as practicable to the mediation parties.
(Article 3.7, Rule 3, IRR of RA 9385)
ii. During the Mediation
1. Confidentiality:
a. A mediator shall keep in utmost confidence all confidential
information obtained in the course of the mediation
process.
b. A mediator shall discuss issues of confidentiality with the
mediation parties before beginning the mediation process
including limitations on the scope of confidentiality and the
extent of confidentiality provided in any private sessions or
causes that the mediator holds with a party. (Article 3.7,
Rule 3, IRR of RA 9385)
2. Consent and Self-Determination:
a. A mediator shall make reasonable efforts to ensure that
each party understands the nature and character of the
mediation proceedings including private caucuses, the
issues, the available options, the alternatives to nonsettlement, and that each party is free and able to make
whatever choices he/she desires regarding participation in
mediation generally and regarding specific settlement
options.
b. A mediator shall recognize and put in mind that the primary
responsibility of resolving a dispute and the shaping of a
voluntary and uncoerced settlement rests with the parties.
(Article 3.9, Rule 3, IRR of RA 9385)
3. On promotion of respect and control of abuse of process
a. The mediator shall encourage mutual respect between the
parties, and shall take reasonable steps, subject to the
principle of self-determination, to limit abuses of the
mediation process. (Article 3.12, Rule 3, IRR of RA 9385)
e. Mediated Settlement Agreement
i. The concluding document in a successful mediation is called the mediated
settlement agreement or settlement agreement or compromise agreement.
ii. The following principles apply to the concluding agreements:
1. A settlement agreement following successful mediation shall be
prepared by the parties with the assistance of their respective
counsels, if any, and by the mediator.
2. The parties and their respective counsels shall endeavor to make the
terms and condition of the settlement agreement complete and to
make adequate provisions for the contingency of breach to avoid
conflicting interpretations of the agreement.

3. The parties and their respective counsels, if any, shall sign the
settlement agreement. The mediator shall certify that he/she
explained the contents of the settlement agreement to the parties
in a language known to them.
4. If the parties agree, the settlement agreement may be jointly
deposited by the parties or deposited by one party with prior notice
to the other party/ies with the Clerk of Court of the Regional Trial
Court (a) where the principal place of business in the Philippines of
any of the parties is located; (b) if any of the parties is an individual,
where any of those individuals resides; or (c) in the National Capital
Judicial Region. Where there is a need to enforce the settlement
agreement, a petition may be filed by any of the parties with the
same court, in which case, the court shall proceed summarily to
hear the petition, in accordance with the Special ADR Rules.
5. The parties may agree in the settlement agreement that the
mediator shall become a sole arbitrator for the dispute and shall
treat the settlement agreement as an arbitral award which shall be
subject to enforcement under Republic Act No. 876, otherwise
known as "The Arbitration Law", notwithstanding the provisions of
Executive Order No. 1008, s. 1985, otherwise known as the
"Construction Industry Arbitration Law" for mediated disputes
outside of the Construction Industry Arbitration Commission.
(Article 3.20, Rule 8, IRR of RA 9385)

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