(CRIM-6) DISPUTE RESOLUTION AND CRISIS\INCIDENT MANAGEMENT

Chapter 1
DISPUTE RESOLUTION SYSTEM

SEGMENT I: CONFLICT

1. What is Conflict?
A conflict is an activity which takes place when conscious beings (individuals or groups) wish to
carry out mutually inconsistent acts
concerning their wants, needs or obligations. (Nicholson, M., 1992)
Conflict may also refer to a natural disagreement or struggle between people which may be
physical, or between conflicting ideas. It can
either be within one person, or they can involve several people or groups. It exists when they have
incompatible goals and one or more believe that the behavior of the other prevents them from their own
goal achievement. The word “Conflict” comes from the Latin word “conflingere” which means to come
together for a battle.

2. What are Conflict Theories?

Conflict theory states that tensions and conflicts arise when resources, status, and power are
unevenly distributed between groups in
society and that these conflicts become the engine for social change. In this context, power can be
understood as control of material resources and accumulated wealth, control of politics and the institutions
that make up society, and one's social status relative to others (determined not just by class but by race,
gender, sexuality, culture, and religion, among other things). (Crossman, 2019)

Conflict theory originated in the work of Karl Marx, who focused on the causes and consequences
of class conflict between the bourgeoisie (the owners of the means of production and the capitalists) and the
proletariat (the working class and the poor). Many social theorists have built on Marx's conflict theory to
bolster it, grow it, and refine it over the years. Many others have drawn on conflict theory to develop other
types of theory within the social sciences, including the following:
1. Feminist theory;
2. Critical race theory;
3. Postmodern theory and postcolonial theory;
4. Queer theory;
5. Post-structural theory, and
6. Theories of globalization and world systems.

So, while initially conflict theory described class conflicts specifically, it has lent itself
over the years to studies of how other kinds of conflicts, like those premised on race, gender,
sexuality, religion, culture, and nationality, among others, are a part of contemporary social
structures, and how they affect our lives.

3. What are the Conflict Resolution Strategies?

Kenneth Thomas and Ralph Kilmann (2015) developed five
conflict
resolution strategies Thomas – Kilmann Instrument or more generally
known as TKI Conflict Strategies that people use to handle conflict,
including avoiding, defeating, compromising, accommodating, and
collaborating.
The Thomas-Kilmann Instrument is designed to measure a
person’s
behavior in conflict situations. “Conflict situations” are those in which
the concerns of two people appear to be incompatible.
In such conflict situations, an individual’s behavior can be
described along
two dimensions: (1) assertiveness, the extent to which the person attempts to satisfy his own concerns, and
(2) cooperativeness, the extent to which the person attempts to satisfy the other person’s concerns.
The following are the five (5) Conflict Resolution Strategies:

a.Conflict Resolution Strategy #1: Avoiding

This is unassertive and uncooperative. The person neither pursues his own concerns nor those of the
other individual. Thus, he does not deal with the conflict. Avoiding might take the form of

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 diplomatically sidestepping an issue, postponing an issue until a better time, or simply withdrawing
from a threatening situation.

Avoiding is when people just ignore or withdraw from the conflict. They choose this method when
the discomfort of confrontation exceeds the potential reward of resolution of the conflict. While this
might seem easy to accommodate for the facilitator, people are not really contributing anything of value
to the conversation and may be withholding worthwhile ideas. When conflict is avoided, nothing is
resolved. b. Conflict Resolution Strategy #2: Competing
This is assertive and uncooperative. An individual pursues his own concerns at the other person’s
expense. This is a power-oriented mode in which you use whatever power seems appropriate to win your
own position—your ability to argue, your rank, or economic sanctions. Competing means “standing up for
your rights,” defending a position which you believe is correct, or simply trying to win. Competing is used
by people who go into a conflict planning to win. Competing might work in sports or war, but it’s rarely a
good strategy for group problem solving. c. Conflict Resolution Strategy #3: Accommodating
This is unassertive and cooperative—the complete opposite of competing. When accommodating, the
individual neglects his own concerns to satisfy the concerns of the other person; there is an element of
self-sacrifice in this mode. Accommodating might take the form of selfless generosity or charity,
obeying another person’s order when you would prefer not to, or yielding to another’s point of view.
Also, accommodating is a strategy where one party gives in to the wishes or demands of another. They
are being cooperative but not assertive. This may appear to be a gracious way to give in when one figures
out s/he has been wrong about an argument. It is less helpful when one party accommodates another
merely to preserve harmony or to avoid disruption. Like avoidance, it can result in unresolved issues. Too
much accommodation can result in groups where the most assertive parties commandeer the process and
take control of most conversations. d. Conflict Resolution Strategy #4: Collaborating
It is both assertive and cooperative—the complete opposite of avoiding. Collaborating involves an
attempt to work with others to find some solution that fully satisfies their concerns. It means digging
into an issue to pinpoint the underlying needs and wants of the two individuals. Collaborating between
two persons might take the form of exploring a disagreement to learn from each other’s insights or
trying to find a creative solution to an interpersonal problem.

A group may learn to allow each participant to contribute with the possibility of co-creating a
shared solution that everyone can support. e. Conflict Resolution Strategy #5: Compromising
It is moderate in both assertiveness and cooperativeness. The objective is to find some expedient,
mutually acceptable solution that partially satisfies both parties. It falls intermediate between
competing and accommodating. Compromising gives up more than competing but less than
accommodating. Likewise, it addresses an issue more directly than avoiding, but does not explore it in
as much depth as collaborating. In some situations, compromising might mean splitting the difference
between the two positions, exchanging concessions, or seeking a quick middleground solution.
The concept of this is that everyone gives up a little bit of what they want, and no one gets everything
they want. The perception of the best outcome when working by compromise is that which “splits the
difference.” Compromise is perceived as being fair, even if no one is particularly happy with the
outcome.

SEGMENT II: ALTERNATIVE

DISPUTE RESOLUTION (ADR) 4. What is Republic Act No. 9285?
This Act is known as the "Alternative
Dispute Resolution Act of 2004." 5. What is the policy
of the State regarding Alternative Dispute Resolution
(ADR)?
It is hereby declared the policy of the State to actively promote party autonomy in the resolution of
disputes or the freedom of the party to
make their own arrangements to resolve their disputes. Towards this end, the State shall encourage and
actively promote the use of Alternative Dispute Resolution (ADR) as an important means to achieve
speedy and impartial justice and declog court dockets. As such, the State shall provide means for the use of
ADR as an efficient tool and an alternative procedure for the resolution of appropriate cases. Likewise, the
State shall enlist active private sector participation in the settlement of disputes through ADR.
6.Does RA 9285 limits the power of the Supreme Court to adopt any ADR System?
No. This Act shall be without prejudice to the adoption by the Supreme Court of any ADR system,
such as mediation, conciliation,
arbitration, or any combination thereof as a means of achieving speedy and efficient means of resolving
cases pending before all courts in the Philippines which shall be governed by such rules as the Supreme Court
may approve from time to time. (Sec. 2, RA 9285) 7. What is Alternative Dispute Resolution?

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 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 under RA 9285, 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, par. a, RA 9285)
8. What is Arbitration?
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 RA 9285, resolve a dispute by rendering an
award. (Sec. 3, par. d, RA 9285) Note: Award means any partial or final decision by an
arbitrator in resolving the issue or controversy.
9. Who is an Arbitrator?
Arbitrator means the person appointed to render an award, alone or with others, in a dispute that is
the subject of an arbitration agreement.
(Sec. 3, par.
e, RA 9285) 10.
What is Early
Neutral
Evaluation?
This 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, par. n, RA 9285)
11. What is Mediation?
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, par. q, RA 9285) 12. Who is a Mediator?
Mediator means a person who conducts mediation. (Sec. 3, par. r, RA 9285)
13. What is Mediation Party?
This means a person who participates in a mediation and whose consent is necessary to resolve
the dispute. (Sec. 3, par. s, RA 9285) 14. What is Mediation-Arbitration?
"Mediation-Arbitration" or Med-Arb is a step dispute resolution process involving both mediation
and arbitration. (Sec. 3, par. t, RA 9285) 15. What is Mini-trial?
This 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 (Sec. 3, par. u, RA 9285) 16. How arbitration, mediation and conciliation are
different from each other?
Arbitration, mediation and conciliation are the main Alternative Dispute Resolution Mechanism
which is generally adopted by the people to
resolve their disputes in an informal manner. They try to reach a solution by settlement or negotiation with
the assistance of a third neutral party and have turned out to be an effective alternative to the litigation
process.
Arbitration is a process where the parties submit their case to a neutral third party who on the basis
of discussion determine the dispute and
comes to a solution.
Mediation and conciliation both are an informal process. Whereas, arbitration is more formal as
compared to them. In mediation, the
mediator generally sets out alternatives for the parties to reach out an agreement. The main advantage of
the mediation is that the settlement is made by the parties themselves rather than a third party. It is not
legally binding on the parties. In addition, the basic motive of mediation is to provide opportunities to
parties to negotiate and come to a final solution catering the needs of both sides.
Dispute resolution through conciliation involves the assistance of a neutral third party who plays an
advisory role in reaching an agreement. The process adopted by all the three are different but, the main
purpose is to resolve the dispute in a way where the interest of the parties is balanced.
17. What is ADR Provider?
"ADR Provider" means institutions or persons accredited as mediator, conciliator, arbitrator,
neutral evaluator, or any person exercising
similar functions in any Alternative Dispute Resolution system. This is without prejudice to the rights of
the parties to choose nonaccredited individuals to act as mediator, conciliator, arbitrator, or neutral evaluator of
their dispute. (Sec. 3, par. b, RA 9285) 18. What is the liability of ADR providers/Practitioners?
The ADR provides /practitioners shall have the same civil liability for acts done in the performance
of their official duties as that of public
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 officers as provided in Section 38 (1), Chapter 9, Book 1 of the Administrative Code of 1987, upon a clear
showing of bad faith, malice or gross negligence. (Article 1.5, IRR, RA 9285)

19. What are the cases wherein Republic Act No. 9285 does not apply?
The provisions of RA 92856 shall not apply to resolution or settlement of the following:
a. Labor disputes covered by Presidential Decree No. 442, otherwise known as the Labor Code of the
Philippines, as amended and its
Implementing Rules and Regulations;
b. The civil status of persons;
c. The validity of a marriage;
d. Any ground for legal separation;
e. The jurisdiction of courts;
f. Future legitime;
g. Criminal liability;
h. Those which by law cannot be compromised; and
i. Those disputes referred to court-annexed mediation. (Article 1.3, IRR, RA 9285)

SEGMENT III: THE OFFICE FOR ALTERNATIVE DISPUTE RESOLUTION

20. What is the Office for Alternative Dispute Resolution?
The Office for Alternative Dispute Resolution (OADR) is as an agency attached to the Department
of Justice. It shall have a Secretariat and
shall be headed by an Executive Director, who shall be appointed by the President of the Philippines, taking
into consideration the recommendation of the Secretary of Justice. (Article 2.1., IRR, RA 9285)
21. What are the powers of the OADR?
The OADR shall have the following powers:
a. To act as appointing authority of mediators and arbitrators when the parties agree in writing that it
shall be empowered to do so;
b. To conduct seminars, symposia, conferences and other public fora and publish proceedings of said
activities and relevant materials/information that would promote, develop and expand the use of
ADR;
c. To establish an ADR library or resource center where ADR laws, rules and regulation,
jurisprudence, books, articles and other information about ADR in the Philippines and elsewhere
may be stored and accessed;
d. To establish training programs for ADR providers/practitioners, both in the public and private
sectors; and to undertake periodic andcontinuing training programs for arbitration and mediation
and charge fees on participants. It may do so in conjunction with or in cooperation with the IBP,
private ADR organizations, and local and foreign government offices and agencies and
international organizations;
e. To certify those who have successfully completed the regular professional training programs
provided by the OADR;
f. To charge for services rendered such as, among others, for training and certifications of ADR
providers;
g. To accept donations, grants and other assistance from local and foreign sources; and
h. To exercise such other powers as may be necessary and proper to carry into effect the provisions of
the ADR Act. (Art. 2.2., IRR, RA 9285)
22. What are the functions of OADR?
The OADR shall have the following functions:
a. To promote, develop and expand the use of ADR in the private and public sectors through
information, education and communication;
b. To monitor, study and evaluate the use of ADR by the private and public sectors for purposes of,
among others, policy formulation;
c. To recommend to Congress needful statutory changes to develop, strengthen and improve ADR
practices in accordance with international professional standards;
d. To make studies on and provide linkages for the development, implementation, monitoring and
evaluation of government and private ADR programs and secure information about their respective
administrative rules/procedures, problems encountered and how they were resolved;
e. To compile and publish a list or roster of ADR providers/practitioners, who have undergone
training by the OADR, or by such training providers/institutions recognized or certified by the
OADR as performing functions in any ADR system. The list or roster shall include the addresses,
contact numbers, e-mail addresses, ADR service/s rendered (e.g. arbitration, mediation) and
experience in ADR of the ADR providers/practitioners;
f. To compile a list or roster of foreign or international ADR providers/practitioners. The list or roster
shall include the addresses, contact numbers, e-mail addresses, ADR service/s rendered (e.g.
arbitration, mediation) and experience in ADR of the ADR providers/practitioners; and

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 g. To perform such other functions as may be assigned to it. (Art. 2.3., IRR, RA 9285)
23. State the Divisions of OADR.
The OADR shall have the following staff and service divisions, among others:
a. Secretariat – shall provide necessary support and discharge such other functions and duties as may
be directed by the Executive Director.
b. Public information and Promotion Division – shall be charged with the dissemination of
information, the promotion of the importance and public acceptance of mediation, conciliation,
arbitration or any combination thereof and other ADR forms as a means of achieving speedy and
efficient means of resolving all disputes and to help in the promotion, development and expansion
of the use of ADR.
c. Training Division – shall be charged with the formulation of effective standards for the training of
ADR practitioners; conduct of training inaccordance with such standards; issuance of certifications
of training to ADR practitioners and ADR service providers who have undergone the professional
training provided by the OADR; and the coordination of the development, implementation,
monitoring and evaluation of government and private sector ADR programs.
d. Records and Library Division – shall be charged with the establishment and maintenance of a
central repository of ADR laws, rules and regulations, jurisprudence, books, articles, and other
information about ADR in the Philippines and elsewhere. (Art. 2.4., IRR, RA 9285)
24. What is Advisory Council? State its composition.
There is also created an Advisory Council composed of a
representative from each of the following: a. Mediation
profession;
b. Arbitration profession;
c. ADR organizations;
d. IBP; and
e. Academe.
The members of the Council, who shall be appointed by the Secretary of Justice upon the
recommendation of the OADR Executive Director, shall choose a Chairman from among themselves. (Art.
2.5., IRR, RA 9285)

25. What is the role of the Advisory Council?

The Advisory Council shall advise the Executive Director on policy, operational and other relevant
matters. The Council shall meet regularly,
at least once every two (2) months, or upon call by the Executive Director. (Art. 2.6., IRR, RA 9285)

SEGMENT IV: MEDIATION

26. What are the Terms Applicable to the Segment/Discussion on International Commercial Arbitration?
Explain. Terms and Applicable to the Chapter Mediation
1. Ad hoc Mediation means any mediation other than institutional or court-annexed.
2. Institutional Mediation means any mediation process conducted under the rules of a mediation institution.
3. Court-Annexed Mediation means mediation process conducted under the auspices of the court and in
accordance with Supreme Court approvedguidelines, after such court has acquired jurisdiction of the
dispute.
4. Court-Referred Mediation means mediation ordered by a court to be conducted in accordance with the
agreement of the parties when an action isprematurely commenced in violation of such agreement.
5. Certified Mediator means a mediator certified by the Office for ADR as having successfully completed
its regular professional training program.
6. Mediation means a voluntary process in which a mediator, selected by the disputing party voluntary
agreement regarding a dispute.
7. Mediation Party means a person who participates in a mediation and whose consent is necessary to
resolve the dispute.
8. Mediator means a person who conducts mediation.
9. Non-Party Participant means a person, other than a party or mediator, who participates in a mediation
proceeding as a witness, resource person orexpert. (Rule 2, par. B, IRR, RA 9285)
27. What is the scope of application of the Implementing Rules?
These Rules apply to voluntary mediation, whether ad hoc or institutional, other than court-
annexed mediation and only in default of an
agreement of the parties on the applicable rules.
These Rules shall also apply to all cases pending before an administrative or quasi-judicial agency
that are subsequently agreed upon by
the parties to be referred to mediation. (Article 3.1., IRR, RA 9285)
28. Define Ad hoc, Institutional and Court-Annexed Mediation.
1. Ad hoc Mediation means any mediation other than institutional or court-annexed.
2. Institutional Mediation means any mediation process conducted under the rules of a mediation institution.

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 3. Court-Annexed Mediation means mediation process conducted under the auspices of the court and in
accordance with Supreme Court approvedguidelines, after such court has acquired jurisdiction of the
dispute.
29. What is the State policy on Mediation?
In applying and construing the provisions of these Rules, consideration must be given to the need
to promote candor of parties and
mediators through confidentiality of the mediation process, the policy of fostering prompt, economical and
amicable resolution of disputes in accordance with principles of integrity of determination by the parties
and the policy that the decision-making authority in the mediation process rests with the parties.
A party may petition a court before which an action is prematurely brought in a matter which is the
subject of a mediation agreement, if at
least one party so requests, not later than the pre-trial conference or upon the request of both parties
thereafter, to refer the parties to mediation in accordance with the agreement of the parties. (Article 3.2.,
IRR, RA 9285)
 SELECTION OF A MEDIATOR
30. Do parties have the right to select a Mediator?
Yes. The parties have the freedom to select a mediator. The parties may request the Office for
Alternative Dispute Resolution (OADR) to
provide them list or roster or the resumes of its certified mediators. The OADR may be requested to inform
the mediator of his/her selection. (Article 3.3., IRR, RA 9285)
31. Is it required that a Mediator has special qualifications by background or profession?
As a Rule, ADR act does not require 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. (Sec. 13, RA 9285) 32. May a party waive his right to participate in
Mediation?
Yes, except as otherwise provided in RA 9285, a party may designate a lawyer or any other person
to provide assistance in the mediation.
A lawyer of this right shall be made in writing by the party waiving it. A waiver of participation or legal
representation may be rescinded any time. (Sec. 14, RA 9285)
Note: Rescind means to revoke or cancel.
33. When a Mediator be replaced?
If the mediator selected is unable to act as such for any reason, the parties may, upon being
informed of such fact, select another mediator. (Article 3.4., IRR, RA 9285)
34. What are the grounds wherein a Mediator may refuse or withdraw such?
A mediator may refuse from acting as such, withdraw or may be compelled to withdraw from
mediator proceedings under the following
circumstances:
a. If any of the parties so requests the mediator to withdraw;
b. The mediator does not have the qualifications, training and experience to enable him/her to meet
the reasonable expectations of the parties; c. Where the mediator's impartially is in question;
d. If continuation of the process would violate any ethical standards;
e. If the safety of any of the parties would be jeopardized;
f. If the mediator is unable to provide effective services;
g. In case of conflict of interest; and
h. In any of the following instances, if the mediator is satisfied that:
1. One or more of the parties is/are not acting in good faith;
2. The parties' agreement would be illegal or involve the commission of a crime;
3. Continuing the dispute resolution would give rise to an appearance of impropriety;
4. Continuing with the process would cause significant harm to a non-participating person or to
the public; or
5. Continuing discussion would not be in the best interest of the parties, their minor children or
the dispute resolution process. (Article 3.5., IRR, RA 9285)
 ETHICAL CONDUCT OF A MEDIATOR
35. Explain the following terms as Ethical Conduct of a Mediator:
1. Competence
It is not required that a mediator shall have special qualifications by background or
profession unless the special qualifications of a
mediator shall:
a. maintain the continually upgrade his/her professional competence in mediation skills;
b. ensure that his/her qualifications, training and experience are known to and accepted by
the parties; and

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 c. 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 does not have.

Upon the request of a mediation party, an individual who is requested to serve as mediator
shall disclose his/her qualifications to
mediate a dispute.
(Article 3.5., IRR, RA
9285) 2.
Impartially
A mediator shall maintain impartiality.
a. Before accepting a mediation, an individual who is requested to serve as a mediator shall:

• make an inquiry that is reasonable under the circumstances to determine whether

there are 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 of
foreseeable participant in the mediation; and
• disclose to the mediation parties any such fact known or learned as soon as
practical before accepting a mediation.
b. If a mediator learns any fact described in paragraph (a) of this Article after accepting a mediation,
the mediator shall disclose it as soon as practicable to the mediation parties. (Article 3.7., IRR, RA
9285)
3. Confidentiality
A mediator shall keep in utmost confidence all confidential information obtained in the
course of the mediation process.
a. A mediator shall discuss issues of confidentiality and the extent of confidentiality provided in any
private sessions or caucuses that the mediator holds with a party. (Article 3.8., IRR, RA 9285)
4. Consent and Self-Determination
a. A mediator shall make reasonable efforts to ensure that each party understands the nature and
character of the mediation proceeding including private caucuses, the issues, the available options,
the alternatives to non-settlement, 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.
If a mediator believes that a party, who is not represented by counsel, is unable to
understand, or fully participate, the mediation proceedings for any reason, a mediator
may either:
 limit the scope of the mediation proceedings in a manner consistent with the
party's ability to participate, and/or recommend that the party obtain appropriate
assistance in order to continue with the process; or  terminate the mediation
proceedings.
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., IRR, RA
9285)
5. Separation of Mediation from Counseling and Legal Advice
a.Except in evaluative mediation or when the parties so request, a mediator shall:
• refrain from giving legal or technical advice and otherwise engaging in
counseling or advocacy; and
• abstain from expressing his/her personal opinion on the rights and duties of the
parties and the merits of any proposal made.
b.Where appropriate and where either or both parties are not represented by counsel, a mediator shall;
• recommend that the parties seek outside professional advice to help them make
informed decision and to understand the implication of any proposal; and
• suggest that the parties seek independent legal and/or technical advice before a
settlement agreement is signed.
c. without the consent of al parties, and for a reasonable time under the particular circumstance, a
mediator who also practices another profession shall not establish a professional relationship in that
other profession with one of the parties, or any person or entity, in a substantially and factually
related matter. (Article 3.10., IRR, RA 9285)
3. Charging of Fees.
With respect to charging of fees:
a. A mediator shall fully disclose and explain to the parties the basis of cost, fees and charges.
b. The mediator who withdraws from the mediation shall return to the parties any unearned fee and
unused deposit.
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 c. A mediator shall not enter into a fee agreement, which is contingent upon the results of the
mediation or the amount of the settlement. (Article 3.11., IRR, RA 9285)
4. Promotion of Respect and Control of Abuse of Process.
The mediator shall encourage mutual respect between the parties, and shall take reasonable
steps, subject to the principle of selfdetermination, to limit abuses of the mediation process.
(Article 3.12., IRR, RA 9285)
5. Solicitation or Acceptance of any Gift.
No mediator or any member of a mediator’s immediate family or his/her agent shall
request, solicit, receive or accept any gift or any type of compensation other than the agreed fee
and expenses in connection with any matter coming before the mediator. (Article
3.13., IRR, RA 9285)

 ROLE OF PARTIES AND THEIR COUNSELS IN MEDIATION

36. May a party designate a lawyer to assist him in Mediation?
Yes, except as otherwise provided by the ADR Act or by there Rules, a party may designate a
lawyer or any other person to provide
assistance in the mediation. A waiver of this right shall be made in writing by the party waiving it. A waiver
of participation or legal representation may be rescinded at any time. (Article 3.14., IRR, RA 9285)
37. Enumerate the Roles of a Counsel in Mediation proceedings.
a. The lawyer shall view his/her role in the mediation as a collaborator with the other lawyer in
working together toward the common goal of helping their clients resolve their differences to their
mutual advantage.
b. The lawyer shall encourage and assist his/her client to actively participate in positive discussions
and cooperate in crafting an agreement to resolve their dispute.
c. The lawyer must assist his/her client to comprehend and appreciate the mediation process and its
benefits, as well as the client’s greater personal responsibility for the success of mediation in
resolving the dispute.
d. In preparing for participation in mediation, the lawyer shall confer and discuss with his/her client
the following:
• The mediation process as essentially a negotiation between the parties assisted by
their respective lawyers, and facilitated by a mediator, stressing it its difference
from litigation, its advantages and benefits, the clients heightened role in mediation
and responsibility for its success and explaining the role of the lawyer in mediation
proceedings,
• The substance of the upcoming mediation such as; o The substantive issues
involved in the dispute and their prioritization in terms of importance to his/her
client’s real interests and needs.
o The study of other party’s position in relation to the issues with a view to
understanding the underlying interests, fears,concerns and needs;
o The information or facts to be gathered or sought from the other side or to be
exchanged that are necessary for informeddecision-making;
o The possible options for settlement but stressing the need to be open-minded about
other possibilities; ando The best, worst and most likely alternative to a non-negotiated
settlement. (Article 3.15., IRR, RA 9285)
38. What other matters a Counsel must do to assist in the Mediation?
To assist in the Mediation, the lawyer:
a. shall give support to the mediator so that his/her client will fully understand the rules and
processes of mediation;
b. shall impress upon his/her client the importance of speaking for himself/herself and taking
responsibility for making decisions during the negotiations within the mediation process.;
c. may ask for a recess in order to give advice or suggestions to his/her client in private, if he/she
perceives that his/her client is unable to bargain effectively; and
d. shall assist his/her client and the mediator put in writing the terms of the settlement agreement
that the parties have entered into. That lawyers shall see to it that the terms of the settlement
agreement are not contrary to law, morals, good customs, public order or public policy. (Article
3.16., IRR, RA 9285)
 CONDUCT OF MEDIATION
39. What are the articles to be considered in the
conduct of Mediation? The articles to be
considered in the conduct of Mediation are
the following:
a. The mediator shall not make untruthful or exaggerated claims about the dispute resolution process,
its costs and benefits, its outcome or the mediator’s qualifications and abilities during the entire
mediation process.
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 b. The mediator shall held the parties reach a satisfactory resolution to their dispute but has no
authority to impose a settlement on the parties.
c. The parties shall personally appear for mediation and may be assisted by a lawyer. A party maybe
represented by an agent who must have full authority to negotiate and settle the dispute.
d. The mediation process shall, in general, consists of the following stages:
• opening statement of the mediator
• individual narration by the parties;
• exchange by the parties;
• summary of issues;
• generation and evaluation of options; and
• closure

e. The mediation proceeding shall be held in private. Person, other than the parties, their
representatives and mediator, may attend only withthe consent of all the parties,

f. the mediation shall be closed:

