Chapter 9 – Special Rules of Court on ADR

Alternative Dispute Resolution - Atty. David Ballesteros

TOPICS: • Procedural Rules BEFORE commencement of

A. Judicial Relief Involving the Issues of Existence, arbitration:
Validity, and Enforceability of the Arbitration 1. Petition
Agreement. - To be filed with RTC where any of the
B. Referral to ADR parties resides or has his place of buss.
C. Interim Measures of Protection - Verified and must be accompanied by a
D. Appointment of Arbitrators certification of non-forum shopping.
E. Challenge to Appointment of Arbitrator - Authentic copy of the arbitration agreement
F. Termination of Mandate of Arbitrator should be attached UNLESS the ground
G. Assistance in Taking Evidence relied upon is the non-existence of
H. Confidentiality/ Protective Orders unenforceability of the arbitration
I. Confirmation, Recognition, Enforcement, agreement.
Correction, Vacation or Setting Aside of Arbitral - Filing of the petition does not prevent the
Awards commencement of arbitration, or
Ia. Confirmation, Correction or continuation thereof and the rendition of an
Vacation of Domestic Arbitral award.
Awards - Should state the ff:
Ib. Recognition, Enforcement or ii. The facts showing that the persons
Setting Aside of ICA Awards named as petitioner or respondent have
Ic. Recognition and Enforcement of legal capacity to sue or be sued;
Foreign Arbitral Awards. iii. The nature and substance of the dispute
between the parties;
A. Judicial Relief Involving the Issues of Existence, iv. The grounds and the circumstances
Validity, and Enforceability of the Arbitration relied upon by the petitioner to establish
Agreement. (Rules 3.1 – 3.22, Special ADR Rules) his position; and
• Petition for Judicial determination of the existence, v. The relief/s sought.
validity and/or enforceability of an arbitration 2. Comment/Opposition
agreement. - Within 15 days from service of the petition,
• This judicial relied is applicable only to arbitration the respondent must file his comment or
proceedings conducted in the Philippines. opposition.
• Nature: Summary Proceeding. 3. Court Action
• Issues involved in these proceedings are: - Court must exercise judicial restraint and
1. Existence of the arbitration agreement – Whether defer to the competence or jurisdiction of
or not there is an arbitration agreement; the arbitral tribunal to rule on its competence
2. Validity of the arbitration agreement – whether or and jurisdiction.
not the arbitration agreement complies with all the 4. Relief against court action
essential requisites for a valid contract; and ➢ The determination by ➢ If the court finds the
3. Enforceability of the arbitration agreement – the court upholding arbitration agreement,
whether or not the arbitration agreement is the existence, validity Inexistent, Invalid or
enforceable on accordance with Art. 1403 of the or enforceability of the Unenforceable, the
Civil Code. arbitration agreement aggrieved party may
under these file a motion for
A.1 Judicial Relief before commencement of proceedings is merely reconsideration or a
arbitration. (Rules 3.2 to 3.11, Special ADR Rules) prima facie. petition for certiorari.
• Instances: ➢ Such prima facie ➢ The distinction is
1. The arbitration proceeding has not yet determination, necessary in order to
commenced; and however, shall NOT be provide judicial remedy
2. There is between the parties a dispute regarding subject to a motion for for a ruling against
the existence, validity or enforceability of the reconsideration, appeal jurisdiction of an
arbitration agreement. or certiorari, but shall arbitral tribunal in line
be without prejudice to with the state policy if
the right of any party to giving preference to
raise the same issues ADR.
before the arbitral

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Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros

tribunal or the court in 2. Comment/Opposition

a petition to vacate or - The respondent should file his comment or
set aside the arbitral opposition within 15 days from the date of
award which shall be service of the petition.
resolved in accordance 3. Court action
with the standards set - Court shall render judgment on the basis of
for such proceedings. the pleadings filed and evidence submitted,
within 30 days from the time the petition is
A.2 Judicial Relief after arbitration commences. (Rules submitted for resolution.
3.12 to 3.22, Special ADR Rules) - When the arbitration has commenced, but
• Instances: the arbitral tribunal has not yet been
1. After commencement of arbitration; constituted, or although constituted, has not
2. Constitution of the arbitral tribunal; and yet rendered a ruling on its jurisdiction,
3. After the arbitral tribunal has rendered a courts are enjoined not to entertain any
preliminary ruling on its jurisdiction. petition for judicial relief on the issue of
• Issue: Whether or not the arbitral tribunal has jurisdiction or, if already pending, to refer
jurisdiction over the arbitral proceedings. the issue back to the arbitral tribunal once
• The rules on judicial relief after the commencement of constituted.
arbitration apply under the ff circumstances: - Competence-competence principle:
1. The arbitration proceeding has already courts are enjoined to exercise judicial
commenced, the arbitral tribunal has been restraint and defer to the competence or
constituted and has rendered a preliminary ruling jurisdiction of the arbitral tribunal to rule on
on its jurisdiction; and its competence or jurisdiction.
2. A party desires to challenge the arbitral tribunal’s - filing and pendency of the petition for
ruling on the issue of jurisdiction. judicial relief shall NOT be a cause for the
court to enjoin the arbitration proceeding
• Procedural rules AFTER arbitration commences: and the arbitral tribunal may proceed with
1. Petition the arbitration and render the award.
- Within 30 days from receipt of the notice of 4. Relief against court action
a ruling from an arbitral tribunal, an • The aggrieved party • if the arbitral
aggrieved party may file a petition with RTC may file a motion tribunal, instead
where: for reconsideration of rendering a
i. any the arbitration is taking place; or of the order of the preliminary
ii. where any of the petitioners or court, which shall, ruling on its
respondents has his principal place of however, not be jurisdiction,
business or residence, at the option of subject to an appeal. decides to defer
the petitioner. such ruling until
- Should state the ff: the rendition of
i. The facts showing that the petitioner or the arbitral
respondent have legal capacity to sue or award, none of
be sued; the parties can
ii. The nature and substance of the dispute; seek judicial
iii. The grounds and the circumstances relief from the
relied upon for the petition; and deferment.
iv. The relief/s sought. • Motions for
- The petitioner shall attach a copy of the reconsideration,
request for arbitration and the ruling of the appeal and
arbitral tribunal. petitions for
- Respondents shall be furnished with a copy certiorari are
of the petition before it is filed. not available to
challenge the
decision of the
arbitral tribunal
to defer the

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Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros

resolution for
the preliminary 3. One or both parties desire to undergo arbitration.
jurisdictional
issues. • Procedural rules for referral to ADR
• An order affirming • parties can 1. Request/Motion
the jurisdiction of await the - The pleading that initiates the referral to
the arbitral tribunal rendition of the arbitration.
shall NOT be final arbitral - It contemplates the existence of a pending
subject to a petition award, and raise court action already initiated.
for certiorari, but an the same issues - It shall contain an authentic copy of the
order denying before the court arbitration agreement and, as in the case of
jurisdiction may be in a proceeding litigated motions, must be served upon the
subject of petition for setting aside respondent and be set for hearing.
for certiorari. or vacating the 2. Comment/Opposition
award. - Must be filed within 15 days from service of
the request or motion and must show that:
• Parties: i. there is no agreement to refer the
o In a petition for judicial relief, the arbitrator or dispute to arbitration;
the members of the arbitral tribunal shall be ii. the agreement is null and void; or
nominal parties. iii. the subject-matter of the dispute is not
o The real interest lies with the claimant and the capable of settlement or resolution by
respondent who stand to be benefited or arbitration.
injured by any decision of the court. 3. Court Action
o As nominal parties, it is NOT mandatory for - The court may:
the arbitrator to file pleadings or submission i. Grant the motion if its finds prima facie
for the consideration of the court. that there is a valid and enforceable
arbitration agreement and that the
B. Referral to ADR (Rules 4.1 to 4.8, Special ADR Rules) subject matter of the dispute is capable
• This rule pertains to the referral of a pending court of arbitration; or
action to arbitration rather than any other form of ii. Deny it if the court finds otherwise.
ADR. *either way, the court should STAY the
• Instances: judicial proceedings while the motion
1. There is already a pending court action; for referral is pending resolution.
2. There is either a pre-action arbitration agreement *Arbitral proceedings, however, may be
or a pre-sent-action arbitration agreement; and commenced or continued, and an award
o Pre-action: executed prior to the filing of an may be made thereon, while the action is
action. pending in court.
▪ Agreement to submit to arbitration - The finding of the court that a valid and
▪ Submission agreement enforceable arbitration agreement exists and
o Present-action: executed after the filing of the that the dispute involved is capable of
action. arbitration, resulting in the grant of the
▪ Submission agreement motion for referral, is prima facie, and not
If there is a pre-action arbitration agreement: conclusive upon the parties.
• the request for referral • A request made after 4. Relief against court action
to arbitration may be the pre-trial - Order granting the - order denying the
made by any one of conference must be motion for referral request for referral,
the parties not later with the agreement of to arbitration shall although not subject
than the pre-trial both parties. be immediately to appeal, may be
conference. executory and shall subject of a motion
If there is a present-action arbitration NOT be subject to a for reconsideration
agreement: motion for and a petition for
• Parties may request the referral to arbitration at any reconsideration, certiorari.
time during the proceedings. appeal or petition
for certiorari

