ALTERNATIVE

DISPUTE
RESOLUTION (ADR)
Atty. Vir Celito C. Raymundo
CHAPTER 7: OTHER FORMS
OF ADR
Among the various forms of ADR, arbitration and mediation are
undoubtedly the most common and popular. Be that as it may,
parties are allowed to avail of other forms of ADR for the amicable
resolution of their disputes. These forms of ADR are the following:

1. Early neutral evaluation

2. Neutral evaluation
3. Mini-trial
4. Mediation-arbitration
5. Combination
6. And any other ADR form
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.

If the ADR form is akin to mediation than arbitration, the specific

provisions of the IRR on mediation (chapter3) shall have suppletory
application to the extent that they are not in conflict with the
agreement of the parties or the specific provisions of the chosen
ADR form.
 NEUTRAL AND EARLY NEUTRAL EVALUATION

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 the expertise in the subject matter or substance of the
dispute. Early neutral evaluation is availed of early in the pre-trial
phase.

The agreement of the parties shall govern the conduct of neutral or

early neutral evaluation. In default, the provisions of IRR on neutral
or early neutral evaluation shall apply.
Essentially, this kind of ADR is akin to mediation and hence, in the
absence of an agreement between the parties or specific provisions
of the law or rules applicable to them, the rules on mediation shall
apply suppletorily. However, the parties may, in the exercise of their
right to party autonomy and self determination, empower the
neutral 3rd person to render a binding assessment in which case,
these two becomes akin to domestic arbitration, in which case, the
rules on arbitration shall apply suppletorily.
If the parties cannot or fail to agree on the qualifications of the
neutral 3rd person, the manner of his selection, or the appointing
authority or if the parties are unable to make the selection despite
their agreement on the foregoing, either party may request the
default appointing authority to make the appointment.

In neutral evaluation, the parties are required to submit and

exchange position papers containing the issues and statements of
the relevant facts an append there supporting documents and
affidavits of witnesses. In order to maintain 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 assessments shall also be
maintained.

The neutral 3rd person shall issue a written evaluation or

assessment within 30days from the conclusion of the evaluation.
 MINI-TRIAL

Mini-trial is a structured dispute resolution 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 3rd 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: 1. A separate dispute

resolution process; or 2. As a continuation of mediation, or neutral
or early neutral evaluation or any ADR process. In either case, the
presence of a neutral 3rd person can be dispensed with, otherwise
he shall preside over the mini-trial.
The parties shall appoint the panel of senior executive or decision-
makers. They may choose one or more for each party provided that
the parties shall appoint an 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 representatives may offer rebuttal or sur-rebuttal
arguments. The presentation-in-chief shall be made without
interruption for 1hour, and the rebuttal and sur-rebuttal shall be for
30minutes unless a different period is agreed upon by the parties.
Parties may ask clarificatory questions after each presentation.

After the mini-trial, the panel members, with the assistance of

neutral 3rd party, if any, shall negotiate a settlement dispute.
 MEDIATION-ARBITRATION

This kind of ADR is a 2 step dispute resolution process involving

mediation 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 proceedings shall be
governed by the rules on mediation first and thereafter, by the rules on
domestic arbitration.

As a rule, no arbitrator shall act as mediator and no mediator shall act as

arbitrator, at the same time in any proceeding. The mediator appointed
is precluded from acting as arbitrator of the same dispute, unless the
parties have agreed in writing. A mediator is precluded from discussing
with the parties the merits of the dispute. During the dispute stage, the
mediator is authorized in writing to act, as arbitrator shall make an
appropriate disclosure as if the arbitration proceeding had just
commenced. Likewise, he shall take the appropriate oath or affirmation
as an arbitrator.
 COMBINATION AND INNOMINATE FORMS OF ADR

The parties are allowed to avail any combination of ADR forms. The
parties may even come up with their own forms or methods, which
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 agreement, the rules and procedures for mediation are
suppletorily applicable of the combination or innominate ADR form is
akin to mediation. Otherwise, apply the rules of arbitration.