• by the execution of a settlement agreement by the parties;
• by the withdrawal of any party from mediation; and
• by the written declaration of the mediator that any further effort at
mediation would not be helpful. (Article 3.17., IRR, RA 9285) 40. Where is the place of
Mediation?
The parties are free to agree on the place of mediation. Failing such agreement, the place of
mediation shall be any place convenient and
appropriate to all parties. (Article 3.18., IRR, RA 9285)
 EFFECT OF AGREEMENT TO SUBMIT A DISPUTE TO MEDIATION UNDER INSTITUTIONAL
RULES
41. What does an agreement to submit a dispute to mediator by an institution include?
An agreement to submit a dispute to mediation by an institution shall include an agreement to be
bound by the internal mediation and
administrative policies of such institution. Further, an agreement to submit a dispute to mediation under
institutional mediation rules shall be deemed to include an agreement to have such rules govern the
mediation of the dispute and for the mediator, the parties, their respective counsels and nonparty
participants to abide by such rules. (Article 3.19., IRR, RA 9285)

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 ENFORCEMENT OF MEDIATED SETTLEMENT AGREEMENT
42. What are the operative principles to guide Mediation?
The mediation shall be guided by the following operative principles:
a. 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. The parties
and their respective counsels shall endeavor to make the terms and condition of the
settlement agreement complete and to make adequate provision for the contingency of
breach to avoid conflicting interpretations of the agreement.
b. 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.
c. If the parties agree, the settlement agreement may be jointly deposited by the parties or
deposited by one party with prior notice to theother party/ties 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.
d. 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 know as
"The Arbitration Law", notwithstanding the provisions of Executive Order No. 1008, s.
1985, other wise known as the "Construction Industry
Arbitration Law" for mediated disputes outside the Construction Industry Arbitration
Commission. (Article 3.20., IRR, RA 9285)
 CONFIDENTIALITY OF INFORMATION
43. What are the principles and guidelines on the information obtained through Mediation?
Information obtained through mediation proceedings shall be subject to the following principles
and guidelines:
a. Information obtained through mediation shall be privileged and confidential.
b. A party, mediator, or non-party participant may refuse to disclose and may prevent any
other person from disclosing a confidential information.
c. Confidential information shall not be subject to discovery and shall be inadmissible in
any adversarial proceeding, whether judicial or quasijudicial. However, evidence or
information that is otherwise admissible or subject to discovery does not become
inadmissible or protected from discovery solely by reason of its use in a mediation.
d. In such an adversarial proceeding, the following persons involved or previously involved
in a mediation may not be compelled to disclosed confidential information obtained
during the mediation:
• the parties to the dispute;
• the mediator or mediators;
• the counsel for the parties;
• the non-party participants
• any person hired or engaged in connection with the mediation as secretary,
stenographer, clerk or assistant; and  any other person who obtains or possesses
confidential information by reason of his/her profession.
e. The protections of the ADR Act shall continue to apply even if a mediator is found to
have failed to act impartially.
f. A mediator may not be called to testify to provide confidential information gathered in
mediation. A mediator who is wrongfully subpoenaed shall be reimbursed the full cost of
his/her attorney’s fees and related expenses. (Article 3.21., IRR, RA 9285)
44. May the privilege of confidentiality of information be waived?
Yes, under the following circumstances, a privilege of confidentiality of information is
deemed waived:
a. A privilege arising from the confidentiality of information may be waived in a record or
orally during a proceeding by the mediator and the mediation parties.
b. With the consent of the mediation parties, a privilege arising from the confidentiality of
information may likewise be waived by a non-party participant if the information is
provided by such non-party participant.
 c. A person who discloses confidential information shall be precluded from asserting the
privilege under Article 3.21 (Confidentiality of Information) to bar disclosure of the rest
of the information necessary to a complete understanding of the previously disclosed
information. If a person suffers loss or damage as a result of the disclosure of the
confidential information, he/she shall be entitled to damages in a judicial proceeding
against the person who made the disclosure.
d. A person who discloses or makes a representation about a mediation is precluded from
asserting the privilege mentioned in Article 3.21 to the extent that the communication
prejudices another person in the proceeding and it is necessary for the person prejudiced
to respond to the representation or disclosure. (Article 3.22., IRR, RA 9285)
45. What are the exceptions to the privilege of confidentiality of information?
a. There is no privilege against disclosure under Article 3.21 in the following instances:
• in an agreement evidenced by a record authenticated by all parties to the agreement;
• available to the public or made during a session of a mediation which is open, or is
required by law to be open, to the public;
• a threat or statement of a plan to inflict bodily injury or commit a crime of violence;
• intentionally used to plan a crime, attempt to commit, or commit a crime, or conceal
an ongoing crime or criminal activity.
• sought or offered to prove or disprove abuse, neglect, abandonment or exploitation
in a proceeding in which a public agency is protecting the interest of an individual
protected by law; but this exception does not apply where a child protection matter is
referred to mediation by a court or where a public agency participates in the child
protection mediation;
• sought or offered to prove or disapprove a claim or complaint of professional
misconduct or malpractice filed against a party, non-party participant, or
representative of a party based on conduct occurring during a mediation.

b. If a court or administrative agency finds, after a hearing in camera, that the party seeking
discovery of the proponent of the evidence has shown that the evidence is not otherwise
available, that there is a need for the evidence that substantially outweighs the interest in
protecting confidentially, and the mediation communication is sought or offered in:
• a court proceeding involving a crime or felony; or
• a proceeding to prove a claim or defense that under the law is sufficient to
reform or avoid a liability on a contract arising out of the mediation.
c. A mediator may not be compelled to provide evidence of a mediation communication or
testify in such proceeding.
d. If a mediation communication is not privileged under an exception in sub-section (a) or
(b) hereof, only the portion of the communication necessary for the application of the
exception for non-disclosure may be admitted. The admission of a particular evidence
for the limited purpose of an exception does not render that evidence, or any other
mediation communication, admissible for any other purpose. (Article 3.23., IRR, RA
9285)
46. May a Mediator be allowed to make a report to communicate matters regarding Mediation?
As a Rule, NO. A mediator may not make a report, assessment, evaluation,
recommendation, finding or other communication regarding a
mediation to a court or agency or other authority that may make a ruling on a dispute that is the
subject of a mediation, except:
a. to state that the mediation occurred or has terminated, or where a settlement was
reached; or
b. as permitted to be disclosed under Article 3.23 (Exception to the Privilege of
Confidentiality of Information).
The parties may, by an agreement in writing, stipulate that the settlement agreement shall be sealed and
not disclosed to any third party
including the court. Such stipulation, however, shall not apply to a proceeding to enforce or set
aside the settlement agreement. (Article 3.24., IRR,
RA 9285)

 FEES AND COST OF MEDIATION

47. In Ad Hoc Mediation, what are the rules on Fees and Cost?
In ad hoc mediation, the parties are free to make their own arrangement as to mediation cost and fees. In
default thereof, the schedule of
cost and fees to be approved by the OADR shall be
followed. (Article 3.25., IRR, RA 9285) 48. In
Institutional Mediation, what does mediation cost
include?
In institutional mediation, mediation cost shall include the administrative charges of the mediation
institution under which the parties have
agreed to be bound, mediator’s fees and associated expenses, if any. In default of agreement of
the parties as to the amount and manner of payment of mediation’s cost and fees, the same shall be
determined in accordance with the applicable internal rules of the mediation service providers under
whose rules the mediation is conducted. (Article 3.26., IRR, RA 9285) 49. What are the factors in
determining mediation fee?
A mediation service provider may determine such mediation fee as is reasonable taking into consideration
the following factors, among
others:
a. the complexity of the case;
b. the number of hours spent in mediation; and
c. the training, experience and stature of mediators. (Article 3.26., IRR, RA 9285)

SEGMENT V: INTERNATIONAL COMMERCIAL ARBITRATION

50. What are the Terms Applicable to the Segment/Discussion on International Commercial
Arbitration? Explain.
Terms Applicable to the Chapter on International Commercial Arbitration:
1. Appointing Authority as used in the Model Law shall mean the person or institution named in
the arbitration agreement as the appointing authority;or the regular arbitration institution under
whose rules the arbitration is agreed to be conducted. Where the parties have agreed to submit
their dispute to institutional arbitration rules and unless they have agreed to a different
procedure, they shall be deemed to have agreed to the procedure under such arbitration rules
for the selection and appointment of arbitrators. In ad hoc arbitration, the default appointment
of an arbitrator shall be made by the National President of the Integrated Bar of the
Philippines (IBP) or his /her duly authorized representative.
2. Arbitral Tribunal (under the Model Law) means a sole arbitrator or a panel of arbitrators.
3. Arbitration means any arbitration whether or not administered by a permanent arbitration
institution.
4. Commercial Arbitration means an arbitration that covers matters arising from all relationships
of a commercial nature, whether contractual or not.Relationships of a commercial nature
include, but are not limited to, the following commercial transactions: any trade transaction
for the supply or exchange of goods or services; distribution agreements; construction of
works; commercial representation or agency; factoring; leasing; consulting; engineering;
licensing; investment; financing; banking; insurance; joint venture and other forms of
industrial or business cooperation; carriage of goods or passengers by air, sea rail or road.
5. Convention Award means a foreign arbitral award in a Convention State.
6. Convention State means a state that is a member of the New York Convention.
7. Court (under the Model Law) means a body or organ of the judicial system of the Philippines
(i.e., the Regional Trial Court, Court of Appeals andSupreme Court).
8. International Arbitration means an arbitration where:
a. the parties to an arbitration agreement have, at the time of the conclusion of that
agreement, their places of business in different states; or
b. one of the following places is situated outside the Philippines in which the parties have
their places of business:
• the place of arbitration if determined in, or pursuant to , the arbitration agreement;
• any place where a substantial part of the obligations of the commercial relationship
is to be performed or the place with the subject matter of the dispute is most closely
connected; or
c. the parties have expressly agreed that the subject matter of the arbitration agreement
relates to more than one country.
For this purpose:
 (a) if a party has more than one place of business, the place of business is that which has the
closest relationship to the arbitration agreement; (b) if a party does not have a place of
business, reference is to be made to his/her habitual residence.
9. New York Convention means the United Nations Convention of the Recognition and
Enforcement of Foreign Arbitral Awards approved in 1958 andratified by the Philippine
Senate under Senate Resolution No.71.
10. Non-Convention Award means a foreign arbitral ward made in a state, which is not a
Convention State.
11. Non-Convention State means a state that is not a member of the New York Convention. (Rule
2, par. C, IRR, RA 9285) 51. What is the scope of application of Chapter 4 of the IRR of RA
9285 on International Commercial Arbitration?
a. It applies to international commercial arbitration, subject to any agreement in force
between the Philippines and other state or states.
b. It applies only if the place or seat of arbitration is the Philippines and in default of any
agreement of the parties on the applicable rules.
c. It shall not affect any other law of the Philippines by virtue of which certain disputes
may not be submitted to arbitration or may be submitted to arbitration only according to
provisions other than those of the ADR Act. (Article 4.1., IRR, RA 9285)
52. Cite the Rules on International Commercial Arbitration.
The following are the rules of interpretation in international commercial arbitration:
a. International commercial arbitration shall be governed by the Model Law on
International Commercial Arbitration.
b. In interpreting this Chapter, regard shall be had to the international origin of the Model
Law and to the need for uniformity in itsinterpretation. Resort may be made to the
travaux preparatoires and the Report of the Secretary-General of the United Nations
Commission on International Trade Law dated March 1985 entitled, "International
Commercial Arbitration: Analytical Commentary on Draft Text identified by reference
number A/CN. 9/264".
c. Moreover, in interpreting this Chapter, the court shall have due regard to the policy of
the law in favor of arbitration and the policy of the Philippines to actively promote party
autonomy in the resolution of disputes or the freedom of the parties to make their own
arrangement to resolve their dispute.
d. Where a provision of this Chapter, except the Rules applicable to the substance of the
dispute, leaves the parties free to determine a certain issue, such freedom includes the
right of the parties to authorize a third party, including an institution, to make that
determination.
e. Where a provision of this Chapter refers to the fact that the parties have agreed or that
they may agree or in any other way refers to an agreement of the parties, such agreement
includes any arbitration rules referred to in that agreement.
f. Where a provision of this Chapter, other than in paragraph (a) of Article 4.25 (Default of
a Party) and paragraphs (b) (i) of Article 4.32 (Termination of Proceedings), refers to a
claim, it also applies to a counter-claim, and where it refers to a defense, it also applies
to a defense to such counter-claim. (Article 4.2., IRR, RA 9285)
53. When is a written communication deemed received?
a. Unless otherwise agreed by the parties:
 any written communication is deemed to have been received if it is delivered to
the addressee personally or at his/her place of business, habitual residence or mailing
address; if none of these can be found after making a reasonable inquiry, a written
communication is deemed to have been received if it is sent to the addressee’s last
known place of business, habitual residence or mailing address by registered letter or
any other means which provides a record of the attempt to deliver it;  the
communication is deemed to have been received on the day it is so delivered.
b. The provisions of this Article do not apply to communications in court proceedings,
which shall be governed by the Rules of Court. (Article4.3., IRR, RA 9285)
54. May the right to object be waived?
Yes. The right to object may be waived. Any party who knows that any provision of this
Chapter from which the parties may derogate or any requirement under the arbitration agreement has
not been complied with and yet proceeds with the arbitration without stating the objections for such
non-compliance without undue delay or if a time limit is provided therefor, within such period of
time, shall be deemed to have waived the right to object. (Article 4.4., IRR, RA 9285) 55. What is the
extent of Court intervention?
In matters governed by this Chapter, no court shall intervene except where so provided in
the ADR Act. Resort to Philippine courts for
matters within the scope of the ADR Act shall be governed by the Special ADR Rules. (Article
4.5., IRR, RA 9285)
56. What other functions must be performed by the appointing authority?
a. The functions referred to in paragraphs (c) and (d) of Article 4.11 (Appointment of
Arbitrators) and paragraph (c) of Article 4.13 (Challenge
Procedure) and paragraph (a) of Article 4.14 (Failure or Impossibility to Act) shall be
performed by the appointing authority as defined in Article 1.6 C1, unless the latter shall
fail or refuse to act within thirty (30) days from receipt of the request in which case the
applicant may renew the application with the court. The appointment of an arbitrator is
not subject to appeal or motion for reconsideration.
b. The functions referred to in paragraph (c) of Article 4.16 (c) (Competence of Arbitral
Tribunal to Rule on its Jurisdiction), second paragraph of Article 4.34 (Application for
Setting Aside an Exclusive Recourse Against Arbitral Award), Article 4.35 (Recognition
and Enforcement), Article 4.38 (Venue and Jurisdiction), shall be performed by the
appropriate Regional Trial Court.
c. A Court may not refuse to grant, implement or enforce a petition for an interim measure,
including those provided for in Article 4.9 (Arbitration Agreement and Interim Measures
by Court), Article 4. 11 (Appointment of Arbitrators), Article 4.13 (Challenge Procedure),
Article 4,27 (Court Assistance in Taking Evidence), on the sole ground that the Petition is
merely an ancillary relief and the principal action is pending with the arbitral tribunal.
(Article 4.6., IRR, RA 9285)

 ARBITRATION AGREEMENT
57. Explain the form of an Arbitration Agreement
The Arbitration agreement, as defined in Articles 1.6 A4, shall be in writing. An
agreement is in writing if it is contained in a document signed
by the parties or in an exchange of letters, telex, telegrams or other means of telecommunication
which provide a record of the agreement, or in an exchange of statements of claim and defense in
which the existence of an agreement, or in an exchange of statements of claim and defense in
which the existence of an agreement is alleged by one party and not denied by another. The
reference in a contract to a document containing an arbitration clause constitutes an arbitration
agreement provided that the contracts is writing and the reference is such as to make that clause
part of the contract. (Article 4.7., IRR, RA 9285)
58. What are the rules when a substantive claim is before a court?
The following are the rules when a substantive claim is before the court:
a. A court before which an action is brought in a matter which is the subject of an
arbitration agreement shall, if at least one party so requestsof both parties thereafter, refer
the parties to arbitration unless it finds that the arbitration agreement is null and void,
inoperative or incapable of being performed.
b. Where an action referred to in the previous paragraph has been brought , arbitral
proceedings may nevertheless be commenced or continued, and an award may be made,
while the issue is pending before the court.
c. Where the action is commenced by or against multiple parties, one or more of whom are
parties to an arbitration agreement, the court shall refer to arbitration those parties who
are bound by the arbitration agreement although the civil action may continue as to those
who are not bound by such arbitration agreement. (Article 4.8., IRR, RA 9285)
59. May a party request for an interim measure of protection before or during the arbitral
proceedings?
Yes. It is not incompatible with an arbitration agreement for a party to request from a
court, before the constitution of the arbitral tribunal or during arbitral proceedings, an
interim measure of protection and for a court to grant such measure.
To the extent that the arbitral tribunal has no power to act or is unable to act effectively, a
request for interim measure of protection, or modification thereof as provided for, and in
the manner indicated in Article 4.17 (Power of Tribunal to Order Interim Measures ),
may be made with the court.
 The rules of interim or provisional relief provided for in paragraph ( c ) of Article 4.17 of
these Rules shall be observed.
A party may bring a petition under this Article before the court in accordance with the
Rules of Court or the Special ADR Rules. (Article 4.9., IRR, RA 9285)
 COMPOSITION OF ARBITRAL TRIBUNAL
60. How many Arbitrators may the parties agree upon?
The parties are free to determine the number of arbitrators Failing such determination,
the number of arbitrators shall be three (3). (Article 4.10., IRR, RA 9285)
61. Explain how Arbitrators are appointed.
The appointment of arbitrators is governed by the following procedures:
a. No person shall be produced by reason of his/her nationality from acting as an arbitrator,
unless otherwise agreed by the parties.
b. The parties are free to agree on a procedure of appointing the arbitrator or arbitrators,
subject to provisions of paragraphs (d) and (e) of thisArticle.
c. Failing such agreement:
• in an arbitration with three (3 ) arbitrators, each party shall appoint one arbitrator, and
the two (2) arbitrators thus appointed shall appoint the third arbitrator; if any party
fails to appoint the arbitrator within thirty (30) days of receipt of a request to do so
from the other party, or if the two (2) arbitrators fail to agree on the third arbitrator
within thirty days (30) days of their appointment shall be made, upon request of a
party, by the appointing authority;
• in an arbitration with a sole arbitrator, if the parties are unable to agree on the
arbitrator, he/she shall be appointed, upon request of a party, by the appointing
authority.
d. Where, under an appointment procedure agreed upon the parties,
• a party fails to act as required under such procedure, or
• the parties, or two arbitrators, are unable to reach an agreement expected of them
under such procedure, or
• a third party, including an institution, fails to perform any function entrusted to it
under such procedure,
Any party may request the appointing authority to take the necessary measure to appoint
an arbitrator, unless the agreement on the
appointment procedure provides other means for securing the appointment.
A decision on a matter entrusted by paragraphs (c) and (d) of this to the appointing
authority shall be immediate executory and not be subject to a motion for reconsideration
or appeal. The appointing authority shall have in appointing an arbitrator, due regard to
any qualifications required of the arbitrator by the agreement of the parties and to such
considerations as are likely to secure the appointment of an independent and impartial
arbitrator and, in the case of a sole or third arbitrator , shall take into account as well the
advisability of appointing an arbitrator of a nationality other than the Rules of Court of
the Special ADR Rules. (Article 4.11., IRR, RA 9285)
62. What are the grounds to challenge an Arbitrator?
The grounds for challenge are as follows:
a. When a person is approached in connection with his/her possible appointment as an
arbitrator, he/she impartiality or independence. An arbitrator, from the time of his/her
appointment and throughout the arbitral proceedings shall, without delay, disclose any
such circumstance to the parties unless they have already been informed of them
him/her.
An arbitrator may be challenged only if circumstances exist that give rise to justifiable
doubts as to his/her impartiality or independence, or if he/she does not possess
qualifications agreed to by the parties. A party may challenge an arbitrator appointed by
him/her, or in whose appointment he/she has participated, only for reasons of which
he/she becomes aware after the appointment has been made. (Article 4.12., IRR, RA
9285)
63. What is the procedure in challenging an Arbitrator?
The challenge procedure is as follows:
a. The parties are free to agree on a procedure for challenging an arbitrator, subject to the
provisions of this Article.
b. Failing such agreement, a party who intends to challenge an arbitrator shall, within
fifteen (15) days after becoming aware of the constitution of the arbitral tribunal or after
 becoming aware of any circumstances referred to in paragraph (b) of Article 4.12
(Grounds for Challenge,) send a written statement of the reasons for the challenge to the
arbitral tribunal. Unless the challenged arbitrator withdraws from his/her office or the
other party agrees to the challenged arbitrator withdraws from his/her office or the party
agrees to the challenge, the arbitral tribunal shall decide on the challenge.
c. If a challenge under any procedure agreed upon by the parties or under the procedure of
paragraph (b) of this Article is not successful, the challenging party may request the
appointing authority, within thirty (30) days after having received notice of the decision
rejecting the challenge, to decide on the challenge, which decision shall be immediately
executory and not subject to motion for reconsideration or appeal. While such a request
is pending, the arbitral tribunal, including the challenged arbitrator, may continue the
arbitral proceedings and make an award.
A party may bring a petition under this Article before the court in accordance with the
Rules of Court or the Special ADR Rules. (Article 4.13., IRR, RA 9285)
64. What is the consequence if there is failure or impossibility to act as an Arbitrator?
a. If an arbitrator becomes de jure or de facto unable to perform his/her functions or for
other reasons fails to act without undue delay, his/hermandate terminates if he/she
withdraws from his/her office or if the parties agree on the termination. Otherwise, if the
controversy remains concerning any of these grounds, any party may request the
appointing authority to decide on the termination of the mandate, which decision shall be
immediately executory and not subject for motion for reconsideration or appeal.I
b. If, under this Article or paragraph (b) of Article 4.13 (Challenge Procedure), an arbitrator
withdraws from his/her office or a party agrees for termination of the mandate of an
arbitrator, this does not imply acceptance of the validity of any ground referred to in this
Article or in paragraph (b) of Article 4.12 (Grounds for Challenge). (Article 4.14., IRR,
RA 9285)

65. What is the consequence if the mandate of an Arbitrator is terminated?

Where the mandate of an arbitrator terminates under Articles 4.13 (Challenge Procedure)
and 4.14 (Failure or Impossibility to Act) or
because of his/her withdrawal from office for any other reason or because of the revocation of
his/her mandate, a substitute arbitrator shall be appointed according to the rules that were
applicable to the appointment of the arbitrator being replaced. (Article 4.15., IRR, RA 9285)

