Chapter 7 – Other Forms of ADR
Alternative Dispute Resolution
Atty. David Ballesteros
T/F 530p-830p
TOPICS
• Other Forms of ADR
• Neutral and Early Neutral Evaluation
• Mini-Trial
• Mediation-Arbitration
• Combination and Innominate Forms of ADR
OTHER FORMS OF ADR
§ Early neutral evaluation
§ Neutral evaluation
§ Mini-trial
§ Mediation-arbitration
§ Combination thereof
§ And any other ADR form
❋ NOTE: In consonance with the principle of party
autonomy and self-determination, the provisions
of the IRR on the foregoing forms of ADR apply
only in the absence of an agreement between the
parties or the insufficiency thereof.
→ Rules for the other forms of ADR, in the 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 or mediation for
other forms of ADR akin to arbitration and mediation,
respectively.
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 non-binding assessment by an
experienced neutral person, with expertise in the subject
matter or substance of the dispute.
✰ The parties are required to submit and exchange
position papers containing the issues and
statements of the relevant facts and append thereto
supporting documents and affidavits of witnesses.
✰ In order to maintain the impartiality of the neutral
third person, there shall be no ex parte
communication between him and any party to the
dispute.
✰ Confidentiality of the proceedings, communications
and assessment shall also be maintained.
✰ The neutral third person shall issue a written
evaluation or assessment within thirty (30) days
from the conclusion of the evaluation process.
TABACO BERNALES BOCALAN BORJA
SOURCE:
ADR, ATTY. GABRIEL
ROBENIOL
Generally, his opinion shall not be binding.
However, the neutral third person is required to
set forth how he would have ruled had the
matter been subject to a binding process.
EARLY NEUTRAL EVALUATION
• is availed of early in the pre-trial phase.
MINI-TRIAL
• is a structured dispute resolution method in which the merits
of a case are argued before a panel composed of senior
decision-makers, with or without the presence of a neutral
third person, before which the parties seek a negotiated
settlement.
• The agreement of the parties shall govern the conduct of the
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
o Separate dispute resolution process
o As a continuation of mediation, neutral or early
neutral evaluation or any other ADR process.
→ NOTE: 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
mini-trial.
• The panel of senior executives or decision-makers shall be
appointed by the parties. They may choose one or more for
each party provided that the parties shall appoint on equal
number of senior executives or decision-makers.
• The parties shall submit a brief summary of the dispute,
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
starting with the claimant.
• Thereafter, the lawyers or the parties’ representatives may
offer rebuttal or sur-rebuttal arguments.
o The presentation-in-chief shall be made without interruption
for one (1) hour, and the different period is agreed upon by
the parties. The panel members may ask clarificatory
questions after each presentation, rebuttal or sur-rebuttal.
• After the mini-trial, the panel members, with the assistance
of the neutral third person, shall negotiate a settlement of the
dispute.
MEDIATION-ARBITRATION
• is a two step dispute resolution process involving mediation
and then followed by arbitration.
• 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 proceeding shall 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 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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TABACO BERNALES BOCALAN BORJA