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Chapter 7 – Other Forms of ADR SOURCE:

Alternative Dispute Resolution ADR, ATTY. GABRIEL


Atty. David Ballesteros ROBENIOL
T/F 530p-830p

TOPICS Generally, his opinion shall not be binding.


However, the neutral third person is required to
set forth how he would have ruled had the
• Other Forms of ADR
matter been subject to a binding process.
• Neutral and Early Neutral Evaluation
• Mini-Trial
EARLY NEUTRAL EVALUATION
• Mediation-Arbitration
• is availed of early in the pre-trial phase.
• Combination and Innominate Forms of ADR
MINI-TRIAL

OTHER FORMS OF ADR • is a structured dispute resolution method in which the merits
§ Early neutral evaluation of a case are argued before a panel composed of senior
§ Neutral evaluation decision-makers, with or without the presence of a neutral
§ Mini-trial third person, before which the parties seek a negotiated
§ Mediation-arbitration settlement.
§ Combination thereof • The agreement of the parties shall govern the conduct of the
§ And any other ADR form proceedings, in the absence of which, the provisions of the
IRR on mini-trial shall be applicable.
• A mini-trial may be conducted either as
❋ NOTE: In consonance with the principle of party o Separate dispute resolution process
autonomy and self-determination, the provisions o As a continuation of mediation, neutral or early
of the IRR on the foregoing forms of ADR apply neutral evaluation or any other ADR process.
only in the absence of an agreement between the → NOTE: In either case, the proceedings may
parties or the insufficiency thereof.
be conducted with or without the presence
or participation of a neutral third person. If
→ Rules for the other forms of ADR, in the order of one is chosen, he shall preside over the
applicability, are: mini-trial.
1.The agreement of the parties; • The panel of senior executives or decision-makers shall be
2.Provisions of the IRR specifically applicable to the appointed by the parties. They may choose one or more for
particular form of ADR; and each party provided that the parties shall appoint on equal
3.Provisions of the IRR on arbitration or mediation for number of senior executives or decision-makers.
other forms of ADR akin to arbitration and mediation, • The parties shall submit a brief summary of the dispute,
respectively. identifying the specific factual or legal issues, after which
they shall appear before the mini-trial panel members before
whom their lawyers shall present their respective cases
NEUTRAL EVALUATION starting with the claimant.
• Thereafter, the lawyers or the parties’ representatives may
• is an ADR process wherein the parties and their lawyers offer rebuttal or sur-rebuttal arguments.
are brought together to present summaries of their cases o The presentation-in-chief shall be made without interruption
and to receive a non-binding assessment by an for one (1) hour, and the different period is agreed upon by
experienced neutral person, with expertise in the subject the parties. The panel members may ask clarificatory
matter or substance of the dispute. questions after each presentation, rebuttal or sur-rebuttal.
• After the mini-trial, the panel members, with the assistance
✰ The parties are required to submit and exchange of the neutral third person, shall negotiate a settlement of the
position papers containing the issues and dispute.
statements of the relevant facts and append thereto
supporting documents and affidavits of witnesses. MEDIATION-ARBITRATION
✰ In order to maintain the impartiality of the neutral
third person, there shall be no ex parte • is a two step dispute resolution process involving mediation
communication between him and any party to the and then followed by arbitration.
dispute. • The proceedings shall be governed by the agreement of the
✰ Confidentiality of the proceedings, communications parties. In the absence of an agreement, and in view of its
and assessment shall also be maintained. dual nature, its proceeding shall be governed by the rules on
✰ The neutral third person shall issue a written mediation first, and thereafter, by the rules on domestic
evaluation or assessment within thirty (30) days arbitration.
from the conclusion of the evaluation process. o As a rule, no arbitrator shall act as mediator,
and no mediator shall act as as arbitrator, at
the same time in any proceeding.
o The mediator so appointed is precluded from
acting as arbitrator of the same dispute,

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Chapter 7 – Other forms of ADR ADR

unless the parties have agreed in writing


thereof.
o Perforce, a mediator, while generally
precluded from discussing with the parties the
merits of the dispute, may do so when duly
appointed as an arbitrator in a mediation-
arbitration.
o During the arbitration stage, the mediator who
is authorized in writing to act as arbitrator shall
make an appropriate disclosure as if the
arbitration proceeding had just commenced.
He shall likewise take the appropriate oath or
affirmation as an arbitrator.

COMBINATION AND INNOMINATE FORMS OF ADR

• In the choice of allowable ADR forms, the parties are allowed


to avail of any combination of ADR forms. 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, and are not contrary to law, morals, public
policy, public order and good customs.
• As in the case of the nominate ADR forms, combinations and
innominate ADR forms are governed principally by the
agreement of the parties. In the absence of such agreement,
the rules and procedure for mediation are suppletorily
applicable if the combination or innominate ADR form is akin
to mediation. The rules and procedure for arbitration, on the
other hand, apply suppletorily to combinations and
innominate ADR forms that are akin to arbitration.

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