 JURISDICTION OF ARBITRAL TRIBUNAL

66. Discuss the competence of Arbitral Tribunal to Rule on jurisdiction.
a. The arbitral tribunal may rule on its own jurisdiction, including any objections with
respect to the existence or validity of the arbitration agreement or any condition
precedent to the filing of the request for arbitration. For that purpose, an arbitration
clause, which forms part of a contract shall be treated as an agreement independent of the
other terms of the contract. A decision by the arbitral tribunal that the contract is null and
void shall not entail ipso jure the invalidity of the arbitration clause.
b. A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than the
submission of the statement of defense (I.e., in an Answer or Motion to Dismiss). A party
is not precluded from raising such plea by the fact that he/she has appointed, or
participated in the appointment of, an arbitrator. A plea that the arbitral tribunal is
exceeding the scope of its authority shall be raised as soon as the matter alleged to be
beyond the scope of its authority is raised during the arbitral proceedings. The arbitral
tribunal may, in either case, admit a later plea if it considers the delay justified.
c. The arbitral tribunal may rule on a plea referred to in paragraph (b) of this Article either
as a preliminary question or in an award on the merits. If the arbitral tribunal rules as a
preliminary question that it has jurisdiction, any party may request, within thirty (30)
days after having received notice of that ruling, the Regional Trial Court to decide the
matter, which decision shall be immediately executory and not subject to motion for
reconsideration or appeal. While such a request is pending, the arbitral tribunal may
contribute the arbitral proceedings and make an award. (Article 4.16., IRR, RA 9285)
67. Does the Arbitral tribunal have the power to order interim measures?
a. Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of the
party, order any party to take such interim measuresof protection as the arbitral tribunal
may consider necessary in respect of the subject to matter of the dispute following
 paragraph (c) of this Article. Such interim measures may include, but shall not be limited
to, preliminary injunction directed against a party, appointment of receivers, or detention,
preservation, inspection of property that is the subject of the dispute in arbitration.
b. After constitution of the arbitral tribunal, and during arbitral proceeding, a request for
interim measures of protection, or modification thereof shall be made with the arbitral
tribunal. The arbitral tribunal is deemed constituted when the sole arbitrator or the third
arbitrator, who has been nominated, has accepted the nomination and written
communication of said nomination and acceptance has been received by the party
making the request.
c. The following rules on interim or provisional relief shall be observed:
• Any party may request that the interim or provisional relief shall be observed:
• Such relief may be granted:
o To prevent irreparable loss or injury;
o To provide security for the performance of an
obligation; o To produce or preserve evidence o To
compel any other appropriate acts or omissions.
• The order granting provisional relief may be conditioned upon the provision of security
or any act or omission specified in order.
• Interim or provisional relief is requested by written application transmitted by reasonable
means to the arbitral tribunal and the party against whom relief is sought, describing in
appropriate details of the precise relief, the party against whom the relief is requested, the
ground for the relief, and the evidence, supporting the request.
• The order granting or denying an application for the interim relief shall be binding upon
the parties.
• Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
• A party who does not comply with the order shall be liable for all damages, resulting
from noncompliance, including all expenses, and reasonable attorney's fees, paid in
obtaining the order's judicial enforcement. (Article 4.17., IRR, RA 9285)

 CONDUCT OF ARBITRAL PROCEEDINGS

68. Discuss the conduct of Arbitral proceedings.
1. On Treatment of Parties
The parties shall be treated with equality and each shall be given a full opportunity of
presenting his/her case. (Article 4.18., IRR, RA 9285)
2. On Determination of the Rules of Procedures
a. Subject to the provisions of this Chapter, the parties are free to agree on the procedure to
be followed by the arbitral tribunal in conducting the proceedings.
b. Falling such agreement, the arbitral tribunal may, subject to this Chapter, conduct the
arbitration in such manner as it considers appropriate.
Unless the arbitral tribunal considers it inappropriate, the UNCITRAL Arbitration Rules
adopted by the UNCITRAL on 28 April 1976 and the UN General Assemble on 15
December 1976 shall apply subject to the following clarification: All references to the
"Secretary-General of the Permanent Court of Arbitration at the Hague" shall be deemed
to refer to the appointing authority.
c. The power conferred upon the arbitral tribunal includes the power to determine the
admissibility, relevance, materiality and weight of any evidence. (Article 4.19., IRR, RA
9285)
3. On Venue of Arbitration
a. The parties are free to agree on the place of arbitration. Failing such agreement, the place
of arbitration shall be in Metro Manila unless thearbitral tribunal, having regard to the
circumstances of the case, including the convenience of the parties, shall decide on a
different place of arbitration.
b. Notwithstanding the rule stated in paragraph (a) of this provision, the arbitral tribunal
may, unless otherwise agreed by the parties, meet at any place it considers appropriate for
consultation among its members, for hearing witnesses, experts or the parties, or for
inspection of goods, other property or documents. (Article 4.20., IRR, RA 9285)
4. On the Commencement of Arbitral Proceedings
 Unless otherwise agreed by the parties, the arbitral proceedings in respect of a particular
dispute commence on the date on which a request for that dispute to be referred to
arbitration is received by the respondent. (Article 4.21., IRR, RA 9285)
5. On the Language to be Used
a. The parties are free to agree on the language or languages to be used in the arbitral
proceedings. Failing such agreement, the language to be used shall be English. This
agreement, unless otherwise specified therein, shall apply to any written statement by
a party, any hearing and any award, decision or other communication by the arbitral
tribunal.
b. The arbitral tribunal may order that any documentary evidence shall be accompanied
by a translation into the language or languagesagreed upon by the parties or
determined by the arbitral tribunal in accordance with paragraph (a) of this Article.
(Article 4.222., IRR, RA 9285)
6. On the Statements of Claim and Defense
a. Within the period of time agreed by the parties or determined by the arbitral tribunal,
the claimant shall state the facts supportinghis/her/its claim, the points at issue and
the relief or remedy sought, and the respondent shall state his/her/its defense in
respect of these particulars, unless the parties have otherwise agreed as to the
required elements of such statements. The parties may submit with their statements,
all documents they consider to be relevant or may add a reference to the documents
or other evidence they will submit.
b. Unless otherwise agreed by the parties, either party may amend or supplement
his/her claim or defense during the course of thearbitral proceedings, unless the
arbitral tribunal considers it inappropriate to allow such amendment having regard to
the delay in making it. (Article 4.23., IRR, RA 9285)
7. On Hearing and Written Proceedings
a. Subject to any contrary agreement by the parties, the arbitral tribunal shall decide
whether to hold oral hearings for the presentation of evidence or for oral argument, or
whether the proceedings shall be conducted on the basis of documents and other
materials. However, unless the parties have agreed that no hearings at an appropriate
stage of the proceedings, if so requested by a party.
b. The parties shall be given sufficient advance notice of any hearing and of any
meeting of the arbitral tribunal for the purposes of inspection goods, other property
or documents.
c. All statements, documents or other information supplied to the arbitral by one party
shall be communicated to the other party. Also, an expert report or evidentiary
document on which the arbitral tribunal may rely in making its decision shall be
communicated to the parties. (Article 4.24., IRR, RA 9285)
8. On Default of a party
Unless otherwise agreed by the parties, if, without, showing sufficient cause,
a. the claimant fails to communicate his statement of claim in accordance with
paragraph (a) Article 4.23 (Statement of Claim and
Defense), the arbitral tribunal shall terminate the proceedings;
b. the respondent fails to communicate his/her/its statement of defense in accordance
with paragraph (a) Article 4.23 (Statement of Claim and Defense), the arbitral
tribunal shall continue the proceedings without treating such failure in itself as an
admission of the claimant’s allegations.
c. any party’s fails to appear at a hearing or to produce documentary evidence, the
arbitral tribunal may continue the proceedings and make the award on the evidence
before it. (Article 4.25., IRR, RA 9285)
9. On Expert appointed by the Arbitral Tribunal
Unless otherwise agreed by the parties, the arbitral tribunal,
a. may appoint one or more experts to report to it on specific issues to be determined
by the arbitral tribunal; or
b. may require a party to give the expert any relevant information or to produce, or to
provide access to, any relevant documents, goods or other property for his/her
inspection.
Unless otherwise agreed by the parties, if a party so requests or if the arbitral tribunal
considers it necessary, the expert shall, after delivery of his/her written or oral report,
participate in a hearing where the parties have the opportunity to put questions to him and
 to present expert witnesses in order to testify on the points at issue. (Article 4.26., IRR,
RA 9285)
10. On Court Assistance in Taking Evidence
The arbitral tribunal or a party with the approval of the arbitral tribunal may request
from a court of the Philippines assistance in taking
evidence. The court may execute the request within its competence and according to its rules
on taking evidence.
The arbitral tribunal shall have the power to require any person to attend a hearing as
a witness. The arbitral tribunal shall have the
power to subpoena witnesses and documents when the relevancy of the testimony and the
materiality thereof has been demonstrated to it. The arbitral tribunal may also require the
retirement of any witness during the testimony of any other witness.
A party may bring a petition under this Section before the court in accordance with
the Rules of Court or the Special ADR Rules.Article 4.27., IRR, RA 9285)
11. On Rules Applicable to the Substance of Dispute
a. The arbitral tribunal shall decide the dispute in accordance with such rules of law as
are chosen by the parties as applicable to the substance of the dispute. Any
designation of the law or legal system of a given state shall be construed, unless
otherwise expressed, as directly referring to the substantive law of that state and not
its conflict of laws rules.
b. Failing any designation by the parties, the arbitral tribunal shall apply the law
determined by the conflict of laws rules, which it considers applicable.
c. The arbitral tribunal shall decide ex aequo et bono or as amiable compositeur only if
the parties have expressly authorized it to do so.
d. IIn all cases, the arbitral tribunal shall decide in accordance with the terms of the
contract and shall take into account the usages of the trade applicable to the
transaction. (Article 4.28., IRR, RA 9285)
12. Decision-making by Panel of Arbitrators
In arbitral proceedings with more than one arbitrator, any decision of the arbitral
tribunal shall be made, unless otherwise agreed by
other parties, by a majority of all its members. However, questions of procedure may be
decided by a presiding arbitrator , if so authorized by the parties or all members of the
arbitral tribunal. (Article 4.29., IRR, RA 9285)
13. Settlement
If, during arbitral proceedings, the parties settle the dispute, the arbitral tribunal shall
terminate the proceedings and, if requested by
the parties and not objected to by the arbitral tribunal, record the settlement in the form of an
arbitral award on agreed terms.
An award on agreed terms shall be made in accordance with the provisions of Article
4.31 (Form and Contents of Award), and shall
state that it is an award. Such an award has the same status and effect as any other award on
the merits of the case. (Article 4.30., IRR, RA 9285)
14. On Forum and Contents of Award
a. The award shall be made in writing and shall be signed by the arbitrator or
arbitrators. In arbitral proceedings with more than one arbitrator, the signatures of the
majority of all members of the arbitral tribunal shall suffice, provided that the reason
for any omitted signature is stated.
b. The award shall state the reasons upon which it is based, unless the parties have
agreed that no reasons are to be given or the award is an award on agreed terms
under paragraph (a) of Article 4.20 (Place of Arbitration).
c. The award shall state its date and the place of arbitration as determined in accordance
with paragraph (a) of this Article. The award shall be deemed to have been made at
that place.
d. After the award is made, a copy signed by the arbitrators in accordance with
paragraph (a) of this Article shall be delivered. to each party. (Article 4.31., IRR, RA
9285)

15. On termination of Proceedings

a. The arbitral proceedings are terminated by the final award or by an order of the
arbitral tribunal in accordance with paragraph (b) of this Article.
 b. The arbitral tribunal shall issue an order for the termination of the arbitral
proceedings when:

• The claimant withdraws his/her/its claim, unless the respondent objects

thereto and the arbitral tribunal recognized a legitimate interest on his/her/its
part in obtaining a final settlement of the dispute;
• The parties agree the termination of the proceedings;
• The arbitral tribunal finds that the continuation of the proceedings has for
any other reason become unnecessary or impossible.
c. The mandate of the arbitral tribunal ends with termination of the arbitral proceedings
subject to the provisions of Articles 4.33 (Correction and Interpretation of Award,
Additional Award) and paragraph (d) of Articles 4.34 (Application for Setting Aside
an Exclusive Recourse against Arbitral Award).
d. Notwithstanding the foregoing, the arbitral tribunal may, for special reasons, reserve
in the final award or order, a hearing to quantity costs and determine which party
shall bear the costs or the division thereof as may be determined to be equitable.
Pending determination of this issue, the award shall not be deemed final for purposes
of appeal ,vacation, correction, or any post-award proceedings. (Article 4.32., IRR,
RA 9285)
16. On Correction and Interpretation of Award, Additional Award
a. Within thirty (30) days from receipt of the award, unless another period of time has
been agreed upon by the parties:
• A party may, with notice to the other party, request the arbitral tribunal to
correct in the award any errors in computation, any clerical or typographical
errors or any errors of similar nature;
• A party may, it so agreed by the parties and with notice to the other party,
request the arbitral tribunal to give an interpretation of a specific point or
part of the award.
b. If the arbitral tribunal considers the request to be justified, It shall make the
correction or give the interpretation within thirty (30) days from receipt of the
request. The interpretation shall form part of the award.
c. The arbitral tribunal may correct any error of the type referred to in paragraph (a) of
this Article on its own initiative within thirty (30) day from the date of the award.
d. Unless otherwise agreed by the parties, a party may, with notice to the other party,
request, within thirty (30) days receipt of the award, the arbitral tribunal to make an
additional award as to claims presented in the arbitral proceedings but omitted from
the award. If the arbitral tribunal considers the request to be justified, it shall make
the additional award within sixty (60) days
e. The arbitral tribunal may extend, if necessary, the period of time within which it shall
make a correction interpretation or an additional award under paragraphs (a) and (b)
of this Article.
f. The provisions of Article 4.31 (Form and Contents of Award) shall apply to a
correction or interpretation of the award or to an additional award. (Article 4.33.,
IRR, RA 9285)
17. On Application for Setting Aside an Exclusive course against Arbitral Award
a. Recourse to a court against an arbitral award may be made only by application for
setting aside in accordance with second and third paragraphs of this Article.
b. An arbitral award may be set aside by the Regional Trial Court only If:
1.the party making the application furnishes proof that:
• a party to the arbitration agreement was under some incapacity ; or the said
agreement is not valid under the law to which the parties have subjected it or,
failing any indication thereon, under the law of the Philippines; or
• the party making the application was not given proper notice of the appointment
of an arbitrator or of the arbitral proceedings orwas otherwise unable to present
his case; or
• the award deals with a dispute not contemplated by or not failing within the terms
of the submission to arbitration, or contains, decisions on matters beyond the
scope of the submission to arbitration, provided that, if the decisions on matters
submitted to arbitration can be separated from those not so submitted, only the
 part of the award which contains decisions on matters not submitted to arbitration
may be set aside; or
• the composition of the arbitral tribunal or the arbitral procedure was not in
accordance with the agreement of the parties, unless such agreement was in
conflict with a provision of ADR Act from which the parties cannot derogate, or,
falling such agreement, was not in accordance with ADR Act; or
2. the Court finds that:

 the subject-matter of the dispute is not capable of settlement by

arbitration under the law of the Philippines; or  the award is in
conflict with the public policy of the Philippines.
c. An application for setting aside may not be made after three months have elapsed
from the date on which the party making that application had received the award or,
If a request had been made under Article 4.33 (Correction and Interpretation of
Award,
Additional Award) from the date on which that request has been disposed of by the
Arbitral tribunal
d. The court, when asked to set aside an award, may, where appropriate and so
requested by a party, suspend the setting aside proceedings for a period of time
determined by it in order to give the arbitral tribunal an opportunity resume the
arbitral proceedings or take such other action as in the arbitral tribunal's opinion will
eliminate the grounds for setting aside.
e. A party may bring a petition under this Article before the court in accordance with
the Special ADR Rules. (Article 4.34., IRR, RA 9285)

SEGMENT VI: RECOGNITION AND ENFORCEMENT OF AWARDS

69. What are the rules on recognition and enforcement?

The Rules on recognition and enforcement are as follows:
a. A foreign arbitral award shall be recognized as binding and, upon petition in writing to
the regional trial Court, shall be enforced subject to the provisions of this Article and of
Article 4.36 (Grounds for Refusing Recognition or Enforcement).
b. The petition for recognition and enforcement of such arbitral awards shall be filled with
the Regional trial Court In accordance with Special ADR Rules.
1. Convention Award - The New York Convention shall govern the recognition and
enforcement of arbitral awards covered by said Convention. The petitioner shall
establish that the country in which the foreign arbitration award was made is a party
to the New York Convention.
2. Non-Convention Award – The recognition and enforcement of foreign arbitral awards
not covered by the New York Convention shall be done in accordance with
procedural rules to be promulgated by the Supreme Court. The court may, on grounds
of comity and reciprocity, recognize and enforce a non-convention award as a
convention award.

c. The party relying on an award or applying for its enforcement shall file with the Regional
Trial Court the original or duly authenticated copyof the award and the original
arbitration agreement or a duly authenticated copy thereof. If the award or agreement is
not made in an official language of the Philippines, the party shall supply a duly certified
translation thereof into such language.
d. A foreign arbitral award when confirmed by a court of a foreign country, shall be
recognized and enforced as a foreign arbitral award and not as a judgment of a foreign
court.
e. A foreign arbitral award when confirmed by the Regional Trial Court, shall be enforced
in the same manner as final and executory decisions of courts of law of the Philippines.
f. If the Regional Trial Court has recognized the arbitral award but an application for
rejection and/or) suspension of enforcement of that award is subsequently made, the
Regional Trial Court may, if it considers the application to be proper, vacate or suspend
the decision to enforce that award and may also, on the application of the party claiming
recognition or enforcement of that award, order the other party seeking rejection or
suspension to provide appropriate security. (Article 4.35., IRR, RA 9285)
 70. What are the grounds for refusing recognition or enforcement of convention award
and non-convention awards? The grounds for refusing recognition or enforcement
are as follows:
a. WITH RESPECT TO CONVENTION AWARD
Recognition or enforcement of an arbitral award, made in a state, which is a party to the New
York Convention, may be refused, at the request of the party against whom it is provoked, only if
the party furnishes to the Regional Trial Court proof that:
a. The parties to the arbitration agreement are, under the law applicable to them, under
some incapacity; or the said agreement is not valid under the law to which the parties
have subjected it or; failing any indication thereon, under the law of the country where
the award was made; or
b. the party against whom the award is invoked was not given proper notice of the
appointment of an arbitrator or of the arbitral proceedings or was otherwise in able to
present his case; or
c. the award deals with dispute not contemplated by or not failing within the terms of the
submission to arbitration, or it contains decisions onmatters beyond the scope of the
submission to arbitration; provided that, if the decisions on matters submitted to
arbitration can be separated from those not so submitted, that part of the award which
contains decisions on matters submitted to arbitration may be recognized and enforced;
or
d. the composition of the arbitral tribunal or the arbitral procedure was not in accordance
with the agreement of the parties or, failing such agreement, was not in accordance with
the law of the country where the arbitration too place; or
e. the award has not become binding on the parties or has been set aside or suspended by a
court of the country in which, or under the law of which, that award was made.

Recognition and enforcement of an arbitral award may also be refused if the Regional Trial
Court where recognition and enforcement is sought finds that:
a. the subject-matter of the dispute is not capable of settlement by arbitration under the law
of Philippines; or
b. the recognition or enforcement of the award would be contrary to the public policy of the
Philippines.
A party to a foreign arbitration proceeding may oppose an application for recognition and enforcement of
the arbitral award in accordance
with the Special ADR Rules only on the grounds enumerated under paragraph (a) and (c) of
Article 4.35 (Recognition and Enforcement). Any other ground raised shall be disregarded by the
Regional Trial Court.

B. WITH RESPECT TO NON-CONVENTION AWARD

a. A foreign arbitral award rendered in a state which is not a party to the New York Convention
will be recognized upon proof of the existence ofcomity and reciprocity and may be treated
as a convention award. If not so treated and if no comity or reciprocity exists, the non-
convention award cannot be recognized and/or enforced but may be deemed as presumptive
evidence of a right as between the parties in accordance with Section 48 of the Rules of
Court.
b. If the Regional Trial Court has recognized the arbitral award but a petition for suspension of
enforcement of that award is subsequently made, the Regional Trial Court may, if it considers
the petition to be proper, suspend the proceedings to enforce the award, and may also, on the
application of the party claiming recognition or enforcement of that award, order the other
party seeking suspension to provide appropriate security.
c. If the petition for recognition or enforcement of the arbitral award is filed by a party and a
counter-petition for the rejection of the arbitral award is filed by the other party, the Regional
Trial Court may, if it considers the counter-petition to be proper but the objections thereto
may be rectified or cured, remit the award to the arbitral tribunal for appropriate action and in
the meantime suspend the recognition and enforcement proceedings and may also on the
application of the petitioner order the counter-petitioner to provide appropriate security.
(Article 4.36., IRR, RA 9285) 71. What is the remedy of the losing party from an Arbitral
award rendered by the Regional Trial Court?
A decision of the Regional Trial Court recognizing, enforcing, vacating or setting aside an arbitral award
may be appealed to the Court of
 Appeals in accordance with the rules of procedure to be promulgated by the Supreme Court.
(Article 4.37., IRR, RA 9285)
72. Is the appellant required to post bond?
Yes. The losing party who appeals from the judgment of the court recognizing and enforcing an
arbitral award shall be required by the Court of
Appeals to post a counter-bond executed if favor of the prevailing party equal to the amount of
the award in accordance with the Special ADR Rules. (Article 4.37., IRR, RA 9285)
73. Is a stipulation that the arbitral tribunal’s award or decision shall be final and valid?
Yes. Any stipulation by the parties that the arbitral tribunal’s award or decision shall be final, and
therefore not appealable, is valid. (Article 4.37., IRR, RA 9285)
74. What is the consequence if there is a stipulation that the arbitral tribunal’s award or decision shall
be final?
Such stipulation carries with it a waiver of the right to appeal from an arbitral award. Article
4.18., IRR, RA 9285)
75. Is the remedy of certiorari under the Rule 65 of the Rules of Court available if appeal is deemed
waived by virtue of the aforesaid stipulation?
Yes. The implementing rules expressly provide that it is without prejudice to judicial review by
way of certiorari under Rule 65 of the Rules of Court. (Article 4.18., IRR, RA 9285).
76. What is the nature of the proceedings involved in the following?
a. Recognition and enforcement of an arbitration agreement or
b. Vacation or setting aside of an arbitral award, and
c. Any application with a court for arbitration assistance and supervision, except appeal.
Under Article 4.38 of the IRR of RA 9825,, proceedings for recognition and enforcement of
an arbitration agreement or for vacation or setting aside an arbitral award, and any
application with a court for arbitration assistance and supervision, except appeal shall be
deemed as special proceedings.
77. Which Court has jurisdiction to try these cases cite the venue thereof.
The cases may be filed with the Regional Trial Court where:
a. the arbitration proceedings are conducted;
b. where the asset to be attached or levied upon, or the act to be enjoined is located;
c. where any of the parties to the dispute resides or has its place of business; or
d. in the National Capital Judicial Region at the option of the applicant. (Article 4.38., IRR,
RA 9285)

78. Is notice of proceedings to parties mandatory?

Yes. In a special proceeding for recognition and enforcement of an arbitral award, the court shall
send notice to the parties at their address of record in the arbitration, or if any party cannot be
served notice at such address, at such party’s last known address. The notice shall be sent at least
fifteen (15) days before the date set for the initial hearing of the application. (Article 4.39., IRR,
RA 9285)
79. Is a party entitled to legal representation in international commercial arbitration conducted in the
Philippines?
Yes. In international commercial arbitration conducted in the Philippines, a party may be
represented by any person of his/her choice: Provided, that such representative, unless admitted
to the practice of law in the Philippines, shall not be authorized to appear as counsel in any
Philippine court or any other quasi-judicial body whether or not such appearance is in relation to
the arbitration in which he/she appears. (Article 4.40., IRR, RA 9285)
80. May the Arbitration proceedings be disclosed to the public?
No. The arbitration proceedings, including the records, evidence and the arbitral award, shall be
considered confidential and shall not be poolside except:
a. with the consent of the parties; or
b. for the limited purpose of disclosing to the court relevant documents in cases where
resort to the court is allowed herein.
Provided, however, that the court in which the action or the appeal is pending may issue a
protective order to prevent or prohibit disclosure of documents or information containing secret
processes, developments, research and other information where it is shown that the applicant
shall be materially prejudiced by an authorized disclosure thereof.. (Article 4.41., IRR, RA 9285)
81. Is a petition for recognition and enforcement of awards summary in nature?
 Yes. A petition for recognition and enforcement of awards brought before the court shall be heard
and dealt with summarily in accordance with the Special ADR Rules. (Article 4.42., IRR, RA
9285)
82. What is the consequence when a party dies making submission or a contract to arbitrate?
When a party dies after making a submission or a contract to arbitrate as prescribed in these Rules, the
proceedings may be begun or
continued upon the application of, or notice to, his/her executor or administrator, or temporary
administrator of his/her estate. In any such case, the court may issue an order extending the time
within which notice of a motion to recognize or vacate an award must be served. Upon recognizing an
award, where a party has died since it was filed or delivered, the court must enter judgement in the
name of the original party; and the proceedings thereupon are the same as where a party dies after a
verdict. (Article 4.43., IRR, RA 9285) 83. What rules shall govern a multi-party arbitration?
When a single arbitration involves more than two parties, the foregoing rules, to the extent possible, shall
be used, subject to such
modifications consistent with this Chapter as the arbitral tribunal shall deem appropriate to
address possible complexities of a multi-party arbitration. (Article 4.44., IRR, RA 9285)
84. May the parties agree to consolidate proceedings and concurrent hearings?
Yes. The parties and the arbitral tribunal may agree –
a. that the arbitration proceedings shall be consolidated with other arbitration proceedings;
or
b. that concurrent hearings shall be held, on such terms as may be agreed.
Unless the parties agree to confer such power on the arbitral tribunal, the tribunal has no
power to order consolidation of arbitration
proceedings or concurrent hearings. (Article 4.45., IRR, RA 9285)

85. Discuss the costs of Arbitration in arbitral Tribunal’s Award.

Article 4.46 provides;
a. The arbitral tribunal shall fix the costs of arbitration in its award. The term "costs"
include only:
• The fees of the arbitral tribunal to be stated separately as to each arbitrator and
to be fixed by the tribunal itself in accordancewith the paragraph (b) of this
Article;
• The travel and other expenses incurred by the arbitrators;
• The costs of expert advice and of other assistance required by the arbitral
tribunal;
• The travel and other expenses of witnesses to the extent such expenses are
approved by the arbitral tribunal;
• The costs for legal representation and assistance of the successful party if such
costs were claimed during the arbitral proceedings, and only to the extent that
the arbitral tribunal determines that the amount of such costs is reasonable; 
Any fees and expenses of the appointing authority.
b. The fees of the arbitral tribunal shall be reasonable in amount, taking into account the
amount in dispute, the complexity of the subject matter, the time spent by the arbitrators
and any other relevant circumstances of the case.

If an appointing authority has been agreed upon by the parties and if such authority has issued a schedule
of fees for arbitrators in
international cases which it administers, the arbitral tribunal in fixing its fees shall take that
schedule of fees into account to the extent that it considers appropriate in the circumstances
of the case.

If such appointing authority has not issued a schedule of fees for arbitrators in international cases, any
party may, at any time request
the appointing authority to furnish a statement setting forth the basis for establishing fees
which is customarily followed in international cases in which the authority appoints
arbitrators. If the appointing authority consents to provide such a statement, the arbitral
tribunal, in fixing its fees, shall take such information into account to the extent that it
considers appropriate in the circumstances of the case.
c. In cases referred to in the second and third sub-paragraphs of paragraph (b) of this
Article, when a party so requests and the appointingauthority consents to perform the
 function, the arbitral tribunal shall fix its fees only after consultation with the appointing
authority which may make any comment it deems appropriate to the arbitral tribunal
concerning the fees.
d. Except as provided in the next sub-paragraph of this paragraph, the costs of arbitration
shall, in principle, be borne by the unsuccessful party. However, the arbitral tribunal may
apportion each of such costs between the parties if it determines that apportionment is
reasonable, taking into account the circumstances of the case.
With respect to the costs of legal representation and assistance referred to in paragraph (c) of paragraph
(a) (iii) of this Article, the
arbitral tribunal, taking into account the circumstances of the case, shall be free to determine
which party shall bear such costs or may apportion such costs between the parties if it
determines that appointment is reasonable.
When the arbitral tribunal issues an order for the termination of the arbitral proceedings or makes an
award on agreed terms, it shall fix
the costs of arbitration referred to in paragraphs (b), (c) and (d) of this Article in the context
of that order or award.
e. The arbitral tribunal, on its establishment, may request each party to deposit an equal
amount as an advance for the costs referred to in paragraphs (i), (ii) and (iii) of
paragraph (a) of this Article.
During the course of the arbitral proceedings, the arbitral tribunal may request
supplementary deposits from the parties.

If an appointing authority has been agreed upon by the parties and when a party so requests and the
appointing authority
consents to perform the function, the arbitral tribunal shall fix the amounts of any
deposits or supplementary deposits only after consultation with the appointing authority
which may make any comments to the arbitral tribunal which it deems appropriate
concerning the amount of such deposits and supplementary deposits.
If the required deposits are not paid in full within thirty (30) days after receipt of the request, the arbitral
tribunal shall so inform the
parties in order that the required payment may be made. If such payment is not made, the
arbitral tribunal may order the suspension or termination of the arbitral proceedings.
After the award has been made, the arbitral tribunal shall render an accounting to the parties of the
deposits received and return
any unexpended balance to the parties. (Article 4.46., IRR, RA 9285)

SEGMENT VII: DOMESTIC ARBITRATION

86. What are the terms applicable to this chapter/segment? Explain.

1. Ad hoc Arbitration means arbitration administered by an arbitrator and/or the parties
themselves. An arbitration administered by an institution shall be regarded as ad hoc
arbitration if such institution is not a permanent or regular arbitration institution in the
Philippines.
2. Appointing Authority in Ad Hoc Arbitration means, in the absence of an agreement, the
National President of the IBP or his/her duly authorized representative.
3. Appointing Authority Guidelines means the set of rules approved or adopted by an appointing
authority for the making of a Request for Appointment, Challenge, termination of the Mandate
of Arbitrator/s and for taking action thereon.
4. Arbitration means a voluntary dispute resolution process in which one or more arbitrators,
Appointed in accordance with the agreement of the parties or these Rules, resolve a dispute by
rendering an award.
5. Arbitral Tribunal means a sole arbitrator or a panel, board or committee of arbitrators.
6. Claimant means a person/s with a claim against another and who commence/s arbitration
against the latter.
7. Court means, unless otherwise specified in these Rules, a Regional Trial Court.
8. Day means calendar day.
9. Domestic Arbitration means arbitration that is not international as defined in Article 1(3) of
the Mode Law.
 10. Institutional Arbitration means arbitration administered by an entity, which is registered
as a domestic corporation with the Securities and Exchange Commission (SEC) and engaged
in. among others, arbitration of disputes in the Philippines on a regular and permanent basis.
11. Request for Appointment means the letter-request to the appointing authority of either or both
parties for the appointment of arbitrator/s or of the two arbitrators first appointed by the
parties for the appointment of the third member of an arbitral tribunal.
12. Representative is a person duly authorized in writing by a party to a dispute, who could
be a counsel, a person in his/her employ or any other person of his/her choice, duly authorized
to represent said party in the arbitration proceedings.
13. Respondent means the person/s against whom the claimant commence/s arbitration.
14. Written communication means the pleading, motion, manifestation, notice, order, award
and any other document or paper submitted or filed with the arbitral tribunal or delivered to a
party.
87. What is the Scope of application of Domestic Arbitration in this
segment/chapter? The scope of application of Domestic Arbitration in
Chapter 5, IRR or RA 9285 includes:
a. Domestic arbitration, which is not international as defined in paragraph C8 of Article 1.6
shall continue to be governed by Republic Act No.876, otherwise known as "The
Arbitration Law", as amended by the ADR Act. Articles 8, 10, 11, 12, 13, 14, 18 and 19
and 29 to 32 of the Model Law and Sections 22 to 31 of the ADR Act are specifically
applicable to domestic arbitration.
In the absence of a specific applicable provision, all other rules applicable to
international commercial arbitration may be applied in a
suppletory manner to domestic arbitration.
b. This Chapter shall apply to domestic arbitration whether the dispute is commercial, as
defined in Section 21 of the ADR Act, or non-commercial, by an arbitrator who is a
private individual appointed by the parties to hear and resolve their dispute by rendering
an award; Provided that, although a construction dispute may be commercial, it shall
continue to be governed by E.O. No. 1008, s.1985 and the rules promulgated by the
Construction Industry Arbitration Commission.
c. Two or more persons or parties may submit to arbitration by one or more arbitrators any
controversy existing between them at the time of the submission and which may be the
subject of an action; or the parties to any contract may in such contract agree to settle by
arbitration a controversy thereafter arising between them. Such submission or contract
shall be valid, enforceable and irrevocable, save upon such grounds as exist at law for the
revocation of any contract.
Such submission or contract may include questions arising out of valuations, appraisals
or other controversies which may be collateral,
incidental, precedent or subsequent to any dispute between the parties.
A controversy cannot be arbitrated where one of the parties to the controversy is an
infant, or a person judicially declared to be incompetent,
unless the appropriate court having jurisdiction approved a petition for permission to submit such
controversy to arbitration made by the general guardian or guardian ad litem of the infant or of
the incompetent.
But where a person capable of entering into a submission or contract has knowingly entered
into the same with a person incapable of so doing,
the objection on the ground of incapacity can be taken only in behalf of the
person so incapacitated. (Article 5.1., IRR, RA 9285) 88. How should the delivery
of written communication be made?
The delivery of written communication can be made through the following:
a. Except as otherwise agreed by the parties, a written communication from one party to the
other or to the arbitrator or to an arbitrationinstitution or from the arbitrator or arbitration
institution to the parties shall be delivered to the addressee personally, by registered mail
or by courier service. Such communication shall be deemed to have been received on the
date it is delivered at the addressee’s address of record, place of business, residence or
last known address. The communication, as appropriate, shall be delivered to each party
to the arbitration and to each arbitrator, and, in institutional arbitration, one copy to the
administering institution.
 b. During the arbitration proceedings, the arbitrator may order a mode of delivery and a rule
for receipt of written communications different from that provided in paragraph (a) of
this Article.
c. If a party is represented by counsel or a representative, written communications for that
party shall be delivered to the address of record of such counsel or representative.
d. Except as the parties may agree or the arbitrator may direct otherwise, a written
communication may be delivered by electronic mail or facsimile transmission or by such
other means that will provide a record of the sending and receipt thereof at the recipient’s
mailbox (electronic inbox). Such communication shall be deemed to have been received
on the same date of its transmittal and receipt in the mailbox (electronic inbox). (Article
5.2., IRR, RA 9285)
89. When is a party deemed to have waived his right to object?
The following constitutes a waiver of right to object:
a. A party shall be deemed to have waived his right to object to non-compliance with any non-
mandatory provision of these Rules (from whichthe parties may derogate) or any requirement
under the arbitration agreement when:

1. he/she/it knows of such non-compliance; and

2. proceeds with the arbitration without stating his/her/its objections to such non-
compliance without undue delay or if a time-limit is provided therefor, within such
period of time.
b. If an act is required or allowed to be done under this Chapter, unless the applicable rule or the
agreement of the parties provides a different period for the act to be done, it shall be done
within a period of thirty (30) days from the date when such act could have been done with
legal effect. (Article 5.3., IRR, RA 9285) 90. Does a Court have the right to intervene?
In matters governed by this Chapter, no court shall intervene except in accordance with
the Special ADR Rules. (Article 5.4., IRR, RA 9285) 91. What other functions may be performed by
the appointing authority?
Article 5.5 (Court or Other Authority for Certain Functions of Arbitration Assistance and
Supervision) of the IRR of RA 9285 provides: “The functions referred to in paragraphs (c) and
(d) of Article 5.10 (Appointment of Arbitrators), paragraph (a) of Article 5.11 (Grounds for
Challenge), and paragraph (a) of Article 5.13 (Failure or Impossibility to Act), shall be performed
by the appointing authority, unless the latter shall fail or refuse to act within thirty (30) days from
receipt of the request in which case, the applicant may renew the application with the court.”
(Article 5.5., IRR, RA
9285)

 ARBITRATION AGREEMENT
92. What is the form of an arbitration agreement?
An arbitration agreement shall be in writing. An agreement is in writing if it is contained
in a document signed by the parties or in an
exchange of letters, telex, telegrams or other means of telecommunication which provide a record
of the agreement, or in an exchange of statements of claim and defense in which the existence of
an agreement is alleged by one party and not denied by the other. The reference in a contract to a
document containing an arbitration clause constitutes an arbitration agreement provided that the
contract is in writing and the reference is such as to make that clause part of the contract. (Article
5.6, IRR, RA 9285)
93. May a party request the court to stay the action and refer the dispute to arbitration?
A party to an action may request the court before which it is pending to stay the action
and to refer the dispute to arbitration in accordance
with their arbitration agreement not later than the pre-trial conference. Thereafter, both parties
may make a similar request with the court. The parties shall be referred to arbitration unless the
court finds that the arbitration agreement is null and void, inoperative or incapable of being
performed.
(Article 5.7, par. a, IRR, RA 9285)
Where an action referred to in paragraph (a) of this Article has been brought, arbitral
proceedings may nevertheless be commenced or
continued, and an award may be made, while the issue is pending before the court. (Article 5.7,
par. b, IRR, RA 9285)
94. What must the court do when the action is commenced by or against multiple parties, one or more
of whom are parties to an arbitration agreement?
Where the action is commenced by or against multiple parties, one or more of whom are
parties to an arbitration agreement, the court shall
refer to arbitration those parties who are bound by the arbitration agreement although the civil
action may continue as to those who are not bound by such arbitration agreement. (Article 5.7, par. c,
IRR, RA 9285) 95. May a party request for an Interim measure of protection?
Yes. It is not incompatible with an arbitration agreement for a party to request from a
court, before the constitution of the arbitral tribunal or
during arbitral proceedings, an interim measure of protection and for a court to grant such
measure.
After the constitution of the arbitral tribunal and during arbitral proceedings, a request for
an interim measure of protection, or modification
thereof, may be made with the arbitral tribunal or to the extent that the arbitral tribunal has no
power to act or is unable to act effectively, the request may be made with the court. (Article 5.8,
pars. a and b respectively, IRR, RA 9285)
96. What are the rules on interim or provisional relief that must be observed?
The following rules on interim or provisional relief shall be observed:
1. Any party may request that interim or provisional relief be granted against the adverse party.
2. Such relief may be granted:
• To prevent irreparable loss or injury;
• To provide security for the performance of an obligation;
• To produce or preserve evidence; or
• To compel any other appropriate act or omissions.
• The order granting provisional relief may be conditioned upon the provision of security
or any act or omission specified in the order.
• Interim or provisional relief is requested by written application transmitted by reasonable
means to the arbitral tribunal and the party against whom relief is sought, describing in
appropriate detail of the precise relief, the party against whom the relief is requested, the
ground for the relief, and the evidence supporting the request.
• The order either grating or denying an application for interim relief shall be binding upon
the parties.
• Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
• A party who does not comply with the order shall be liable for all damages, resulting
from noncompliance, including all expenses, and reasonable attorney’s fees, paid in
obtaining the order’s judicial enforcement. (Article 5.8., IRR, RA 9285) 97. What are the
matters deemed included in the interim measures of protection?
Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party,
order any party to take such interim measures of
protection as the arbitral tribunal may consider necessary in respect of the subject matter of the
dispute following the Rules in this Article. Such interim measures may include but shall not be
limited to preliminary injunction directed against a party, appointment of receivers or detention,
preservation, inspection of property that is the subject of the dispute in arbitration. Either party
may apply with the court for assistance in implementing or enforcing an interim measure ordered
by an arbitral tribunal. (Article 5.8, par. d, IRR, RA 9285)

 COMPOSITION OF ARBITRAL TRRIBUNAL

98. How many Arbitrators must constitute an Arbitral Tribunal?
The parties are free to determine the number of arbitrators. Failing such determination,
the number of arbitrators shall be three (3). (Article 5.9., IRR, RA 9285)
99. Who may be appointed as arbitrators?
Any person appointed to serve as an arbitrator must be of legal age, in full enjoyment of
his/her civil rights and knows how to read and write. No person appointed to serve as an arbitrator
shall be related by blood or marriage within the sixth degree to either party to the controversy. No
person shall serve as an arbitrator in any proceeding if he/she has or has had financial, fiduciary or
other interest in the controversy or cause to be decided or in the result of the proceeding, or has any
personal bias, which might prejudice the right of any party to a fair and impartial award. No party
shall select as an arbitrator any person to act as his/her champion or to advocate his/her cause.
(Article 5.10, par. a, IRR, RA 9285) 100. What is the procedure in the appointment of Arbitrator or
Arbitrators?
The parties are free to agree on a procedure of appointing the arbitrator or arbitrators. If,
in the contract for arbitration or in the submission,
a provision is made for a method of appointing an arbitrator or arbitrators, such method shall be
followed. (Article 5.10, par. b, IRR, RA 9285)

Failing such agreement,

a. in an arbitration with three (3) arbitrators, each party shall appoint one (1) arbitrator, and the
two (2) arbitrators thus appointed shall appoint thethird arbitrator; if a party fails to appoint
the arbitrator within thirty (30) days of receipt of a request to do so from the other party, or if
the two arbitrators fail to agree on the third arbitrator within thirty (30) days of their
appointment, the appointment shall be made, upon request of a party, by the appointing
authority;
b. in an arbitration with a sole arbitrator, if the parties are unable to agree on the arbitrator,
he/she shall be appointed, upon request of a party, by the appointing authority. (Article 5.10,
par. c, IRR, RA 9285) Where, under an appointment procedure agreed upon by the parties,
a. a party fails to act or appoint an arbitrator as required under such procedure, or
b. the parties, or two (2) arbitrators, are unable to appoint an arbitrator or reach an agreement
expected of them under such procedure, or
c. a third party, including an institution, fails to appoint an arbitrator or to perform any function
entrusted to it under such procedure, or
d. The multiple claimants or the multiple respondents is/are unable to appoint its/their
respective arbitrator, any party may request the appointing authority to appoint an arbitrator.
In making the appointment, the appointing authority shall summon the parties and their
respective counsel to appear before said authority
on the date, time and place set by it, for the purpose of selecting and appointing a sole arbitrator.
If a sole arbitrator is not appointed in such meeting, or the meeting does not take place because of
the absence of either or both parties despite due notice, the appointing authority shall appoint the
sole arbitrator. (Article 5.10, par. d, IRR, RA 9285)
If the default appointment of an arbitrator is objected to by a party on whose behalf the
default appointment is to be made, and the defaulting
party requests the appointing authority for additional time to appoint his/her arbitrator, the
appointing authority, having regard to the circumstances, may give the requesting party not more
than thirty (30) days to make the appointment.
If the objection of a party is based on the ground that the party did not fail to choose and
appoint an arbitrator for the arbitral tribunal, there
shall be attached to the objection the appointment of an arbitrator together with the latter’s
acceptance thereof and curriculum vitae. Otherwise, the appointing authority shall appoint the
arbitrator for that party. (Article 5.10, par. e, IRR, RA 9285)
In making a default appointment, the appointing authority shall have regard to such
considerations as are likely to secure the appointment
of an independent and impartial arbitrator. In order to achieve speedy and impartial justice and to
moderate the cost of arbitration, in choosing an arbitrator, the appointing authority shall give
preference to a qualified person who has a place of residence or business in the same general
locality as the agreed venue of the arbitration and who is likely to accept the arbitrator’s fees
agreed upon by the parties, or as fixed in accordance either with the internal guidelines or the
Schedule of Fees approved by the administering institution or by the appointing authority.
(Article 5.10, par. f, IRR, RA 9285) The appointing authority shall give notice in writing to the
parties of the appointment made or its inability to comply with the Request for
Appointment and the reasons why it is unable to do so, in which later case, the procedure
described under Article 5.5 (Court or Other Authority for Certain Functions of arbitration
Assistance and Supervision) shall apply. (Article 5.10, par. g, IRR, RA 9285)
A decision on a matter entrusted by this Article to the appointing authority shall be
immediately executory and not subject to appeal or
motion for reconsideration. The appointing authority shall be deemed to have been given by the
parties discretionary authority in making the appointment but in doing so, the appointing
authority shall have due regard to any qualification or disqualification of an arbitrator/s under
paragraph (a) of Article 5.10 (Appointment of Arbitrators) as well as any qualifications required
of the arbitrator/s by the agreement of the parties and to such considerations as are likely to
 secure the appointment of an independent and impartial arbitrator. (Article 5.10, par. h, IRR, RA
9285)
The chairman of the arbitral tribunal shall be selected in accordance with the agreement
of the parties and/or the rules agreed upon or, in
default thereof, by the arbitrators appointed. (Article 5.10, par. i, IRR, RA 9285)
Any clause giving one of the agreement, if otherwise valid, shall be construed as
permitting the appointment of one (1) arbitrator by all
claimants and one (1) arbitrator by all respondents. The third arbitrator shall be appointed as
provided above.
If all the claimants or all the respondents cannot decide among themselves on an
arbitrator, the appointment shall be made for them by the
appointing authority. Article 5.10, par. j, IRR, RA 9285)
The appointing authority may adopt Guidelines for the making of a Request for
Appointment. Article 5.10, par. k, IRR, RA 9285)
Except as otherwise provided in the Guidelines of the appointing authority, if any, a
Request for Appointment shall include, as applicable,
the following:
a. the demand for arbitration;
b. the name/s and curricula vitae of the appointed arbitrator/s;
c. the acceptance of his/her/its appointment of the appointed arbitrator/s;
d. any qualification or disqualification of the arbitrator as provided in the arbitration
agreement;
e. an executive summary of the dispute which should indicate the nature of the dispute and
the parties thereto; f. principal office and officers of a corporate party;
g. the person/s appearing as counsel for the party/ies; and
h. information about arbitrator’s fees where there is an agreement between the parties with
respect thereto.
In institutional arbitration, the request shall include such further information or
particulars as the administering institution shall require. Article
5.10, par. l, IRR, RA 9285)
A copy of the Request for Appointment shall be delivered to the adverse party. Proof of
such delivery shall be included in, and shall form
part of, the Request for Appointment filed with the appointing authority. Article 5.10, par. m,
IRR, RA 9285)
A party upon whom a copy of the Request for Appointment is communicated may, within
seven (7) days of its receipt, file with the
appointing authority his/her/its objection/s to the Request or ask for an extension of time, not
exceeding thirty (30) days from receipt of the request, to appoint an arbitrator or act in
accordance with the procedure agreed upon or provided by these Rules.
Within the aforementioned periods, the party seeking the extension shall provide the
appointing authority and the adverse party with a copy
of the appointment of his/her arbitrator, the latter’s curriculum vitae, and the latter’s acceptance
of the appointment. In the event that the said party fails to appoint an arbitrator within said
period, the appointing authority shall make the default appointment. (Article 5.10, par. n, IRR,
RA 9285) An arbitrator, in accepting an appointment, shall include, in his/her acceptance letter, a
statement that:
a. he/she agrees to comply with the applicable law, the arbitration rules agreed upon by the parties,
or in default thereof, these Rules, and the
Code of Ethics for Arbitrators in Domestic Arbitration, if any;
b. he/she accepts as compensation the arbitrator’s fees agreed upon by the parties or as determined
in accordance with the rules agreed upon by the parties, or in default thereof, these Rules; and
c. he agrees to devote as much time and attention to the arbitration as the circumstances may require
in order to achieve the objective of a speedy, effective and fair resolution of the dispute. (Article
5.10, par. 0, IRR, RA 9285) 101. What are the grounds to challenge an Arbitrator?
a. When a person is approached in connection with his/her possible appointment as an
arbitrator, he/she shall disclose any circumstance likely to give rise to justifiable doubts
as to his/her impartiality, independence, qualifications and disqualifications. An
arbitrator, from the time of his/her appointment and throughout the arbitral proceedings,
shall without delay, disclose any such circumstances to the parties unless they have
already been informed of them by him/her.
 A person, who is appointed as an arbitrator notwithstanding the disclosure made in
accordance with this Article, shall reduce the disclosure to writing and provide a copy of such
written disclosure to all parties in the arbitration.
b. An arbitrator may be challenged only if:
1. circumstances exist that give rise to justifiable doubts as to his/her impartiality or
independence;
2. he/she does not possess qualifications as provided for in this Chapter or those agreed
to by the parties;
3. he/she is disqualified to act as arbitration under these Rules;
4. he refuses to respond to questions by a party regarding the nature and extent of his
professional dealings with a party or its counsel.
c. If, after appointment but before or during hearing, a person appointed to serve as an
arbitrator shall discover any circumstances likely to create a presumption of bias, or
which he/she believes might disqualify him/her as an impartial arbitrator, the arbitrator
shall immediately disclose such information to the parties. Thereafter, the parties may
agree in writing:
1. to waive the presumptive disqualifying circumstances; or
2. to declare the office of such arbitrator vacant. Any such vacancy shall be filed in the
same manner the original appointment was made.
d. After initial disclosure is made and in the course of the arbitration proceedings, when the
arbitrator discovers circumstances that are likely to create a presumption of bias, he/she
shall immediately disclose those circumstances to the parties. A written disclosure is not
required where it is made during the arbitration and it appears in a written record of the
arbitration proceedings.
e. An arbitrator who has or has had financial or professional dealings with a party to the
arbitration or to the counsel of either party shall disclose in writing such fact to the
parties, and shall, in good faith, promptly respond to questions from a party regarding the
nature, extent and age of such financial or professional dealings. (Article 5.11., IRR, RA
9285) 102. What is the procedure to challenge an Arbitrator? The procedure to challenge
an arbitrator is as follows:
a. The parties are free to agree on a procedure for challenging an arbitrator, subject to the
provisions of paragraph (c) of this Article.
b. Failing such agreement, a party who intends to challenge an arbitrator shall, within
fifteen (15) days after becoming aware of the constitution of the arbitral tribunal or after
becoming aware of any circumstance referred to in paragraph (b) of Article 5.11
(Grounds for Challenge), send a written statement of the reasons for the challenge to the
arbitral tribunal. Unless the challenged arbitrator withdraws from his/her office or the
other party agrees to the challenge, the arbitral tribunal shall decide on the challenge.
c. If a challenge under any procedure agreed upon by the parties or under the procedure of
paragraph (b) of this Article in not successful, the challenging party may request the
appointing authority, within thirty (30) days after having received notice of the decision
rejecting the challenge, to decide on the challenge, which decision shall be immediately
executory and not subject to appeal or motion for reconsideration. While such a request
is pending, the arbitral tribunal, including the challenged arbitrator, may continue the
arbitral proceedings and make an award.
d. If a request for inhibition is made, it shall be deemed as a challenge.
e. A party may challenge an arbitrator appointed by him/her/it, or in whose appointment
he/she/it has participated, only for reasons of which he/she/it becomes aware after the
appointment has been made.
f. The challenge shall be in writing and it shall state specific facts that provide the basis for
the ground relied upon for the challenge. A challenge shall be made within fifteen (15)
days from knowledge by a party of the existence of a ground for a challenge or within
fifteen (15) days from the rejection by an arbitrator of a party’s request for his/her
inhibition.
g. Within fifteen (15) days of receipt of the challenge, the challenged arbitrator shall decide
whether he/she shall accept the challenge or reject it. If he/she accepts the challenge,
he/she shall voluntarily withdraw as arbitrator. If he/she rejects it, he/she shall
communicate, within the same period of time, his/her rejection of the challenge and state
the facts and arguments relied upon for such rejection.
 h. An arbitrator who does not accept the challenge shall be given an opportunity to be
heard.
i. Notwithstanding the rejection of the challenge by the arbitrator, the parties may, within
the same fifteen (15) day period, agree to the challenge.
j. In default of an agreement of the parties to agree on the challenge thereby replacing the
arbitrator, the arbitral tribunal shall decide on the challenge within thirty (30) days from
receipt of the challenge.
k. If the challenge procedure as agreed upon by the parties or as provided in this Article is
not successful, or a party or the arbitral tribunal shall decline to act, the challenging party
may request the appointing authority in writing to decide on the challenge within thirty
(30) days after having received notice of the decision rejecting the challenge. The
appointing authority shall decide on the challenge within fifteen (15) days from receipt
of the request. If the appointing authority shall fail to act on the challenge within thirty
(30) days from the date of its receipt or within such further time as it may fix, with
notice to the parties, the requesting party may renew the request with the court.
The request made under this Article shall include the challenge, the reply or explanation
of the challenged arbitrator and relevant
communication, if any, from either party, or from the arbitral tribunal.
l. Every communication required or agreement made under this Article in respect of a
challenge shall be delivered, as appropriate, to the challenged arbitrator, to the parties, to
the remaining members of the arbitral tribunal and to the institution administering the
arbitration, if any.
m. A challenged arbitrator shall be replaced if:
1. he/she withdraws as arbitrator, or
2. the parties agree in writing to declare the office of arbitrator vacant, or
3. the arbitral tribunal decides the challenge and declares the office of the challenged
arbitrator vacant, or
4. the appointing authority decides the challenge and declares the office of the challenged
arbitrator vacant, or
5. in default of the appointing authority, the court decides the challenge and declares the
office of the challenged arbitrator vacant.
n. The decision of the parties, the arbitral tribunal, the appointing authority, or in proper
cases, the court, to accept or reject a challenge is notsubject to appeal or motion for
reconsideration.
o. Until a decision is made to replace the arbitrator under this Article, the arbitration
proceeding shall continue notwithstanding the challenge, and the challenged arbitrator
shall continue to participate therein as an arbitrator. However, if the challenge incident is
raised before the court, because the parties, the arbitral tribunal or appointing authority
failed or refused to act within the period provided in paragraphs (j) and (k) of this Article,
the arbitration proceeding shall be suspended until after the court shall have decided the
incident. The arbitration shall be continued immediately after the court has delivered an
order on the challenging incident. If the court agrees that the challenged arbitrator shall
be replaced, the parties shall immediately replace the arbitrator concerned.
p. The appointment of a substitute arbitrator shall be made pursuant to the procedure
applicable to the appointment of the arbitrator being replaced. (Article 5.12., IRR, RA
9285)
103. What are the consequences if there is failure or impossibility to act?
a. If an arbitrator becomes de jure or de facto unable to perform his/her functions or for
other reasons fails to act without undue delay, his/hermandate terminates if he/she
withdraws from his/her office or if the parties agree on the termination. Otherwise, if a
controversy remains concerning any of these grounds, any party may request the
appointing authority to decide on the termination of the mandate, which decision shall be
immediately executory and not subject to appeal or motion for reconsideration.
b. If, under this Article or Article 5.12 (Challenge Procedure), an arbitrator withdraws from
his/her office or a party agrees to the termination of the mandate of an arbitrator, this
does not imply acceptance Of the validity of any ground referred to in this Article 5.12.
(Article 5.13., IRR,
RA 9285)

104. When is the appointment of a substitute arbitrator proper?

 Where the mandate of an arbitrator terminates under Articles 5.12 (Challenge Procedure)
or 5.13 (Failure or Impossibility) or because of his
withdrawal from office for any other reason or because of the revocation of his mandate by
agreement of the parties or in any other case of termination of his/her mandate, a substitute
arbitrator shall be appointed according to the rules applicable to the arbitrator being replaced.
(Article
5.14., IRR, RA 9285)

 JURISDICTION OF ARBITRAL TRIBUNAL

105. What are the grounds for objection over the jurisdiction of the arbitral tribunal?
a. When a demand for arbitration made by a party to a dispute is objected to by the adverse
party, the arbitral tribunal shall, in the firstinstance, resolve the objection when made on
any of the following grounds:
1. the arbitration agreement is in existent, void, unenforceable or not binding upon a
person for any reason, including the fact that the adverse party is not privy to said
agreement; or
2. the dispute is not arbitrable or is outside the scope of the arbitration agreement; or
3. the dispute is under the original and exclusive jurisdiction of a court or quasi-judicial
body,
b. If a party raises any of the grounds for objection, the same shall not preclude the
appointment of the arbitrator/s as such issue is for the arbitral tribunal to decide.
The participation of a party in the selection and appointment of an arbitrator and the
filling of appropriate pleadings before the arbitral
tribunal to question its jurisdiction shall not be construed as a submission to the jurisdiction of the
arbitral tribunal or of a waiver of his/her/its right to assert such grounds to challenge the
jurisdiction of the arbitral tribunal or the validity of the resulting award.
c. The respondent in the arbitration may invoke any such grounds to question before the
court the existence, validity, or enforceability of the arbitration agreement, or the
propriety of the arbitration, or the jurisdiction of the arbitrator and invoke the pendency
of such action as ground for suspension of the arbitration proceeding. The arbitral
tribunal, having regard to the circumstances of the case, and the need for the early and
expeditious settlement of the dispute, in light of the facts and arguments raised to
question its jurisdiction, may decide either to suspend the arbitration until the court has
made a decision on the issue or continue with arbitration.
d. If a dispute is, under an arbitration agreement, to be submitted to arbitration, but before
arbitration is commenced or while it is pending, a party files an action before the court
which embodies or includes as a cause of action the dispute that is to be submitted to
arbitration the filling of such action shall not prevent the commencement of the
arbitration or the continuation of the arbitration until the award is issued. (Article 5.15.,
IRR, RA 9285)
106. Can an arbitral tribunal order interim measures?
Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party, order any party
to take such interim measures of
protection as the arbitral tribunal may consider necessary in respect of the subject matter of the
dispute following the rules in this Article. Such interim measures may include, but shall not be limited
to preliminary injunction directed against a party, appointment of receivers or detention preservation,
inspection of property that is the subject of the dispute in arbitration. (Article 5.15, par. a, IRR, RA
9285) 107. When may a request for interim measure of protection be made?
After the constitution of the arbitral tribunal, and during arbitral proceedings, a request for interim
measures of protection, or modification
thereof, shall be made with the arbitral tribunal. The arbitral tribunal is deemed constituted when
the sole arbitrator or the third arbitrator, who has been nominated, has accepted the nomination
and written communication of said nomination and acceptance has been received by the party
making the request. (Article 5.15, par.b, IRR, RA 9285)
108. What are the Rules on interim or
provisional Relief that must be
observed? The following rules on
interim or provisional relief shall be
observed:
1. Any party may request that the provisional or interim relief be granted against the adverse party.
2. Such relief may be granted:
a. To prevent irreparable loss or injury;
b. To provide security for the performance of an obligation;
c. To produce or preserve evidence; or
d. To compel any other appropriate act or omissions.
3. The order granting provisional relief may be conditioned upon the provision of security or any
act or omission specified in the order.
4. Interim or provisional relief is requested by written application transmitted by reasonable means
to the arbitral tribunal and the party against whomrelief is sought, describing in appropriate detail
the precise relief, the party against whom the relief is requested, the ground for the relief and the
evidence supporting the request.
5. The order either granting or denying an application for interim relief shall be binding upon the
parties.
6. Either party may apply with the court for assistance in implementing or enforcing an interim
measure ordered by an arbitral tribunal.
7. A party who does not comply with the order shall be liable for all damages, resulting from
noncompliance, including all expenses, and reasonable attorney’s fee paid in obtaining the
order’s judicial enforcement. (Article 5.16, par. c, IRR, RA 9285)
 CONDUCT OF ARBITRAL PROCEEDINGS
109. Discuss the conduct of Arbitral proceedings
1. On Equal Treatment of Parties
The parties shall be treated with equally and each party shall be given a full opportunity
of presenting his/her/its case. (Article 5.17., IRR, RA 9285)
2. On Determination of Rules of Procedure
a. Subjected to the provisions of these Rules, the parties are free to agree on the procedure
to be followed by the arbitral tribunal inconducting the proceedings.
b. Failing such agreement, the arbitral tribunal may subject to the provision of the ADR Act,
conduct the arbitration in such manner as it considers appropriate. The power conferred
upon the arbitral tribunal includes the power to determine admissibility, relevance,
materially and weight of evidence. (Article 5.18., IRR, RA 9285)
3. On Place of Arbitration
a. The parties are free to agree on the place of arbitration. Failing such agreement, the place
of arbitration shall be in Metro Manila unless thearbitral tribunal, having regard to the
circumstances of the case, including the convenience of the parties, shall decide on a
different place of arbitration.
The arbitral tribunal may, unless otherwise agreed by the parties, meet at any place it
considers appropriate for consultation among its members, for hearing witnesses, experts or
the parties, or for inspection of goods, other property or documents. (Article 5.19., IRR, RA
9285)
4. On Commencement of Arbitral Proceedings
a. Where there is a prior arbitration agreement between the parties, arbitration is deemed
commenced as follows:
1. In institutional arbitration is commenced in accordance with the arbitration rules of
the institution agreed upon by the parties.
2. In ad hoc arbitration, arbitration is commenced by the claimant upon delivering to the
respondent a demand for arbitration. A demand may be in any form stating:
• the name, address and description of each of the parties;
• a description of the nature and circumstances of the dispute giving rise to the
claim;
• a statement of the relief sought, including the amount of the claim;
• the relevant agreements, if any, including the arbitration agreement, a copy
of which shall be attached; and  appointment of arbitrators and / or demand
to appoint.

b. If the arbitration agreement provides for the appointment of a sole arbitrator, the demand
shall include an invitation of the claimant to the respondent to meet and agree upon such
arbitrator, the place, time and date stated therein which shall not be less than thirty (30)
days from receipt of the demand.
c. If the arbitration agreement provides for the establishment of an arbitral tribunal of three
(3) arbitrators, the demand shall name the arbitrator appointed by the claimant. It shall
 include the curriculum vitae of the arbitrator appointed by the claimant and the latter’s
acceptance of the appointment.
d. Where there is no prior arbitration agreement, arbitration may be initiated by one party
through a demand upon the other to submit their dispute to arbitration. Arbitration shall
be deemed commenced upon the agreement by the other party to submit the dispute to
arbitration.
e. The demand shall required the respondent to name his/her/its/ arbitrator within a period
which shall not be less than fifteen (15) days from receipt of the demand. This period
may be extended by agreement of the parties. Within said period, the respondent shall
give a written notice to the claimant of the appointment of the respondent’s arbitrator and
attach to the notice the arbitrator’s curriculum vitae and the latter’s acceptance of the
appointment. (Article 5.20., IRR, RA 9285)
5. On Language
a. The parties are free to agree on the language or languages to be used in the arbitral
proceedings. Failing such agreement, the language tobe used shall be English or Filipino.
The language/s agreed, unless otherwise specified therein, shall be in all hearings and all
written statements, orders or other communication by the parties and the arbitral tribunal.
b. The arbitral tribunal may order that any documentary evidence shall be accompanied by a
translation into the language or languages agreed upon by the parties in accordance with
paragraph (a) of this Article. (Article 5.21., IRR, RA 9285)
6. On Statement of Claim and Defense
a. Within the period of time agreed by the parties or determined by the arbitral tribunal, the
claimant shall state the facts supporting his/her/its claim, the points at issue and the relief
or remedy sought, and the respondent shall state his/her defense in respect of these
particulars, unless the parties may have otherwise agreed as to the required elements of
such statements. The parties may submit with their statements all documents they
consider to be relevant or may add a reference to the documents or other evidence they
will submit.
b. Unless otherwise agreed by the parties, either party may amend or supplement his/her/its
claim or defense during the course of the arbitral proceedings, unless the arbitral tribunal
considers it inappropriate to allow such amendments having regard to the delay in
making it. (Article 5.22., IRR, RA 9285)
7. On Hearing and Written Proceedings
a. In ad hoc arbitration, the procedure determined by the arbitrator, with the agreement of
the parties, shall be followed. In institutionalarbitration, the applicable rules of procedure
of the arbitration institution shall be followed. In default of agreement of the parties, the
arbitration procedure shall be as provided in this Chapter 3, Rule 4, IRR of RA 9285.
b. Within thirty (30) days from the appointment of the arbitrator or the constitution of an
arbitral tribunal, the arbitral tribunal shall call the parties and their respective counsels to
a pre-hearing conference to discuss the following matters:

1. The venue or place/s where the arbitration proceeding may be conducted in an office
space, a business center, a function room or anysuitable place agreed upon by the
parties and the arbitral tribunal, which may vary per session/hearing/conference;
2. The manner of recording the proceedings;
3. The periods for the communication of the statement of claims with or without
counterclaims, and answer to the counterclaim/s and the form and contents of such
pleadings.
4. The definition of the issues submitted to the arbitral tribunal for determination and
the summary of the claims and counterclaims of the parties;
5. The manner by which evidence may be offered if an oral hearing is required, the
submission of sworn written statements in lieu of oral testimony, the cross-
examination and further examination of witnesses;
6. The delivery of certain types of communications such as pleadings, terms of
reference, order granting interim relief, final award and the like that, if made by
electronic or similar means, shall require further confirmation in the form of a hard
copy or hard copies delivered personally or by registered post.
7. The issuance of subpoena or subpoena duces tecum by the arbitral tribunal to compel
the production of evidence if either party shall or is likely to request it;
 8. The manner by which expert testimony will be received if a party will or is likely to
request the arbitral tribunal to appoint one or more experts, and in such case, the
period for the submission to the arbitrator by the requesting party of the proposed
terms of reference for the expert, the fees to be paid, the manner of payment to the
expert and the deposit by the parties or the requesting party of such amount necessary
to cover all expenses associated with the referral of such issues to the expert before
the expert is appointed;
9. The possibility of either party applying for an order granting interim relief either with
arbitral tribunal or with the court, and, in such case, the nature of the relief to be
applied for;
10. The possibility of a site or ocular inspection, the purpose of such inspection, and in
such case, the date, place and time of the inspection and the manner of conducting it,
and the sharing and deposit of any associated fees and expenses;
11. The amount to be paid to the arbitral tribunal as fees and the associated costs, charges
and expenses of arbitration and the manner and timing of such payments; and
12. Such other relevant matters as the parties and the arbitral tribunal may consider
necessary to provide for a speedy and efficient arbitration of the dispute.
c. To the extent possible, the arbitral tribunal and the parties shall agree upon any such
matters and in default of agreement, the arbitral tribunal shall have the discretion and
authority to make the decision, although in making decision, regard shall be given to the
views expressed by both parties.
d. The arbitral tribunal shall, in consultation with the parties, fix the date/s and the time of
hearing, regard being given to the desirability of conducting and concluding an
arbitration without undue delay.
e. The hearing set shall not be postponed except with the conformity of the arbitrator and
the parties and only for a good and sufficient cause. The arbitral tribunal may deny a
request to postpone or to cancel a scheduled hearing on the ground that a party has
requested or is intending to request from the court or from the arbitrator an order granting
interim relief.
f. A party may, during the proceedings, represent himself/herself/itself or through a
representative, at such hearing.
g. The hearing may proceed in the absence of a party who fails to obtain an adjournment
thereof or who, despite due notice, fails to be present, by himself/herself/itself or through
a representative, at such hearing.
h. Only parties, their respective representatives, the witnesses and the administrative staff of
the arbitral tribunal shall have the right to be present if the parties, upon being informed
of the presence of such person and the reason for his/her presence, interpose no objection
thereto.
i. Issues raised during the arbitration proceeding relating to (a) the jurisdiction of the
arbitral tribunal over one or more of the claims or counter claims, or (b) the arbitrability
of a particular claim or counter claim, shall be resolved by the arbitral tribunal as
threshold issues, if the parties so request, unless they are intertwined with factual issues
that they cannot be resolved ahead of the hearing on the merits of the dispute.
j. Each witness shall, before giving testimony, be required to take an oath/ affirmation
before the arbitral tribunal, to tell the whole truth and nothing but the truth during the
hearing.
k. The arbitral tribunal shall arrange for the transcription of the recorded testimony of each
witness and require each party to share the cost of recording and transcription of the
testimony of each witness.
l. Each party shall provide the other party with a copy of each statement or document
submitted to the arbitral tribunal and shall have an opportunity to reply in writing to the
other party's statements and proofs.
m. The arbitral tribunal may require the parties to produce such other documents or provide
such information as in its judgment would be necessary for it to render a complete, fair
and impartial award.
n. The arbitral tribunal shall receive as evidence all exhibits submitted by a party properly
marked and identified at the time of submission.
o. At the close of the hearing, the arbitral tribunal shall specifically inquire of all parties
whether they have further proof or witnesses to present; upon receiving a negative reply,
the arbitral tribunal shall declare the hearing closed.
 p. After a hearing is declared closed, no further motion or manifestation or submission may
be allowed except for post-hearing briefs and reply briefs that the parties have agreed to
submit within a fixed period after the hearing is declared closed, or when the arbitral
tribunal, motu proprio or upon request of a party, allows the reopening of the hearing.
q. Decisions on interlocutory matters shall be made by the sole arbitrator or by the majority
of the arbitral tribunal. The arbitral tribunal may authorized its chairman to issue or
release, on behalf of the arbitral tribunal, its decision on interlocutory matters.
r. Except as provide in section 17 (d) of the ADR Act. No arbitrator shall act as a mediator
in a any proceeding in which he/she is acting as arbitrator even if requested by the
parties; and all negotiations.
s. Before assuming the duties of his/her office, an arbitrator must be sworn by any officer
authorized by law to administer an oath or be required to make an affirmation to
faithfully and fairly hear and examine the matters in controversy and make a just award
according to the best his/her ability and understanding. A copy of the arbitrator's oath or
affirmation shall be furnished each party to the arbitration.
t. Either party may object to the commencement or continuation of an arbitration
proceeding unless the arbitrator takes an oath or affirmation as required in this chapter. If
the arbitrator shall refuse to take an oath or affirmation as required by law and this rule,
he/she shall be replaced. The failure to object to the absence of an oath or affirmation
shall be deemed a waiver of such objection and the proceedings shall continue in due
course and may not later be used as a ground to invalidate the proceedings.
u. the arbitral tribunal shall have the power to administer oaths to, or require affirmation
from, all witnesses directing them to tell the truth, the whole truth and nothing but the
truth in any testimony, oral or written, which they may give or offer in any arbitration
hearing. The oath or affirmation shall be required of every witness before his/her
testimony, oral or written, is heard or considered.
v. the arbitral tribunal shall have the power to required any person to attend a hearing as a
witness. It shall have the power to subpoena witnesses, to testify and/or produce
documents when the relevancy and materiality thereof has been shown to the arbitral
tribunal. The arbitral tribunal may also require the exclusion of any witness during the
testimony of any other witness. Unless the parties otherwise agree, all the arbitrators in
any controversy must attend all the hearings and hear the evidence of the parties. (Article
5.23., IRR, RA 9285) 110. When may the tribunal order interim measures of protection?
The Arbitral Tribunal may order interim measures of protection to any party under the following
circumstances:
a. unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party
and in accordance with the this Article, order anyparty to take such interim measures of
protection as the arbitral tribunal may consider necessary in respect of the subject matter
of the dispute of the procedure, Such interim measures may include, but shall not be
limited, to preliminary injunction directed against a party, appointment of receivers or
detention of property that is the subject of the dispute in arbitration or its preservation or
inspection.
b. After the constitution of the arbitral tribunal, and during the arbitration proceedings, a
request for interim measures of protection, or modification thereof, may be made with the
arbitral tribunal. The arbitral tribunal is deemed constituted when the sole arbitrator or
the third arbitrator, who has been nominated, has accepted the nomination and written
communication of said nomination and acceptance has been received by the party
making the request.
c. The following rules on interim or provisional relief shall be observed:
1. Any party may request that provisional or interim relief be granted against the
adverse party.
2. Such relief may be granted:
a. To prevent irreparable loss or injury;
b. To provide security for the performance of an obligation;
c. To produce or preserve evidence; or
d. To compel any other appropriate act or omissions.
3. The order granting provisional relief may be conditioned upon the provision of
security or any act or omission specified in the order.
4. Interim provisional relief is requested by written application transmitted by
reasonable means to the arbitral tribunal and the party against whom relief is sought,
 describing in appropriate detail of the precise relief, the party against whom relief is
requested the ground for the relief, and the evidence supporting the request.
5. The order either granting or denying an application for interim relief shall be binding
upon the parties.
6. Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
7. A party who does not comply with the order shall be liable for all damages, resulting
from noncompliance, including all expenses, and reasonably attorney’s fees, paid in
obtaining the order’s judicial enforcement.
d. The arbitral tribunal shall be have the power at any time, before rendering the award,
without prejudice to the rights of any party to petition the court to take measures to
safeguard an/or conserve any matter which is the subject of the dispute in arbitration.
(Article 5.24., IRR, RA 9285)
111. What are the possible consequences when
there is a default on either party? Unless
otherwise agreed by the parties, if, without
showing sufficient causes.
a. the claimant fails to communicate his/her/its statement of claim in accordance with
paragraph (a) of Article 5.22(Statement of Claim and
Defense), the arbitral tribunal shall terminate the proceedings;
b. ]the respondent fails to communicate his/her/its statement of defense in accordance with
paragraph (a) of Article 5.22 (Statements of Claim and Defense), the arbitral tribunal
shall continue the proceedings without treating such failure in itself as an admission of
the claimant’s allegations;
c. any party fails to appear at a hearing or to produce documentary evidence, the arbitral
tribunal may continue the proceedings and make the award based on the evidence before
it. (Article 5.26., IRR, RA 9285) 112. May the arbitral tribunal appoint an expert
witness?
Yes. An arbitral tribunal may appoint an expert witness under the following circumstances:
a. Unless otherwise agreed by the parties, the arbitral tribunal,
1. may appoint one or more experts to report to it on specific issues to be determined by the
arbitral tribunal; or
2. may require a party to give the expert any relevant information or to produce, or to
provide access to, any relevant documents, goods or other property for his/her inspection.
b. unless otherwise agreed by the parties, if a party so request or if the arbitral tribunal
considers it necessary, the expert shall, after delivery of his/her written or oral report,
participate in a hearing where the parties have the opportunity to put questions to
him/her and to present expert witnesses in order to testify on the points at issue.
c. upon agreement of the parties, the finding of the expert engaged by the arbitral tribunal
on the matter/s referred to him shall be binding upon the parties and the arbitral tribunal.
(Article 5.26., IRR, RA 9285)
113. May the Arbitral tribunal request assistance in taking evidence and other matters?
Yes. The arbitral tribunal may request the following from the court:
a. The arbitral tribunal or a party, with the approval of the arbitral tribunal may request
from a court, assistance in taking evidence such as theissuance of subpoena ad
testificandum and subpoena duces tecum, deposition taking, site or ocular inspection, and
physical examination of properties. The court may grant the request within its
competence and according to its rules on taking evidence.
b. The arbitral tribunal or a party to the dispute interested in enforcing an order of the
arbitral tribunal may request from a competent court, assistance in enforcing orders of the
arbitral tribunal, including but not limited, to the following:
1. Interim or provision relief;
2. Protective orders with respect to confidentiality;
3. Orders of the arbitral tribunal pertaining to the subject matter of the
dispute that may affect third persons and/or their properties; and/or
4. Examination of debtors. (Article 5.27., IRR, RA 9285) 114. What are the
rules applicable to the substance of dispute?
a. The arbitral tribunal shall decide the dispute in accordance with such law as is chosen by
the parties, In the absence of such agreement,Philippine law shall apply.
 b. The arbitral tribunal may grant any remedy or relief which it deems just and equitable
and within the scope of the agreement of the parties, which shall include, but not be
limited to, the specific performance of a contract.
c. In all cases, the arbitral tribunal shall decide in accordance with the terms of the contract
and shall take into account the usages of the trade applicable to the transaction. (Article
5.28., IRR, RA 9285) 115. Explain how the arbitral tribunal renders decision?
a. The arbitration proceedings with more than one arbitrator, any decision of the arbitral
tribunal shall be made, unless otherwise agreed bythe parties, by a majority of all its
members, However questions of procedure may be decided by the chairman of the
arbitral tribunal, if so authorized by the parties or all members of the arbitral tribunal.
b. Unless otherwise agreed upon by the parties, the arbitral tribunal shall render its written
award within thirty (30) days after the closing of all hearings and/or submission of the
parties’ respective briefs or if the oral hearings shall have been waived, within thirty(30)
days after the arbitral tribunal shall have declared such proceedings in lieu of hearing
closed. This period may be further extended by mutual consent of the parties. (Article
5.29., IRR, RA 9285)
116.What is the consequence if during the arbitral proceedings, the parties settle the dispute?
a. If, during arbitral proceedings, the parties settle the dispute, the arbitral tribunal, record
the settlement in the form of an arbitral award onagreed terms, consent award or award
based on compromise.
b. An award as rendered above shall be made in accordance with the provisions of Article
5.31 (Form and Contents of Award) and shall state that it is an award. Such an award has
the same status and effect as any other award on the merits of the case. (Article 5.30.,
IRR, RA 9285)
117.Cite the required form and contents of award.
a. The award shall be made in writing and shall be signed by the arbitral tribunal. In
arbitration proceedings with more than one arbitrator, thesignatures of the majority of all
members of the arbitral tribunal shall suffice, provided that the reason for any omitted
signature us stated.
b. The award shall state the reasons upon which is based, unless the parties have agreed that
no reasons are to be given or the award on agreed terms, consent award based on
compromise under Article 5.30 (Settlement).
c. The award shall state its date and the placed of arbitration as determined in accordance
with the paragraph (a) of Article 5.19 (Place of Arbitration). The award shall be deemed
to have made at that place.
d. After the award is made, a copy signed by the arbitrators in accordance with the
paragraph (a) of this Article shall be delivered to each party.
e. The award of the arbitral tribunal need not be acknowledged, sworn to under oath, or
affirmed by the arbitral tribunal unless so required on writing by the parties. If despite
such requirement, the arbitral tribunal shall fail to do as required, the parties may, within
thirty days from the receipt of said award, request the arbitral tribunal to supply the
omission. The failure of the parties to make an objection or make such request within the
said period shall be deemed a waiver or such requirement and may no longer be raised as
a ground to invalidate the award. (Article 5.31., IRR, RA 9285) 118. How is the Arbitral
proceedings terminated?
The arbitration proceedings are terminated by the final award or by an order of the
arbitral tribunal in accordance with paragraph (b) of this
Article5. 32, Chapter 3, IRR of RA
9285. (Article 5.32, par. b, IRR, RA 9285)
119. When should the Arbitral issue an order
of termination?
The arbitral tribunal shall issue an order for the termination of the arbitration proceedings when:
1. The claimant withdraws his claim, unless the respondents objects thereto for the purpose of
prosecuting his counterclaims in the same proceedings
of the arbitral tribunal recognizes a legitimate interest on his part in
obtaining a final settlement of the dispute; or 2. The parties
agree on the termination of the proceedings; or
3. The arbitral tribunal finds that the continuation of the proceedings has for any other reason before
unnecessary or impossible; or
4. The required deposits are not paid in full in accordance with paragraph (d) of Article 5.46 (Fees and
Costs). (Article 5.32, par. b, IRR, RA 9285) 120. When does the mandate of arbitral tribunal end?
Article 5.32. Termination of Proceedings.
a. The arbitration proceedings are terminated by the final award or by an order of the
arbitral tribunal in accordance with paragraph (b) of thisArticle.
b. The arbitral tribunal shall issue an order for the termination of the arbitration proceedings
when:

1. The claimant withdraws his claim, unless the respondents objects thereto for the
purpose of prosecuting his counterclaims in the same proceedings of the arbitral
tribunal recognizes a legitimate interest on his part in obtaining a final settlement of
the dispute; or
2. The parties agree on the termination of the proceedings; or
3. The arbitral tribunal finds that the continuation of the proceedings has for any other
reason before unnecessary or impossible; or 4. The required deposits are not
paid in full in accordance with paragraph (d) of Article 5.46 (Fees and Costs).
c. The mandate of the arbitral tribunal ends with the termination of the arbitration
proceedings, subject to the provisions of Article 5.33 (Correction and Interpretation of
Award) and Article 5.34 (Application for Settings Aside in Exclusive Recourse Against
the Arbitral Award).
d. Except as otherwise provided in the arbitration agreement, no motion for reconsideration
correction and interpretation of award or additional award shall be with the arbitral
tribunal. The arbitral tribunal, by releasing its final award, loses jurisdiction over the
dispute and the parties to the arbitral tribunal, by releasing its final award, loses
jurisdiction over the dispute and the parties to the arbitration. However, where is shown
that the arbitral tribunal failed to resolved an issue. Submitted to him or determination a
verified motion to complete a final award may be made within thirty(30) days from its
receipt.
e. Notwithstanding the foregoing, the arbitral tribunal may for special reason, reserved in
the final award in order a hearing to quantity costs and determine which party shall bear
the costs or apportionment thereof as may be determined to be a equitable. Pending
determination of this issue, the award shall not be deemed final for purposes of appeal,
vacations, correction, or any post-award proceedings.

Article 5.33. Correction and Interpretation of Award, Additional Award.

b. Within thirty (30) days from receipt of the award, unless another period of time has been
agreed upon by the parties.
1. A party may, with notice to the other party, the arbitral tribunal to correct in the
awards any errors in computation, any clerical or typographical errors or any errors
similar nature
2. If so agreed by the parties, with notice to the other party, may request the arbitral
tribunal to give an interpretation of a specific point or part of the award.

If the arbitral tribunal considers the request to be justified, it shall make the connection or give the
interpretation within thirty (30)
days from receipt of the request. The interpretation shall form part of the award.

c. The arbitral tribunal may correct any errors of the type referred to in paragraph (a) of this
Article on its own initiative within thirty (30) days of thedate of the award.
d. Unless otherwise agreed by the parties, a party may, with notice to the other party, may
request within thirty (30) days of receipt of the award, the arbitral tribunal to make an
additional award as to claims presented in the arbitral proceedings but omitted from the
award., If the arbitral tribunal considers the request to be justified, it shall make the
additional award within sixty (60) days.
e. The arbitral tribunal may extend, if necessary, the period of time within which it shall make a
correction, interpretation or an additional award under paragraphs (a) and (c) of this Article.
f. The provisions of Article 5.31 (Form and Contents of Award) shall apply to a correction or
interpretation of the award to an additional award. 121. What must the court do upon
application for setting aside an award?
The court when asked to set aside an award, may, where appropriate and so requested by a party, suspend
the setting aside proceedings
for a period of time determined by it in order to give the arbitral tribunal an opportunity to resume
the arbitral proceedings or to take such other action as in the arbitral tribunal’s opinion will eliminate
the grounds for setting aside an award. (Article 5.34., IRR, RA 9285) 122. What are the grounds to
vacate an Arbitral award?
The arbitral award may be questioned, vacated or set aside by the appropriate court in accordance
with the Special ADR Rules only on the following grounds:
1. The arbitral award was procured by corruption, fraud or other undue means; or
2. There was evident partially or corruption in the arbitral tribunal or any of its members; or
3. The arbitral tribunal was guilty of misconduct or any form of misbehavior that has materially
prejudiced the rights of any party such as refusing to postpone the hearing upon sufficient
cause shown or to hear evidence pertinent and material to the controversy; or
4. One or more of the arbitrators was disqualified to act as such under this Chapter and willfully
refrained from disclosing such disqualification ; or
5. The arbitral tribunal exceeded its powers, or so imperfectly executed them, such that a
complete, final and definite award upon the subject matter submitted to it was not made.
Any other ground raised to question, vacate or set aside the arbitral award shall be
disregarded by the court. (Article 5.35, par. a., IRR, RA 9285) 123. What may the parties do when a
petition to award or set aside an award is filed?
Where a petition to vacate or set aside an award is filed, the petitioner may simultaneously, or the
oppositor may in the alternative, petition
the court to remit the case to the same arbitral tribunal for the purpose of making a new or revised
final and definite award or to direct a new hearing before the same or new arbitral tribunal, the
members of which shall be chosen in the manner originally provided in the arbitration agreement
or submission. In the latter case, any provision limiting the time. In which the arbitral tribunal
may make a decision shall be deemed applicable to the new arbitral tribunal and to commence
from the date of the court’s order. (Article 5.35, par. b, IRR, RA 9285)
124. Where a party files a petition with the court to vacate or set aside an award by reason of
omission/s that do not affect the merits of the case and may be cured or remedied, what may the
adverse party do?
Where a party files a petition with the court to vacate or set aside an award by reason of omission/s that
do not affect the merits of the case
and may be cured or remedied, the adverse party may oppose that petition and instead request the
court to suspend the vacation or setting aside the proceedings for a period of time to give the
arbitral tribunal an opportunity to cure or remedy the award or resume the arbitration proceedings
or take such other action as will eliminate the grounds for vacation or setting aside. (Article 5.35,
par. c, IRR, RA 9285)

 RECOGNITION AND ENFORCEMENT OF AWARDS

125. What must the party moving for an order confirming, modifying, correcting, or vacating
an award do?
(Article 5.1., IRR, RA 9285)
126. When may the court enter its judgment?
(Article 5.1., IRR, RA 9285)
127. When may a decision of the Court confirming, vacating, setting aside, modifying or
correcting an arbitral award be appealed to? (Article 5.1., IRR, RA 9285)
128. What is the nature of the proceedings for the following?
a. Recognition and enforcement of an arbitration agreement or
b. Vacation or setting aside of an arbitral award, and
c. Any application with a court for arbitration assistance and supervision, except appeal.
Proceedings for recognition and enforcement of an arbitration agreement or for vacation or
setting aside an arbitral award, and any application with a court for arbitration assistance and
supervision, except appeal shall be deemed as special proceedings. (Article 5.39., IRR, RA 9285)
129. Where is the venue of the said proceedings?
The same shall be filed with the Court;
a. where the arbitration proceedings are conducted;
b. where the asset to be attached or levied upon, or the act to be enjoined is located;
c. where any of the parties to the dispute resides or has its place of business; or
 d. in the National Capital Judicial Region at the option of the applicant. (Article
5.39., IRR, RA 9285) 130. Is notice to parties required in a special proceedings for
recognition and enforcement of an Arbitral award? (Article 5.1., IRR, RA 9285)
131. In domestic Arbitration, is a party entitled to legal representation?
a. In domestic arbitration conducted in the Philippines, a party may be represented by any
person of his/her/its choice: Provided, that suchrepresentative, unless admitted to the practice
of law in the Philippines, shall not be authorized to appear as counsel in any Philippine Court,
or any other quasi-judicial body whether or such appearance is in relation to the arbitration in
which he/she appears.
b. No arbitrator shall act as mediator in any proceeding in which he/she is acting as arbitrator
and all negotiations towards settlement of the dispute must take without the presence of the
arbitrators. (Article 5.41., IRR, RA 9285) 132. Is the Arbitration proceedings privileged?
Yes. The arbitration proceedings, including the records, evidence and the arbitral award and other
confidential information, shall be considered
privileged and confidential and shall not be published except –
1. with consent of the parties; or
2. for the limited purpose of disclosing to the court relevant documents in cases where resort to the
court is allowed herein:
Provided, however, that the court in which the action or the appeal is pending may issue a
protective order to prevent or prohibit disclosure of
documents or information containing secret processes, developments, research and other information
where it is shown that the applicant shall be materially prejudiced by an authorized disclosure thereof.
(Article 5.42., IRR, RA 9285) 133. What is the consequence of the death of the party?
Where a party dies after making a submission or a contact to arbitrate as prescribed in Rules on
Recognition and Enforcement of Awards,
the proceeding may be begun or continued upon the application of, or notice to, his/her executor
or administrator, or to temporary administrator of his/her estate. In any such case, the court may issue
an order extending the time within which notice of a motion to recognize or vacate an award must be
served. Upon recognizing an award, where a party has died since it was filed or delivered, the court
must enter judgment in the name of the original party; and the proceedings thereupon are the same as
where a party dies after a verdict. (Article 5.43., IRR, RA 9285) 134. What are the rules in multi-party
arbitration?
(Article 5.1., IRR, RA 9285)
135. May the parties agree on consolidation of proceedings and holding
of concurrent hearings? (Article 5.1., IRR, RA 9285)
136. What are the rules in fees and costs?
(Article 5.1., IRR, RA 9285)

 ARBITRATION OF CONSTRUCTION DISPUTES

137. What agency governs
arbitration of construction
disputes? (Article 5.1., IRR,
RA 9285)

 OTHER ADR FORMS

138. If a dispute is already before a court, may a party, before and during pre-trial, file a motion to
refer the parties to other ADR forms/processes?

 NEUTRAL OR EARLY NEUTRAL EVALUATION

139. Cite the rules in the appointment of a Neutral or Early Neutral Evaluation

 MINI-TRIAL
140. How mini-trial is conducted?

 MEDIATION-ARBITRATION
141. What are the Rules on mediation-arbitration?
a. A Mediation-Arbitration shall be governed by the rules and procedure agreed upon by the
parties, In the absence of said agreement, Chapter 5 on Mediation shall first apply and
thereafter, Chapter 5 on Domestic Arbitration.
b. No Person shall having been engage and having acted as mediator of a dispute between
the parties, following a failed mediation, act as arbitrator of the same dispute, unless the
 parties, in a written agreement, expressly authorize the mediator to hear and decide the
case as an arbitrator.
c. The mediator who becomes an arbitrator pursuant to the Rule on Mediation-Arbitration
shall make an appropriate disclosure to the parties as if the arbitration proceeding had
commenced and will proceed as a new dispute resolution process, and shall, before
entering upon his/her duties, executive the appropriate oath or affirmation of office as
arbitrator in accordance with the Rule on Mediation-Arbitration. (Article 7.8., IRR, RA
9285) Terms to Ponder:

1. ADR Provider means the Institutions or persons accredited as mediators, conciliators, arbitrators,
neutral evaluators or any person exercising similar functions in any Alternative dispute resolution
system. This is without prejudice to the rights of the parties to choose non-accredited individuals to act
as mediator, conciliator, arbitrator or neutral evaluator of their dispute.
2. Alternative Dispute Resolution System means any process or procedures 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 the ADR Act, in which neutral third person participates to assist in the resolution
of issues, Including arbitration, mediation, conciliation, early neutral evaluation, mini-trial or any
combination thereof.
3. Arbitration means a voluntary dispute resolution process in which one or more arbitrators, appointed in
accordance with the agreement of the parties or these Rules, resolve a dispute by rendering an award.

4. Arbitration Agreement means agreement by the parties to submit to arbitration all or certain disputes
which have arisen or which may arise between them in respect of a defined legal relationship, whether
contractual or not. An arbitration agreement may be in the form of an arbitration clause in a contract or
in the form of a separate agreement.
5. Authenticate means to sign, execute, adopt a symbol or encrypt a record or establish the authenticity of
a record or term.
6. Award means any partial or final decision by an arbitrator in resolving the issue or controversy.
7. Confidential Information means any information, relative to the subject of mediation or arbitration,
expressly intended by the source not to disclosed, or obtained under circumstances that would create
reasonable expectation on behalf of the source that the information shall not be disclosed. It shall
include: (a) communication, oral or written, made in a dispute resolution proceeding, including any
memoranda, notes or work product of the neutral party or non-party participant;
(b) an oral or written statement made or which occurs during mediation or for purposes of
considering, conducting, participating, initiating, continuing orreconvening mediation or retaining a
mediator; and
(c)pleadings, motions, manifestations, witness statements, reports filed or submitted in arbitration or for
expert evaluation.
8. Counsel means a lawyer duly admitted to the practice of law in the Philippines and in good standing
who represents a party in any ADR process.
9. Court means Regional Trial Court Except insofar as otherwise defined under Model Law.
10. Government Agency means any governmental entity, office or officer, other than a court that is
vested by law with quasi-judicial power or the power to resolve or adjudicate disputes involving the
government, its agencies and instrumentalities or private persons.
11. Model Law means the Model on International Commercial Arbitration adopted by the United Nations
Commission on International Trade Law on 21 June 1985.
12. Proceedings means judicial, administrative or other adjudicative process, including related pre-
hearing or post hearing motions, conferences and discovery.
13. Record means information written on a tangible medium or stored in an electronic or other
similar medium, retrievable in a perceivable form.
14. Roster means a list of persons qualified to provide ADR services as neutrals or to serve as
arbitrators.
15. Special ADR Rules means the Special Rules of Court on Alternative Dispute Resolution issued

by the Supreme Court on September 1, 2009. SEGMENT VIII: ARBITRATION LAW (REPUBLIC

ACT NO. 876)

142. What is Republic Act No. 876?

 This Act shall be
known as "The Arbitration
Law." 143. What are the
subject matters of Arbitration
law?
Two or more persons or parties may submit to the arbitration of one or more arbitrators any controversy
existing between them at the time
of the submission and which may be the subject of an action, or the parties to any contract may in
such contract agree to settle by arbitration a controversy thereafter arising between them. Such
submission or contract shall be valid, enforceable and irrevocable, save upon such grounds as
exist at law for the revocation of any contract.
Such submission or contract may include question arising out of valuations, appraisals or other
controversies which may be collateral, incidental, precedent or subsequent to any issue between
the parties. (Sec. 2, RA 876)
144. Who are disqualified to arbitrate?
A controversy cannot be arbitrated where one of the parties to the controversy is an
infant, or a person judicially declared to be incompetent,
unless the appropriate court having jurisdiction approve a petition for permission to submit such
controversy to arbitration made by the general guardian or guardian ad litem of the infant or of
the incompetent.

But where a person capable of entering into a submission or contract has knowingly entered into
the same with a person incapable of so doing, the objection on the ground of incapacity can be taken
only in behalf of the person so incapacitated. (Sec. 2, RA 876) 145. What are the controversies or
cases not subject to RA No. 876?
This Act shall not apply to controversies and to cases which are subject to the jurisdiction
of the Court of Industrial Relations or which have
been submitted to it as provided by Commonwealth Act Numbered One
hundred and three, as amended. (Sec. 2, RA 876) 146. What is the form of the
Arbitration Agreement?
A contract to arbitrate a controversy thereafter arising between the parties, as well as a
submission to arbitrate an existing controversy shall
be in writing and subscribed by the party sought to be charged, or by his lawful agent.
The making of a contract or submission for arbitration described in section two hereof,
providing for arbitration of any controversy, shall be
deemed a consent of the parties to the jurisdiction of the Court of First Instance of the province or
city where any of the parties resides, to enforce such contract or submission. (Sec. 4, RA 876)
147. Discuss the Preliminary Procedure of Arbitration.
An Arbitration shall be instituted by:
a. In the case of a contract to arbitrate future controversies by the service by either party
upon the other of a demand for arbitration inaccordance with the contract. Such demand
shall be set forth the nature of the controversy, the amount involved, if any, and the relief
sought, together with a true copy of the contract providing for arbitration. The demand
shall be served upon any party either in person or by registered mail. In the event that the
contract between the parties provides for the appointment of a single arbitrator, the
demand shall be set forth a specific time within which the parties shall agree upon such
arbitrator. If the contract between the parties provides for the appointment of three
arbitrators, one to be selected by each party, the demand shall name the arbitrator
appointed by the party making the demand; and shall require that the party upon whom
the demand is made shall within fifteen days after receipt thereof advise in writing the
party making such demand of the name of the person appointed by the second party; such
notice shall require that the two arbitrators so appointed must agree upon the third
arbitrator within ten days from the date of such notice.
b. In the event that one party defaults in answering the demand, the aggrieved party may
file with the Clerk of the Court of First Instance having jurisdiction over the parties, a
copy of the demand for arbitration under the contract to arbitrate, with a notice that the
original demand was sent by registered mail or delivered in person to the party against
whom the claim is asserted. Such demand shall set forth the nature of the controversy, the
amount involved, if any, and the relief sought, and shall be accompanied by a true copy
of the contract providing for arbitration.
 c. In the case of the submission of an existing controversy by the filing with the Clerk of the
Court of First Instance having jurisdiction, of the submission agreement, setting forth the
nature of the controversy, and the amount involved, if any. Such submission may be filed
by any party and shall be duly executed by both parties.
d. In the event that one party neglects, fails or refuses to arbitrate under a submission
agreement, the aggrieved party shall follow the procedure prescribed in subparagraphs
(a) and (b) of Section 5 of RA 876. (Sec. 5, RA 876) 148. How is the hearing by court in
Arbitration conducted?
A party aggrieved by the failure, neglect or refusal of another to perform under an
agreement in writing providing for arbitration may petition
the court for an order directing that such arbitration proceed in the manner provided for in such
agreement. Five days notice in writing of the hearing of such application shall be served either
personally or by registered mail upon the party in default. The court shall hear the parties, and
upon being satisfied that the making of the agreement or such failure to comply therewith is not
in issue, shall make an order directing the parties to proceed to arbitration in accordance with the
terms of the agreement. If the making of the agreement or default be in issue the court shall
proceed to summarily hear such issue. If the finding be that no agreement in writing providing for
arbitration was made, or that there is no default in the proceeding thereunder, the proceeding shall
be dismissed. If the finding be that a written provision for arbitration was made and there is a
default in proceeding thereunder, an order shall be made summarily directing the parties to
proceed with the arbitration in accordance with the terms thereof.
The court shall decide all motions, petitions or applications filed under the provisions of
this Act, within ten days after such motions,
petitions, or applications have
been heard by it. (Sec. 7, RA 876)
149. When may a civil action be
stayed?
If any suit or proceeding be brought upon an issue arising out of an agreement providing
for the arbitration thereof, the court in which such
suit or proceeding is pending, upon being satisfied that the issue involved in such suit or
proceeding is referable to arbitration, shall stay the action or proceeding until an arbitration has been
had in accordance with the terms of the agreement: Provided, That the applicant, for the stay is not in
default in proceeding with such arbitration. (Sec. 7, RA 876) 150. How are Arbitrators appointed?
If, in the contract for arbitration or in the submission described in section two (2) of RA
876, provision is made for a method of naming or
appointing an arbitrator or arbitrators, such method shall be followed; but if no method be
provided therein the Court of First Instance shall designate an arbitrator or arbitrators.
The Court of First Instance shall appoint an arbitrator or arbitrators,
as the case may be, in the following instances: a. If the parties to the
contract or submission are unable to agree upon a single arbitrator; or
b. If an arbitrator appointed by the parties is unwilling or unable to serve, and his successor
has not been appointed in the manner in which he was appointed; or
c. If either party to the contract fails or refuses to name his arbitrator within fifteen days
after receipt of the demand for arbitration; or
d. If the arbitrators appointed by each party to the contract, or appointed by one party to the
contract and by the proper Court, shall fail to agree upon or to select the third arbitrator.
e. The court shall, in its discretion appoint one or three arbitrators, according to the
importance of the controversy involved in any of the preceding cases in which the
agreement is silent as to the number of arbitrators.
f. Arbitrators appointed under this section shall either accept or decline their appointments
within seven days of the receipt of their appointments. In case of declination or the
failure of an arbitrator or arbitrators to duly accept their appointments the parties or the
court, as the case may be, shall proceed to appoint a substitute or substitutes for the
arbitrator or arbitrators who decline or failed to accept his or their appointments. (Sec. 8,
RA 876)What are the qualifications of an Arbitrator? (Sec. 2, RA 876)
151. May additional Arbitrators be appointed?
Yes, Sec. 9 provides: “Where a submission or contract provides that two or more
arbitrators therein designated or to be thereafter appointed
 by the parties, may select or appoint a person as an additional arbitrator, the selection or
appointment must be in writing. Such additional arbitrator must sit with the original arbitrators
upon the hearing.” (Sec. 9, RA 876)
152. What must the Arbitrator do if, after appointment but before or during hearing, a person
appointed to service as an arbitrator shall discover any circumstance likely to create a
presumption of bias, or which he believes might disqualify him as an impartial Arbitrator?
If, after appointment but before or during hearing, a person appointed to serve as an
arbitrator shall discover any circumstances likely to
create a presumption of bias, or which he believes might disqualify him as an impartial arbitrator,
the arbitrator shall immediately disclose such information to the parties. Thereafter the parties
may agree in writing:
a. to waive the presumptive disqualifying circumstances; or
b. to declare the office of such arbitrator vacant. Any such vacancy shall be filled in the
same manner as the original appointment was made. (Sec. 10, RA 876)
153. Discuss the challenge to Arbitrators.
The arbitrators may be challenged only for the reasons mentioned in the preceding
section which may have arisen after the arbitration
agreement or were unknown at the time of arbitration.
The challenge shall be made before them.
If they do not yield to the challenge, the challenging party may renew the challenge
before the Court of First Instance of the province or city
in which the challenged arbitrator, or, any of them, if there be more than one, resides. While the
challenging incident is discussed before the court, the hearing or arbitration shall be suspended,
and it shall be continued immediately after the court has delivered an order on the challenging
incident. (Sec. 11, RA 876)
154. What is the procedure to be followed by the Arbitrator?
Subject to the terms of the submission or contract, if any are specified therein, are
arbitrators selected as prescribed herein must, within five
days after appointment if the parties to the controversy reside within the same city or province, or
within fifteen days after appointment if the parties reside in different provinces, set a time and
place for the hearing of the matters submitted to them, and must cause notice thereof to be given
to each of the parties. The hearing can be postponed or adjourned by the arbitrators only by
agreement of the parties; otherwise, adjournment may be ordered by the arbitrators upon their
own motion only at the hearing and for good and sufficient cause. No adjournment shall extend
the hearing beyond the day fixed in the submission or contract for rendering the award, unless the
time so fixed is extended by the written agreement of the parties to the submission or contract or
their attorneys, or unless the parties have continued with the arbitration without objection to such
adjournment.
The hearing may proceed in the absence of any party who, after due notice, fails to be
present at such hearing or fails to obtain an
adjournment thereof. An award shall not be made solely on the default of a party. The arbitrators
shall require the other party to submit such evidence as they may require for making an award.
No one other than a party to said arbitration, or a person in the regular employ of such
party duly authorized in writing by said party, or a
practicing attorney-at-law, shall be permitted by the arbitrators to represent before him or them
any party to the arbitration. Any party desiring to be represented by counsel shall notify the other
party or parties of such intention at least five days prior to the hearing.
The arbitrators shall arrange for the taking of a stenographic record of the testimony
when such a record is requested by one or more
parties, and when payment of the cost thereof is assumed by such party or parties.
Persons having a direct interest in the controversy which is the subject of arbitration shall
have the right to attend any hearing; but the
attendance of any other person shall be at the
discretion of the arbitrators. (Sec. 12, RA 876) 155. Are
Arbitrators required to take an oath?
Yes. Before hearing any testimony, arbitrators must be sworn, by any officer authorized
by law to administer an oath, faithfully and fairly to
hear and examine the matters in controversy and to make a just award according to the best of
their ability and understanding. Arbitrators shall have the power to administer the oaths to all
witnesses requiring them to tell the whole truth and nothing but the truth in any testimony which they
may give in any arbitration hearing. This oath shall be required of every witness before any of his
testimony is heard. (Sec. 13, RA 876) 156. Do Arbitrators have the power to issue subpoena duces
tecum and ad testificandum?
Yes. Arbitrators shall have the power to require any person to attend a hearing as a witness. They
shall have the power to subpoena witnesses and documents when the relevancy of the testimony
and the materiality thereof has been demonstrated to the arbitrators. Arbitrators may also require
the retirement of any witness during the testimony of any other witness. All of the arbitrators
appointed in any controversy must attend all the hearings in that matter and hear all the
allegations and proofs of the parties; but an award by the majority of them is valid unless the
concurrence of all of them is expressly required in the submission or contract to arbitrate. (Sec.
14, RA 876)
157. Do Arbitrators have the power to take measures to safeguard and/or conserve any matter subject
of the dispute in Arbitration?
Yes. The arbitrator or arbitrators shall have the power at any time, before rendering the
award, without prejudice to the rights of any party to
petition the court to take measures to safeguard and/or conserve any matter which is the subject
of the dispute in arbitration. (Sec. 14, RA 876) 158. How is the hearing of Arbitration conducted?
Arbitrators may, at the commencement of the hearing, ask both parties for brief
statements of the issues in controversy and/or an agreed
statement of facts. Thereafter the parties may offer such evidence as they desire, and shall
produce such additional evidence as the arbitrators shall require or deem necessary to an
understanding and determination of the dispute. The arbitrators shall be the sole judge of the
relevancy and materiality of the evidence offered or produced, and shall not be bound to conform to
the Rules of Court pertaining to evidence. Arbitrators shall receive as exhibits in evidence any
document which the parties may wish to submit and the exhibits shall be properly identified at the
time of submission. All exhibits shall remain in the custody of the Clerk of Court during the course of
the arbitration and shall be returned to the parties at the time the award is made. The arbitrators may
make an ocular inspection of any matter or premises which are in dispute, but such inspection shall be
made only in the presence of all parties to the arbitration, unless any party who shall have received
notice thereof fails to appear, in which event such inspection shall be made in the absence of such
party. (Sec. 15, RA 876) 159. When may the parties’ briefs be filed?
At the close of the hearings, the arbitrators shall specifically inquire of all parties whether
they have any further proof or witnesses to
present; upon the receipt of a negative reply from all parties, the arbitrators shall declare the
hearing closed unless the parties have signified an intention to file briefs. Then the hearing shall be
closed by the arbitrations after the receipt of briefs and/or reply briefs. Definite time limit for the
filing of such briefs must be fixed by the arbitrators at the close of the hearing. Briefs may filed by
the parties within fifteen days after the close of the oral hearings; the reply briefs, if any, shall be filed
within five days following such fifteen-day period. (Sec. 16, RA 876) 160. May a hearing be re-
opened?
Yes. The hearing may be reopened by the arbitrators on their own motion or upon the
request of any party, upon good cause, shown at any
time before the award is rendered. When hearings are thus reopened the effective date for the
closing of the hearings shall be the date of the closing of the reopened hearing. (Sec. 17, RA 876)
161. May parties submit their dispute to Arbitrator other than by oral hearing?
Yes. The parties to a submission or contract to arbitrate may, by written agreement,
submit their dispute to arbitration by other than oral
hearing. The parties may submit an agreed statement of facts. They may also submit their
respective contentions to the duly appointed arbitrators in writing; this shall include a statement
of facts, together with all documentary proof. Parties may also submit a written argument. Each
party shall provide all other parties to the dispute with a copy of all statements and documents
submitted to the arbitrators. Each party shall have an opportunity to reply in writing to any other
party's statements and proofs; but if such party fails to do so within seven days after receipt of
such statements and proofs, he shall be deemed to have waived his right to reply. Upon the
delivery to the arbitrators of all statements and documents, together with any reply statements,
the arbitrators shall declare the proceedings in lieu of hearing closed. (Sec. 18, RA 876)
162. When is the proper time to render award?
Unless the parties shall have stipulated by written agreement the time within which the
arbitrators must render their award, the written award
 of the arbitrators shall be rendered within thirty days after the closing of the hearings or if the oral
hearings shall have been waived, within thirty days after the arbitrators shall have declared such
proceedings in lieu of hearing closed. This period may be extended by mutual consent of the
parties. (Sec. 19, RA 876)
163. What must be the form and contents of the award?
The award must be made in writing and signed and acknowledged by a majority of the
arbitrators, if more than one; and by the sole
arbitrator, if there is only one. Each party shall be furnished with a copy of the award. The
arbitrators in their award may grant any remedy or relief which they deem just and equitable and
within the scope of the agreement of the parties, which shall include, but not be limited to, the
specific performance of a contract.
In the event that the parties to an arbitration have, during the course of such arbitration,
settled their dispute, they may request of the
arbitrators that such settlement be embodied in an award which shall be signed by the arbitrators.
No arbitrator shall act as a mediator in any proceeding in which he is acting as arbitrator; and all
negotiations towards settlement of the dispute must take place without the presence of the
arbitrators.
The arbitrators shall have the power to decide only those matters which have been
submitted to them. The terms of the award shall be
confined to such disputes.
The arbitrators shall have the power to assess in their award the expenses of any party
against another party, when such assessment shall
be deemed
necessary. (Sec.
20, RA 876)
164. Is
Arbitration a
special
proceeding?
Yes. (Arbitration under a contract or submission shall be deemed a special proceeding, of
which the court specified in the contract or
submission, or if none be specified, the Court of First Instance for the province or city in which
one of the parties resides or is doing business, or in which the arbitration was held, shall have
jurisdiction. Any application to the court, or a judge thereof, hereunder shall be made in manner
provided for the making and hearing of motions, except as otherwise herein expressly provided. (Sec.
22, RA 876) 165. When may the order of confirmation of award be made?
At any time within one month after the award is made, any party to the controversy
which was arbitrated may apply to the court having
jurisdiction, as provided in section twenty-eight, for an order confirming the award; and
thereupon the court must grant such order unless the award is vacated, modified or corrected, as
prescribed herein. Notice of such motion must be served upon the adverse party or his attorney as
prescribed by law for the service of such notice upon an attorney in action in the same court. (Sec. 23,
RA 876) 166. What are the grounds to vacate an award?
In any one of the following cases, the court must make an order vacating the award upon the
petition of any party to the controversy when such party proves affirmatively that in the
arbitration proceedings:
a. The award was procured by corruption, fraud, or other undue means; or
b. That there was evident partiality or corruption in the arbitrators or any of them; or
c. That the arbitrators were guilty of misconduct in refusing to postpone the hearing upon
sufficient cause shown, or in refusing to hear evidence pertinent and material to the
controversy; that one or more of the arbitrators was disqualified to act as such under
section nine hereof, and wilfully refrained from disclosing such disqualifications or of
any other misbehavior by which the rights of any party have been materially prejudiced;
or
d. That the arbitrators exceeded their powers, or so imperfectly executed them, that a
mutual, final and definite award upon the subject matter submitted to them was not
made.
Where an award is vacated, the court, in its discretion, may direct a new hearing either before
the same arbitrators or before a new arbitrator or arbitrators to be chosen in the manner provided
in the submission or contract for the selection of the original arbitrator or arbitrators, and any
 provision limiting the time in which the arbitrators may make a decision shall be deemed
applicable to the new arbitration and to commence from the date of the court's order.
Where the court vacates an award, costs, not exceeding fifty pesos and disbursements may be
awarded to the prevailing party and the payment thereof may be enforced in like manner as the
payment of costs upon the motion in an action. (Sec. 24, RA 876) 167. What are the grounds to
modify or correct an award?
In any one of the following cases, the court must make an order modifying or correcting
the award, upon the application of any party to the
controversy which was arbitrated:
a. Where there was an evident miscalculation of figures, or an evident mistake in the
description of any person, thing or property referred to in the award; or
b. Where the arbitrators have awarded upon a matter not submitted to them, not affecting
the merits of the decision upon the matter submitted; or
c. Where the award is imperfect in a matter of form not affecting the merits of the
controversy, and if it had been a commissioner's report, the defect could have been
amended or disregarded by the court.
The order may modify and correct the award so as to effect the intent thereof and
promote justice between the parties. (Sec. 25, RA 876) 168. When should a notice of a motion to
vacate, modify or correct the award be served?
Notice of a motion to vacate, modify or correct the award must be served upon the
adverse party or his counsel within thirty days after
award is filed or delivered, as prescribed by law for the service upon
an attorney in an action. (Sec. 26, RA 876) 169. When may the judgment
be made?
Upon the granting of an order confirming, modifying or correcting an award, judgment
may be entered in conformity therewith in the court
wherein said application was filed. Costs of the application and the proceedings subsequent
thereto may be awarded by the court in its discretion. If awarded, the amount thereof must be
included in the judgment. (Sec. 27, RA 876)
170. What are the papers that must accompany the motion to confirm, modify, correct or vacate the
award?
The party moving for an order confirming, modifying, correcting, or vacating an award,
shall at the time that such motion is filed with the
court for the entry of judgment thereon also file the following papers with the Clerk of Court;
a. The submission, or contract to arbitrate; the appointment of the arbitrator or arbitrators;
and each written extension of the time, if any, withinwhich to make the award.
b. A verified of the award.
c. Each notice, affidavit, or other paper used upon the application to confirm, modify,
correct or vacate such award, and a copy of each of the court upon such application.
The judgment shall be docketed as if it were rendered in an action.
The judgment so entered shall have the same force and effect in all respects, as, and be
subject to all the provisions relating to, a judgment
in an action; and it may be enforced as if it had been rendered in the
court in which it is entered. (Sec. 28, RA 876) 171. When may an appeal be
taken?
An appeal may be taken from an order made in a proceeding under this Act, or from a judgment entered
upon an award through certiorari
proceedings, but such appeals shall be limited to questions of law. The proceedings upon such an
appeal, including the judgment thereon shall be governed by the Rules of Court in so far as they
are applicable. (Sec. 29, RA 876)
172. What is the consequence if a party if a party dies after making a submission or a contract to
arbitrate?
Where a party dies after making a submission or a contract to arbitrate as prescribed in this Act, the
proceedings may be begun or
continued upon the application of, or notice to, his executor or administrator, or temporary
administrator of his estate. In any such case, the court may issue an order extending the time
within which notice of a motion to confirm, vacate, modify or correct an award must be served.
Upon confirming an award, where a party has died since it was filed or delivered, the court must
enter judgment in the name of the original party; and the proceedings thereupon are the same as
where a party dies after a verdict. (Sec. 30, RA 876)
 Chapter 2

KATARUNGANG PAMBARANGAY LAW

(Sections 399 – 422 of the Local Government Code)
&
Restorative Justice
Pre-Test
1. It refers toa system of justice administered at the barangay level for the purpose of amicable settling
disputes through mediation, conciliation or abitration among the family or barangay without resorting to
the courts
a. Criminal Justice Systemc. Barangay System
b. Katarungang Barangay (KP) d. B or C
2.The Chairperson of Lupong Tagapamayapa
a. Barangay Chairman c. Eldest person in the Barangay
b. Barangay Secretary d. SK Chairperson
3. It is a body organized in every barangay composed of Punong Barangay as the chairperson and not less than
ten (10) and more than twenty from which the members of every Pangkat shall be chosen.
a. Lupong Tagapamayapa (Lupon) c. Barangay Tanod
b. Pangkat Tagapagkasundo d. Vigilantes
4. It is an agreement reached during mediation and conciliation proceedings.
a. Arbitration c. Repudiation
b. Conciliation d. Amicable Settlement
5. It refers to a principle which requires a process of resolving conflicts with the maximum involvement of the
victim, the offender and the community.
a. Restorative Justice c. Commutative Justice
b. Retributive justice d. Criminal Justice
Learning
Objectives After successfully completing this module,
students will:
 Be well-informed with the scope of Presidential Decree 1508, known as the Katarungang
Pambarangay Law and some provisions of RA 7160 otherwise known as the Local Government Code
of the Philippines;
 Learn the function and composition of the Pangkat ng Tagapagkasundo and Lupong Tagapamayapa
including the crimes cognizable by the Lupon;
 Determine the subject matters for amicable settlement;
 Be informed the processes and rules to be considered in determining the venue in settling disputes;
 Explain the concept of restorative justice; and
 Differentiate restorative and retributive justice.
Segment IX: Katarungang Pambarangay Law

Introduction
To give teeth to the Barangay Captains, Presidential Decree 299 which was made into law in September
1973 gave them ample authority and power
to adequately discharge their peace – making responsibilities and to act as auxiliaries of the law. They
were considered persons in authority, while the other barangay leaders were deemed agents of persons in
authority. In effect, the barangays through the respective Barangay Captains and other barangay leaders
are involved in law enforcement tasks and also in other aspects of the criminal justice system.
On August 5, 1974, Presidential Decree 528 was enacted and it laid the groundwork for the
decentralization of the government’s program for the
prevention and control of crime and delinquency on the community level through the active involvement
of the barangays and their members. Its rationale was the fact that crime and delinquency, being problems
of the community, must be solved by the community on the local level with adequate guidance from the
proper authorities.
In 1978, Presidential Decree 1508, known as the Katarungang Pambarangay Law, was enacted
and it provided a procedure on amicably settling
disputes in the barangay level. It also defined the duties and responsibilities of barangay officials in
dispute settlement, the rules in determining venue, the subject matter of settlement, among others.
 It became a policy of the State in the 1987 Philippine Constitution to ensure the autonomy of
local governments including the barangay. (Sec 25, Art 2
of the Philippine Constitution) To ensure the compliance of said policy of the State, the Congress was
directed to enact a local government code which shall provide for a more responsive and accountable
local government structure instituted through a system of decentralization with effective mechanisms of
recall, initiative, and referendum; allocate among the local government units their powers, responsibilities
and resources; and provide for the qualifications, election, appointment, and removal, term, salary,
powers, and functions and duties of local officials, and all other matters relating to the organization and
operation of local units. (Sec 3, Art 10 of the Philippine Constitution)
As a response of the Congress to comply with what was mandated by the Constitution, it enacted
Republic Act 7160 which was approved on October 10, 1991 and took effect on January 1, 1992.
Republic Act 7160 is the Local Government Code of the Philippines where sections 399 – 422 of it deal
with
Katarungang Pambarangay. In other words, some provisions of Presidential Decrees 299, 528, and 1508
were amended by Sections 399 – 422 of the Local
Government Code. The Katarungang Pambarangay exists only in the Philippines and it features how
Filipinos resolve disputes without undergoing the Criminal Justice System. The said portion of the Local
Government Code also shows how a Barangay Chairman has a legislative, executive and judiciary
powers at the same time. He has a legislative power by chairing the Barangay Council, he has an
executive power by executing or enforcing the ordinance passed by the council, and he has a judicial
power by chairing the Lupong Tagapamayapa.
The katarungang Pambarangay which is also known as Barangay Justice System or Village
Justice, would somehow help out the party litigants from
trouble in going in the court of law and at the same time help the court of law to ease out the delicate task
in attending to minor offenses punishable by imprisonment not exceeding one year or a fine not
exceeding five thousand pesos. Said offenses must be resolved by the community through its barangay
chairman or lupon with adequate guidance from the proper authorities, not strictly adhering to technical
procedural processes, but without sacrificing justice.
(Class discussion of Dizon, 2005 & Tradio, 1996)

1. What is PD 1508?
This refers to an Act Establishing a System of Amicably Settling Disputes at the Barangay Level.
2. What is RA 7160?
RA 7160 is otherwise known as the 1991 Local Government Code. This gives barangays the
mandate to enforce peace and order and provide support for the effective enforcement of human
rights and justice. Decentralization has facilitated the recognition of the Katarungang Pambarangay or
Barangay Justice System as an alternative venue for the resolution of disputes. The challenge facing
local governments now is to maximize and harness the katarungang pambarangay as one of the most
valuable mechanisms available in administering justice, advancing human rights protection and
resolving and/or mediating conflict at the barangay level through non-adversarial means.
In addition, this law expanded the scope and powers of the Katarungang Pambarangay or the
Barangay Justice System designed not merely to decongest the courts of cases but to address
inequalities in access to justice, particularly experienced by marginalized communities. The
barangays, being the basic political unit in the country, is in the most strategic position to facilitate
resolution or mediation of community and family disputes, alongside its mandate to deliver basic
services.
3. What is Katarungang Pambarangay?
Katarungang Barangay (KP) is a system of justice administered at the barangay level for the
purpose of amicable settling disputes through mediation, conciliation or abitration among the family
or barangay without resorting to the courts. The Katarungang Pambarangay or Barangay Justice
System is a community-based dispute settlement mechanism that is administered by the basic
political unit of the country, the barangay. As a community based mechanism for dispute resolution, it
covers disputes between members of the same community (generally, same city/municipality) and
involves the Punong Barangay and other members of the communities (the Lupon members) as
intermediaries (mediators, conciliators, and, sometimes, arbitrators).
Take Note: Under the Barangay Justice System, the main strategy for settling disputes is to
provide a venue for the disputing parties to search for a solution that is mutually acceptable. Hence,
the primary role of the system is not to decide disputes and impose a solution on the parties but to
assist the parties in discussing the possible amicable settlement of their disputes. The Punong
Barangay and the community conciliators (Lupon members) do not act as judges or adjudicators of
 disputes but as facilitators for the disputing parties’ discussion of possible solutions. For this reason,
the personal appearance and participation of the disputing parties is necessary, while the non-
appearance of the parties will have corresponding sanctions. Also because of the need for the
disputing parties’ personal participation in the conciliation proceedings, disputes involving non-
natural persons like corporations are not subject to the conciliation proceedings of the Barangay
Justice System.
4. What is barangay? What is its role?
Barangay defined:
The barangay, as the basic political unit, serves as the primary planning and implementing unit of
government policies, plans, programs, projects, and
activities in the community, and as a forum wherein the collective views of the people may be expressed,
crystallized, and considered, and where disputes may be amicably settled. (Sec 384 of the Local
Government Code) The Barangay Chief Officials and Offices are the following:
There shall be in each barangay a Punong Barangay, seven (7) Sangguniang Barangay Members,
a Sangguniang Kabataan Chairman, a Barangay Secretary, and a Barangay Treasurer.
There shall also be in every barangay a Lupong Tagapamayapa. The Sangguniang Barangay may
form community brigades and create such other
positions and offices as may be deemed necessary to carry out the purposes of the barangay government
in accordance with the needs of public service subject to the budgetary limitations and to other provisions
of laws. (Art 387 of the Local Government Code)
The Punong Barangay, the seven (7) Sangguniang Barangay Members, the Sangguniang
Kabataan Chairman, the Barangay Secretary, the Barangay Treasurer, and the members of Lupong
Tagapamayapa in each barangay shall be deemed persons in authority in their jurisdiction, while the other
barangay officials and members who may be designated by law or ordinance in charged with the
maintenance of public order, protection and security of life and property, or maintenance of desirable and
balance environment, and any barangay member who comes to the aid of persons in authority, shall be
deemed agents of persons in authority. (Art 388 of the Local Government Code)
Take Note: For purposes of this discussion, the terms Barangay Chairman, Barangay Captain, Lupon
Chairman, and Punong Barangay refer to the same person.
State the manner of electing or appointing officials of Barangay.
The Barangay officials shall be elected or appointed in the following manner:
a. The Barangay Chairman shall be elected in an election called for that purpose; and
Under the Philippine Constitution, the term of office of elective local officials, except barangay
officials, which shall be determined by law, shall be
three years and no such official shall serve for more than three consecutive terms. (Sec 8, Art X of the
Philippine Constitution)
The term of office of barangay chairmen and Sangguniang Barangay Members shall be five (5)
years. (Par c, Sec 1 of RA 8524)
b. he Barangay Secretary and Barangay Treasurer shall be appointed by the Punong Barangay with
concurrence of the majority of all the Sangguniang
Barangay Members. Their appointment shall not be subject to attestation by the Civil Service
Commission; (Sec 394 & 395 of the Local Government Code)
Who is the Barangay Secretary of the lupon? What are his duties?
The Barangay Secretary shall concurrently serve as the secretary of the Lupon. His duties are the
following:
a. He shall record the results of the mediation proceedings before the Punong Barangay and shall
submit a report thereon to the proper city or municipal courts;
b. He shall receive and keep the records of proceedings submitted to him by various conciliation
panels; and
c. He shall issue certified true copies of any public record in his custody that is not by law otherwise
declared confidential. (Sec 394 of the Local Government Code)
Take Note: The word “concurrently” means at the same time. (Aquino, 2005)
5. What is LupongTagapamayapa?
 Lupong
Tagapamayapa(Lupon) is a
body organized in every
barangay composed
ofPunong Barangay as
the chairperson and not
less thanten (10) and
more than twenty from
which the members
ofevery Pangkat shall be
chosen.
6. Who has the authority
toconstitute the Lupon?
The Punong
Barangaycan appoint the
lupon members. It is
his/her
exclusiveprerogative —
no need for approval,
confirmation
orratification of the
sangguniang barangay.
7. What are the six (6) steps
toconstitute a Lupon?
STEP 1: Determining theactual number of Lupon
Members;
STEP 2: Preparing a notice toconstitute the Lupon;
STEP 3: Posting the notice toconstitute the Lupon;
STEP 4: Appointment ofLupon Members;
STEP 5: Oath taking of Luponmembers;
STEP 6: Posting
8. When and how the PunongBarangay constitute the Lupon?
A notice to constitute theLupon, which shall include the names of the proposedmembers who
have expressed
their willingness to serve, shallbe prepared by the Barangay Chairman within the firstfifteen (15)
days from the start of his term of office.

9. How many members shouldthe Punong Barangay include in the list?

A minimum of ten (10)and maximum of twenty (20) members.

10. Who are qualified and disqualified members of Lupon?

The lupong tagapamayapa shall be composed of Punong Barangay as chairman and ten (10) to
twenty (20) members. The qualifications of the members are the following:
a. Actually residing or working in the barangay;
b. Not expressly disqualified by law; and
c. Possessing integrity, impartiality, independence of mind, sense of fairness, and reputation for
probity. (Sec 399 of the Local Government Code)

Below are the Qualified and Disqualified to be Lupon Members:

Figure 1: Qualified and Disqualified Members of Lupon

11. After identifying the 10-20 members of the Lupon, what are the next steps?
The Barangay Secretary, who is also the concurrent secretary of Lupon, shall prepare a notice to
constitute the Lupon using KP form 1.
Take Note: Such notice shall be posted in three (3) conspicuous places in the barangay. Said notice shall
contain an invitation to all
barangay members to
endorse or oppose the
proposedappointment of any
person/s included in the list.
Therecommendation shall be
made within the period of
posting forthree weeks.

Figure 2: KP FORM NO. 1

Take Note: Within ten (10) days from completion of the posting requirement, the Chairman shall appoint
those he determines to be the members of the Lupon using KP form 2. He must, however, take into
consideration any opposition to the proposed appointment.

Be noted further that the appointments shall be in writing, signed by the Barangay Chairman, and attested
by the Barangay Secretary. The members
of the Lupon shall serve for three (3) years. (Secs 397 & 39
 Figure 3: KP FORM NO. 2
Local Government Code)
Take Note: The Newly Appointed
Lupon Members shall take their Oath
immediately Before the Punong
Barangay using KP Form 5.

Figure 4: KP FORM NO. 5

Be noted further that the List
ofappointed Lupon Members
shall be posted in three
strategicand highly visible
places in the
Barangay.

12. The term of office of

Luponmembers and the
manner of filling up
vacancies:
The Lupon members shall
holdoffice until a new lupon
is constituted on the third
yearfollowing his
appointment unless sooner
terminated byresignation,
transfer of residence, or place
of work, or withdrawal of appointment by the Punong Barangay withconcurrence of the majority of all
the members of theLupon.Should vacancy occur in the Lupon for any cause, thePunong Barangay shall
immediately appoint a qualifiedperson who shall hold office only for the unexpired portion of theterm of
the predecessor. (Sec
401 of the Local Government Code)
Figure 5: KP FORM NO. 6

13. Are the lupon members entitled to some compensation? Do they have benefits due to them?
The Lupon members shall serve without any compensation. If the barangay has enough funds, we
can always give honoraria to Lupon members who have participated in the resolution of a particular
case. On the other hand, under Commission on Higher Education (CHED) order 62 series of 1997,
two daughters or sons of a Lupon member are qualified to become a state scholar in tertiary education
to any state colleges or universities.

State the functions of the Lupong Tagapamayapa:

The functions of the Lupong Tagapamayapa are the following:
a. Exercises administrative supervision over the concillation panels provided under the law;
b. Meets regularly once a month to provide a forum for exchange of ideas among its members and
the public on matters relevant to amicable settlement of disputes, and to enable various
conciliation panel members to share with one another their observations and experiences in
effecting speedy resolution of disputes; and
c. Exercises such other powers and perform such other duties and functions as may be prescribed by
law or ordinance. (Sec 402 of the Local Government Code)
14. What is Pangkat ng Tagapagkasundo. State its composition:
Pangkat ng Tagapagkasundo is a conciliation panel constituted for each dispute brought
before the Lupon. It is composed of three (3) members
who shall be chosen by the parties to the dispute from the list of members of the Lupon.
Should the parties fail to agree on the Pangkat membership, the same shall be determined by lots
drawn by the Barangay Chairman. (Sec 404 of the
Local Government Code)

How shall the Pangkat organize?

The three (3) members constituting the Pangkat shall elect from among themselves the chairman
and the secretary. The secretary shall prepare the
minutes of the Pangkat proceedings and submit a copy duly attested to by the chairman to the Lupon
Secretary and to the proper city or municipal courts. He shall issue and caused to be served notices to the
parties concerned. (Sec 404 of the Local Government Code)

How shall the vacancies in the Pangkat be filled up?

Any vacancy in the Pangkat shall be chosen by the parties to a dispute from among the Lupon
members. Should the parties fail to agree on a
common choice, the vacancy shall be filled by lot to be drawn by Lupon Chairman. (Sec 405 of the Local
Government Code)

15. What is the character of office of Lupon members?

The Lupon members, while in the performance of their official duties or on occasion thereof,
shall be considered persons in authority, as defined in the
Revised Penal Code. (Sec 406 of the Local Government Code)

Take Note: As an effect, if a Lupon member is assaulted or attacked while in performance of official duty
or on occasion thereof, the crime committed is Direct Assault. (Reyes, 2008)

16. Are all disputes subject to Barangay Conciliation before filing a Complaint in Court or any
government offices?
All disputes are subject to barangay conciliation and prior recourse thereto is a pre – condition
before filing a complaint in court or any government
offices, except in the following disputes:
a. Where one party is the government, or any subdivision or instrumentality thereof;
b. Where one party is a public officer or employee and the dispute relates to the performance
of his official functions;
c. Where the dispute involves real properties located in different cities and municipalities, unless the
parties thereto agree to submit their difference to amicable settlement by an appropriate Lupon;
d. Any complaint by or against corporations, partnerships or juridical entities, since only individuals
shall be parties to barangay conciliation proceedings either as complainants or respondents;
e. Disputes involving parties who actually reside in barangays of different cities or municipalities,
except where such barangay units adjoin each other and the parties thereto agree to submit their
differences to amicable settlement by an appropriate Lupon;
f. Offenses for which the law prescribes a maximum penalty of imprisonment exceeding one (1)
year or a fine of over five thousand pesos (P5,000.00); g. Offenses where there is no private
offended party;
h. Disputes where urgent legal action is necessary to prevent injustice from being committed or further
continued, specifically the following:
 Criminal cases where the accused is under police custody or detention;
 Petitions for habeas corpus by a person illegally deprived of his rightful custody over
another or a person illegally deprived of or on acting in his behalf;
 Actions coupled with provisional remedies such as preliminary injunction, attachment,
delivery of personal property and support during the pendency of the action; and
 Actions which may be barred by the Statute of Limitations.
i. Any class of disputes which the President may determine in the interest of justice or
upon the recommendation of the Secretary of Justice; j. Where the dispute arises from
the Comprehensive Agrarian Reform Law (CARL);
k. Labor disputes or controversies arising from employer – employee relations;
l. Actions to annul judgment upon a compromise which may be filed directly in court.
(Aggranzamendez, 2008 & Secs 408 & 412 of the Local
Government Code)

17. What are the cases under the Katarungang Pambarangay?

The following are the cases under the Katarungang Pambarangay:
a. Unlawful Use of Means of Publication And Unlawful Utterances (Art. 154);
b. Alarms and Scandals (Art. 155);
c. Using False Certificates (Art. 175);
d. Using Fictitious Names and Concealing True Names (Art. 178);
e. Illegal Use of Uniforms and Insignias (Art. 179);
f. Physical Injuries Inflicted in A Tumultuous Affray (Art. 252);
g. Giving Assistance to Consummated Suicide (Art. 253);
 h. Responsibility of Participants in A Duel If Only Physical Injuries Are Inflicted or No Physical
Injuries Have Been Inflicted (Art. 260); i. Less Serious Physical Injuries (Art. 265);
j. Slight Physical Injuries and Maltreatment (Art. 266);
k. Unlawful Arrest (Art. 269);
l. Inducing A Minor to Abandon His/Her Home (Art. 271);
m. Abandonment of A Person in Danger and Abandonment of One’s Own Victim (Art. 275);
n. Abandoning A Minor (A Child Under Seven [7] Years Old) (Art. 276);
o. Abandonment of A Minor by Persons Entrusted With His/Her Custody; Indifference Of Parents
(Art. 277);
p. Qualified Tresspass To Dwelling (Without The Use Of Violence And Intimidation). (Art. 280); q.
Other Forms Of Tresspass (Art. 281);
r. Light Threats (Art. 283);
s. Other Light Threats (Art. 285);
t. Grave Coercion (Art. 286);
u. Light Coercion (Art. 287);
v. Other Similar Coercions (Compulsory Purchase of Merchandise and Payment Of Wages By
Means Of Tokens). (Art. 288);
w. Formation, Maintenance and Prohibition of Combination of Capital Or Labor Through Violence
Or Threats (Art. 289);
x. Discovering Secrets Through Seizure and Correspondence (Art. 290);
y. Revealing Secrets with Abuse of Authority (Art. 291);
z. Theft (If the Value of The Property Stolen Does Not Exceed P50.00). (Art. 309); aa. Qualified
Theft (If the Amount Does Not Exceed P500). (Art. 310);
bb. Occupation of Real Property or Usurpation
Of Real Rights In Property (Art 312); cc.
Altering Boundaries or Landmarks (Art.
313);
dd. Swindling or Estafa (If the Amount
Does Not Exceed P200.00). (Art. 315);
ee. Other Forms of Swindling (Art.
316); ff. Swindling A Minor (Art.
317); gg. Other Deceits (Art. 318);
hh. Removal, Sale or Pledge of Mortgaged Property (Art. 319);
ii. Special Cases of Malicious Mischief (If the Value of the Damaged Property Does
Not Exceed P1,000.00). (Art 328); jj. Other Mischiefs (If the Value of The
Damaged Property Does Not Exceed P1,000.00). (Art. 329); kk. Simple Seduction
(Art. 338);
ll. Acts of Lasciviousness with The Consent of The
Offended Party (Art 339); mm. Threatening to
Publish and Offer to Prevent Such Publication For
Compensation (Art. 356); nn. Prohibiting
Publication of Acts Referred to In the Course Of
Official Proceedings (Art. 357); oo. Incriminating
Innocent Persons (Art. 363); pp. Intriguing Against
Honor (Art. 364); qq. Issuing Checks Without
Sufficient Funds (Bp 22); And rr. Fencing of
Stolen Properties If the Property Involved Is Not
More Than P50.00 (Pd 1612).
18. What Are the Rules to Be Considered In Determining The Venue In Settling Disputes?
The Rules in Determining Venue in Settling Disputes are the Following:
a. The Disputes Between Persons Actually Residing in The Same Barangay Shall Be Brought for
Amicable Settlement Before The Lupon Of Said
Barangay;
b. Those Involving Actual Residents of Different Barangays Within the Same City or Municipality
Shall Be Brought in The Barangay Where the
Respondent Or Any Of The Respondents Actually Resides, At The Election Of The Complainant;
c. All Disputes Involving Real Property or Any Interest Therein Shall Be Brought in The Barangay
Where the Real Property or The Larger Portion
Thereof Is Situated; And
 d. Those Arising At The Workplace Where The Contending Parties Are Employed Or At The
Institution Where Such Parties Are Enrolled For Study Shall Be Brought In The Barangay Where
Such Workplace Or Institution Is Located.

Take Note: The respondent must raise the question of improper venue in the mediation proceedings
before the Punong Barangay; otherwise, the same shall be deemed waived. (Sec 409 of the Local
Government Code)

It must be stressed further that “waive” means renounce. (Bloomsburry, 2007)

Sample Case:
Mr. Quiambao resides in Barangay Matatalaib, Tarlac City and Mr. Padua resides in Barangay
San Vicente,Tarlac City. For an unknown reason, Mr. Quiambao punched and kicked Mr. Padua at the
Tarlac City Public Market. Mr. Padua was incapacitated to work for 1 day. After regaining his strength,
Mr. Padua filed a complaint before the Barangay Chairman of Barangay San Vicente wherein Mr.
Quiambao was subsequently summoned and participated in amicable settlement until the Pangkat ng
Tagapagkasundo was constituted. After the Pangkat was constituted, Mr. Quiambao realized that there
was a mistake in venue because “letter b” above states that the venue is where the respondent resides.
May Mr. Quiambao properly assert that there is improper venue in the mediation proceedings?
No, Mr. Quiambao may not properly assert that there is improper venue in the mediation
proceedings.
This is an example of the statement above that the respondent must raise the question of improper
venue in the mediation proceedings before the Punong Barangay; otherwise, the same shall be deemed
waived.
19. What is the procedure to be followed for settlement of disputes at the barangay level? The procedure
to be followed in resolving disputes in the barangay level are the following:
a. The complainant complains orally or in writing to the Lupon Chairman of the barangay;
If the complaint is done orally, it is the duty of the Lupon Chairman to place it in writing.
b. Within the next working day from receipt of the complaint, the Lupon Chairman shall summon
the respondent, with notice to the complainant, for them and their witnesses to appear before him
for mediation;
c. If the Lupon Chairman fails in his mediation efforts within fifteen (15) days from the first
meeting of parties, he shall set a date for the constitution of the Pangkat ng Tagapagkasundo;
d. The Pangkat shall convene not later than three (3) days from its constitution to hear both parties
and their witnesses, simplify issues, and explore all possibilities for amicable settlement;
e. The Pangkat shall arrive at settlement or resolution of the dispute within fifteen (15) days, from
the day it convened; otherwise the Certification to File Action shall be issued. (Sec 410 of the
Local Government Code)

Take Note: The term “summon” means invite. (Bloomsbury, 2007)

It must be stressed further that the one complaining before the Barangay Captain is known as complainant
and the one being charged is known as the respondent. (Aggranzamendez, 2008)

20. Who shall issue Certification to File Action?

The Certification to File Action shall be issued by any of the following:
a. The Lupon Secretary and attested by the Lupon Chairman, certifying that a confrontation of the
parties has taken place and that a conciliation or settlement has been subsequently repudiated;
b. The Pangkat Secretary and attested by the Pangkat Chairman, certifying that:
 Confrontation between the parties took place but no
conciliation and/or settlement has been reached; or  No
confrontation took place before the Pangkat through no fault of
the complainant.
c. The Punong Barangay, as requested by the proper party on the ground of failure of settlement
where the dispute involves members of the same indigenous cultural community, which shall be
settled in accordance with the customs and traditions of that particular cultural community, or
where one or more of the parties mutually agreed to submit their disputes to the indigenous
system of amicable settlement, and there has been no settlement as certified by the Datu or tribal
leader or elder to the Punong Barangay of the place of settlement. (Aggranzamendez, 2008)

21. If the parties have reached a settlement of their dispute, in what form must the settlement be?
The form of amicable settlement:
The amicable settlement shall be in writing, in a language or dialect known to the parties, signed
by them and attested by the Lupon Chairman or Pangkat Chairman, as the case may be.
When the parties to a dispute do not use the same language or dialect, the settlement shall be
written in a language or dialect known to them. (Sec
411 of the Local Government Code)

The effect of amicable settlement:

If an amicable settlement is not repudiated by any of the parties within ten (10) days from the
date thereof, it shall have the effect of final judgment of
a court. (Sec 416 of the Local Government Code)

How may a party to the dispute repudiate the amicable settlement?

Any party to the dispute may repudiate the settlement by filing with the Lupon Chairman, within
ten (10) days from the date of settlement, a statement
of repudiation sworn to before him, on the ground that such consent of said party is vitiated by fraud,
intimidation, or violence (FIV). Such repudiation shall be a sufficient basis for the issuance of
certification to file action. (Sec 418 of the Local Government Code)

If the amicable settlement is not repudiated within ten (10) days from the date thereof, how may it be
enforced?
If the amicable settlement is not repudiated within ten (10) days from the date thereof, it may be
enforced by execution by the Lupon within six (6)
months from the date of the settlement. After the lapse of the six – month period, it may be enforced by
action in the appropriate Municipal Trial Court. (Sec 417 of the Local Government Code)

22. Define arbitration. How and when is it done?

Arbitration is the process of resolving a dispute or a grievance outside of court system by
presenting it to a third person or panel for decision.
(Aggranzamendez, 2008)

How shall parties submit their dispute for arbitration?

The parties may submit their dispute to the Lupon Chairman or Pangkat for arbitration by
entering into a written agreement to arbitrate. The written
agreement to arbitrate shall state that the parties shall abide by the arbitration award of the Lupon
Chairman or the Pangkat ng Tagapagkasundo. (Sec 413 of the Local Government Code)

May any of the parties repudiate the agreement to arbitrate?

Yes, any party may repudiate the agreement to arbitrate but he must do so within five (5) days
from the date of the execution of agreement to
arbitrate. (Sec 413 of the Local Government Code)

Within what time shall the Lupon Chairman or the Pangkat Chairman make the arbitration award and in
what form will it be?
The Lupon Chairman or the Pangkat Chairman shall make the arbitration award after the
expiration of the period for repudiation of the agreement to
arbitrate and within ten (10) days thereafter. The arbitration award shall be in writing and in the language
or dialect known to the parties. (Sec 413 of the Local
Government Code)

Can the arbitration award be repudiated?

No. the arbitration award cannot be repudiated. The remedy against an arbitration award is to file
with the appropriate Municipal Trial Court a petition
for its nullification within ten (10) days from the date thereof.
If no petition for nullification is filed within the ten – day period, the arbitration award shall have
the effect of a final judgment of a court. (Sec 417 of the
Local Government Code)
How shall an arbitration award be enforced?
An arbitration award may be enforced by execution by the Lupon within six (6) months from the
date of the settlement. After the lapse of the six –
month period, it may be enforced by action in the appropriate Municipal Trial Court. (Sec 417 of the
Local Government Code)

23. In Katarungang Pambarangay proceedings, may the parties appear with the assistance of their
counsel?
No. By the express provision of law, parties must not be assisted by counsel in pambarangay
proceedings. Minors and incompetents are assisted by
next – of – kin who are not lawyers. (Sec 415 of the Local Government Code)

24. Aside from the stated positions in the Barangay level, there is Sangguniang Barangay, a very
important organization. State its composition and authority.
The Sangguniang Barangay, the legislative body of the Barangay, shall be composed of the Punong
Barangay as presiding officer, and the seven (7)
regular Sangguniang Barangay members elected at large and Sangguniang Kabataan chairman, as
members. (Sec 390 of the Local Government Code) The term of office of barangay chairmen
and Sangguniang Barangay Members shall be five (5) years. (Par c, Sec 1 of RA 8524)

State the functions of the Sangguniang Barangay:

The Sangguniang Barangay, as the legislative body of the Barangay, shall have functions
which include the following:
a. Enact ordinances as may be necessary to discharge the responsibilities conferred upon it by law
or ordinance and to promote the general welfare of the inhabitants therein;
b. Enact tax and revenue ordinances, subject to the limitations imposed by the Local Government
Code;
c. Enact annual and supplemental budgets in accordance with the provisions of the Local
Government Code;
d. Provide for the construction and maintenance of barangay facilities and other public works
projects chargeable to the general fund of the barangay or such other funds actually available for
the purpose;
e. Submit to the Sangguniang Panlungsod or Sangguniang Bayan such suggestions or
recommendations as it may see fit for the improvement of the barangay or for the welfare of the
inhabitants thereof. (Sec 391 of the Local Governemt Code)

Terms to Ponder:

1. Adjudication is the power of courts or quasi-judicial agencies to decide cases filed before them and
falling within their jurisdiction.
2. Amicable Settlement is an agreement reached during mediation and conciliation proceedings.
3. Arbitration is a process wherein the third party from outside the judicial system is chosen by parties
to hear and decide their dispute.
4. Arbitration Award is the decision reached by either the lupon chairperson or pangkat, as the case may
be, upon prior agreement in writing by the parites to a dispute for the adjudicators to resolve it.
5. Attachment is a provisional remedy in the form of an order issued by a judge before whom the case is
pending by which the property is taken into legal custody as security for satisfaction of a judgment
obtained by the prevailing party, either at the commencement of the action or any time after the filing
of the case before the final judgment.
6. Complainant — plaintiff (one complaining before the Barangay Captain).
7. Complaint is a concise statement of ultimate facts constituting the plaintiff’s cause and causes of
action.
8. Conciliation is a process wherein the Pangkat forgoes the power to decide or recommend but assist
the parties to isolate issues and options to reach a settlement by consensus that jointly satisfies their
needs
9. Delivery of Personal Property (Replevin) is provisional remedy by which a judge before whom an
action is pending for the recovery of personal property issues an order for the delivery of such
property to the movant or the party filing the petition upon filing of a bond to guarantee its return or
to answer for the damages.
10. Execution is the process of exacting satisfaction for on or both of the parties through compulsory or
coercive means. It entails the enforcement of the terms of the amicable settlement or arbitration
award in so far as this may enjoin or command any of the parties to perform an act, give something or
refrain from doing some act
11. Habeas Corpus is a judicial proceeding for the purpose of releasing a person who is illegally deprived
of liberty or restoring rightful custody to the person who has been deprived of.
12. Incompetent means a person who is suffering the penalty of civil interdiction; or who is a
hospitalized. leper, prodigal, deaf and dumb who is unable to communicate; one who is of unsound
mind, even though he has a lucid intervals and a person not being unsound mind but by reason of age,
disease, weak mind, and other similar causes, cannot, without outside aid, take care of himself and
mange his property, becoming thereby an easy prey for deceit and exploitation.
13. Jurisdiction is an authority to hear and decide a case and given by law and cannot be agreed by the
parties.
14. Katarungang Barangay (KP) is a system of justice administered at the barangay level for the purpose
of amicable settling disputes through mediation, conciliation or abitration among the family or
barangay without resorting to the courts.
25. Lupong Tagapamayapa (Lupon) is a body organized in every barangay composed of Punong
Barangay as the chairperson and not less than ten (10) and more than twenty from which the
members of every Pangkat shall be chosen.
26. Mediation is a process wherein the Lupon chairperson or Barangay Chairperson assists the disputing
parties to reach a settlement by consensus that jointly satisfies their needs.
27. Minor is a person below eighteen (18) years of age.
28. Next of Kin is an individual who is a relative or a responsible friend with whom the minor or
incompetent lives.
29. Pangkat Tagapagkasundo (Pangkat) is a conciliation panel constituted from the Lupon membership
for every dispute brought before the Lupon consisting of three (3) members after the Punong
Barangay has failed in his mediation efforts.
30. Preliminary injunction is a provisional remedy in the form of an order issued by a judge before whom
the case is pending at any stage before the final judgment requiring a person to refrain from a
particular act.
31. Repudiation is an act of rejecting the validity or refusing to accept the terms and conditions of
agreement on the ground of vitiation of consent by fraud, violence or intimidation.
32. Respondent — defendant (one being charged).
33. Statute of Limitations is the law which bars or does not allow the institution or filing of an action or
case against another after the expiration of the period prescribe d for such action or offense
34. Support Pendente Lite is a provisional remedy in a form of an order issued by a judge before whom
the case is pending granting allowance, dwelling, clothing, education and medical attendance to the
person entitled thereof.
35. Venue is the place where the case is to be heard and decided. This is not fixed by law except in
criminal cases, and can be agreed upon by the parties.
Segment X: Concept and principles of restorative justice

1.Define Restorative Justice. State briefly the justification of introducing the Restorative Justice.

Restorative justice refers to a principle which requires a process of resolving conflicts with the
maximum involvement of the victim, the offender and the community. It seeks to obtain reparation
for the victim; reconciliation of the offender, the offended and the community; and reassurance to the
offender that he/she can be reintegrated into society. It also enhances public safety by activating the
offender, the victim and the community in prevention strategies.
It embraces a wide range of human emotions – healing, mediation, compassion, forgiveness, mercy,
and reconciliation. (Par q, Sec 4 of RA 9344)

Justification of introducing restorative justice:

The current Philippine criminal justice system, after considering the duties and functions of its
different pillars, reveals its defects and they are the following:
a.The victims of a crime may not pursue a criminal case against the perpetrator because of lack of
support from the government especially the person arrested for the commission of a crime or the
accused persons have numerous rights compared to the victims of a crime;
b.The suspects who are actually fall guys may be convicted because they have no money to spend
especially in hiring experienced and skilled lawyers to defend them;
c.The criminal cases may be dismissed because of insufficiency of evidence or technicality even if
the accused confessed that he was the one who committed the crime;
 d.The accused may be convicted of a charge and a penalty is imposed by the court but the victim or
the society as a whole is not yet contented of the suffering that the accused may undergo;
e.The trial of a case may take a very period of time notwithstanding the presence of the Speedy Trial
Act;
f.Even if a perpetrator is imprisoned or has undergone a community – based treatment, he may not
be reformed or rehabilitated; and
In fact, correction is known as the weakest pillar of the Criminal Justice System because of its failure
to reform and rehabilitate offenders.
g.The persons who were imprisoned by reason of the crime they committed may not
be effectively reintegrated in the community. This is because they may always be
called ex – convicts and most employers do not hire persons with a criminal
record.
As a result of these defects, the victims of a crime may again be victimized by the system to suffer
financially and emotionally especially if the perpetrator is not directed by the court to pay anything to
them. Because of this, the restorative justice was introduced. It is the purpose of restorative justice to
settle the issue between the offender and the offended party with their active participation. The
members of the community must also give their active participation for the offended and the offender
to be as much as possible satisfied with the penalty imposed.
It may be true that the restorative justice may be abused by the offender by just paying the offended
party with a certain amount of money but consider the fact that human beings cannot really establish
a perfect criminal justice system. It is still believed that the restorative justice will lessen the
numerous problems encountered in our present criminal justice system.
In fact, it may be concluded that the abolition of Republic Act 7659 or the Death Penalty Law has
deepened our understanding of the character and dynamics of the Philippine criminal justice system,
particularly its punitive and retributive orientation. (Tradio, 1996; Pangda, 2007 & www .
restorativejustice .org/university... / philippines )
After the abolition of the Death penalty law, Republic Act 9285 was enacted to further strengthen
the restorative justice. Said law is an act to institutionalize the use of an alternative dispute resolution
system in the Philippines and to establish the office for alternative dispute resolution, and for other
purposes. (Title of RA 9285)

Take Note: 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, 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. (Par 1, Sec 3 of RA 9285)

2. Aside form the Alternative Dispute Resolution System, the court may also conduct Judicial Dispute
Resolution. What is the process to be observed in conducting Alternative Dispute Resolution?
The following is the process to be observed in conducting Judicial Dispute Resolution before the
court:
a.Before trial, the judge may refer the case to the Mediation Center for conciliation, mediation, or
arbitration;
b.If there is no settlement in the Mediation Center, the judge will conduct a judicial dispute
resolution; and
c. If the Judicial Dispute Resolution again fails, the judge will conduct trial to determine the guilt of
the accused and impose the proper penalty in case of conviction. (Personal interview with Atty. Tom
Mocnangan, November 17, 2010)

3. One of the justifications of penalty is retribution. What are the distinctions between retributive justice
and restorative justice?
The following are the distinctions between retributive justice and restorative justice:
a.Retributive justice is an approach focused on determining the following:
• What law was broken;
• Who broke it; and
• How shall offenders be punished?
Restorative justice, on the other hand, is an approach focused on determining the following:
• What is the harm resulted from the crime;
• What needs to be done to repair the harm; and
• Who is responsible for repairing the harm?
b.Retributive justice considers a crime as an act against the State, while restorative justice considers a
crime as an act against the victim and the community;
c. In retributive justice, the control of crimes lies to the criminal justice system, while in restorative
justice, the control of crimes lies to the community;
d.In retributive justice, the community is represented by the State, while in restorative justice, the
community is the facilitator in the restorative process;
e.Retributive justice focuses on the past by determining the person to be blamed for the crime
committed, while restorative justice focuses on the future to determine the matters to be
considered so that the crime will not be repeated;
f. Retributive justice focuses on the offender’s past behavior, while restorative justice focuses on the
consequences of offender’s behavior;
g.Retributive justice emphasizes the adversarial relationship, while restorative justice emphasizes
dialogue and negotiations;
h.Retributive justice considers crime as an individual act with individual responsibility, while
restorative justice considers crime as both individual and social responsibility; and
i. Retributive justice is based on the principle of lex talliones, while restorative justice is based on
forgiveness and reconciliation.

Take Note: “Lex talliones” is a law of equal and direct retribution. In the words of the Hebrew
scriptures, Le talliones means "an eye for an eye, a tooth for a tooth, an arm for an arm, a life for a
life." The earliest written code of laws was the Code of Hammurabi, the most famous of the Old
Babylonian, or Amorite, kings of Mesopotamia. Hammurabi's code of laws is almost entirely based
on the principle of equal and direct retribution; it betrays the origin of law in retributive violence.
Since the lex talionis is often the earliest form that law takes, from it we can conclude that the basic
function of law is revenge and retribution. Unlike direct retribution, however, the law is administered
by the State or by individuals