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Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros
Principle of preference for alternative dispute
resolution.
- Courts are prohibited from denying the request for
referral of some or all of the parties to arbitration for
any of the ff reasons:
▪ Not all of the disputes subject of the civil action
may be referred to arbitration;
▪ Not all of the parties to the civil action are bound
by the arbitration agreement and referral to
arbitration would result in multiplicity of suits;
▪ Issues raised in the civil action could be speedily
and efficiently resolved in its entirety by the court
rather than in an arbitration;
▪ Referral to arbitration does not appear to be the
most prudent action; or
▪ The stay of action would prejudice the rights of
the parties to the civil action who are not bound
by the arbitration agreement. The court may,
however, issue an order directing the inclusion in
the arbitration agreement but who agree to such
inclusion provided that those originally bound by
it do not object their inclusion.
Legal effects of the non-application of the arbitration
clause to a case (Koppel, Inc. v Makati Rotary Club
Foundation, Inc.):
i. Judicial proceedings conducted beyond the point
when the dispute should have been referred to
arbitration are rendered invalid;
ii. The decisions, including those of the appellate
court, must be vacated and set aside;
iii. The case must be remanded to the court a quo to
be suspended at said point; and
iv. The petitioner and respondent must then be
referred to arbitration pursuant to the arbitration
clause.
C. Interim Measures of Protection (Rules 5.1 to 5.6, Special
ADR Rules).
• Instances:
1. Either (a) before the commencement of
arbitration, or (b) after the commencement of the
arbitration but prior to the constitution of the
arbitral tribunal; or (c) after the arbitral tribunal’s
constitution but it has no power to act or is unable
to act effectively; and
2. Where a party desires to secure interim measures
of protection.
i. Interim; or
ii. Temporary
• Types of Interim Measures:
1. Preliminary Injunction directed against a party to
arbitration;
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2. Preliminary attachment against property or
garnishment of funds in the custody of a bank or
third person;
3. Appointment of a receiver;
4. Detention, preservation, delivery or inspection of
property; or
5. Assistance in the enforcement of an interim
measure of protection granted by the arbitral
tribunal which it cannot enforce effectively.
• Procedural rules for the application of interim
measures of protection with the court:
1. Petition
- Initiated by filing petition with RTC of the place
where:
▪ Any of the parties has his principal
place of business or residence; or
▪ Any of the acts sought to be enjoined
are being performed or threatened to
be performed; or
▪ The real property subject of the
arbitration is situated, at the option of
the petitioner.
2. Comment/Opposition
- must be filed within 15 days from service of the
petition.
3. Court Action
- Court shall resolve the petition within 30 days
from the:
▪ Submission of the opposition;
▪ Upon the lapse of the period to file
the same; or
▪ From termination of the hearing
that may be set if there is need for
clarification or further
argumentation.
- In resolving the petition, court is required to
balance the relative interest of the parties and
the inconveniences that may be caused.
- Gen. rule: if the basis of the petition for an
interim measure is the non-constitution of the
arbitral tribunal, the court, upon being
informed of the subsequent constitution of the
arbitral tribunal, shall DEFER action on the
petition.
Exception: UNLESS it is established that the
arbitral tribunal has no power to act on any such
interim measure of protection or is unable to act
thereon effectively.
- The interim measure of protection issued by
the court is WITHOUT prejudice to the
subsequent grant, modification, amendment,
revision or revocation thereof by the arbitral
tribunal.
Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros

4. Relief against court action prayed for from being illusory because of prior
- An order of the court granting or denying an notice;
interim measure may be the subject of a motion 2. The petitioner shall post a bond to answer for any
for reconsideration, appeal, or a petition for damage that the respondent may suffer as a result
certiorari. thereof;
- If the protective measure was issued in a 3. It shall be valid for only 20 days from the service
proceeding whereat the adverse party was on the party required to comply therewith,
given an opportunity to be heard, the order of UNLESS extended but not for more than 20 days.
the court granting the petition shall be 4. During the 20-day period and any extension
immediately executory. Otherwise, the order of thereof, the court shall determine the propriety of
the court shall not be immediately executory, issuing the principal interim protective measure
EXCEPT if it is a temporary protective requested; and
measure. 5. It can be lifted by the respondent by posting an
Temporary Protective Measure (TPM) or Temporary appropriate counter-bond as determined by the
Order of Protection (TOP) court.
- It is an injunctive relief the office of which is to (i)
preserve property subject matter of the arbitration, (ii) Principle of Preference for Arbitration
prevent the disposition or concealment thereof, or (iii) - The rules on interim measures of protection recognize
prevent the relief prayed for from becoming moot and the principle of preference for arbitration over judicial
academic, during the period that the court is resolving proceedings.
the application for the interim protective measure.
- it is applied for ex parte.
- it is immediately executory.
- has a lifetime of only 20 days. D. APPOINTMENT OF ARBITRATORS (Rules 6.1 to
6.9, Special ADR Rules)
- it is similar to a Temporary Restraining Order (TRO) in
When the court may act as Appointing Authority?
that these measures are temporary in character,
intended to ensure the efficacy of the principal relief,
The rules on the judicial appointment of arbitrators apply
and have, as a general rule.
if—
TOP or TPM TRO
1) There is a failure to appoint an arbitrator under the
- Susceptible of - Non-extendible and following circumstances:
extension for not more becomes functus oficio
than 20 days after the lapse of 20 a) Where any of the parties in an institutional
days from the service arbitration failed or refused to appoint an
thereof. arbitrator, or
- Bond is required - Does not generally
require the posting of a The parties have failed to reach an agreement on
bond. Instead, a bond the sole arbitrator, or
is required for the
issuance of a writ of When the two designated arbitrators have failed to
preliminary injunction. reach an agreement on the third or presiding
- May be lifted through - May NOT be lifted arbitrator, and
the posting of a through the posting of
counter-bond. a counter-bond. The institution fails or is unable to perform its duty
Instead, a counter- as appointing authority within a reasonable time
bond may lift a writ of from receipt of the request for appointment.
preliminary injunction.
b) Where the arbitration is ad hoc and the parties failed
TOP or TPM may be issued by the court under the ff. to provide a method for appointing or replacing an
conditions: arbitrator, or
1. There is an urgent need to (i) preserve property; (ii)
prevent the respondent from disposing of, or The method agreed upon is ineffective, and
concealing the property; (iii) prevent the relief

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Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros
The National President of the IBP or his duly
authorized representative fails or refuses to act
within such period agreed upon by the parties, or
in the absence thereof, within 30 days from receipt
of the request to do so.
c) Where the parties agreed that their dispute shall be
resolved by 3 arbitrators but no method of
appointing those has been agreed upon, and the
parties, and subsequently, the appointing authority
fails or refuses to appoint the arbitrator within a
reasonable time from receipt of the request to do
so.
2) And any party or the appointed arbitrators request
the court to act as appointing authority and appoint the
arbitrator or third arbitrator as the case may be.
Rules of Procedure for the judicial appointment of
arbitrators:
A. Petition
Where to file the petition for the appointment of an
arbitrator:
— Regional Trial Court
i. Where the principal place of business of any of the
parties is located;
ii. Where any of the parties reside; or
iii. National Capital Judicial Region, at the option of
the petitioner.
Contents of the petition:
1) General nature of the dispute;
2) Description of the procedure for the appointment
of the arbitrators and the agreement containing
such procedure;
3) The number of the arbitrators agreed upon or the
absence of such an agreement;
4) Special qualifications of the arbitrators if there is
agreement thereon;
5) The fact that the appointing authority, without
justifiable cause, has failed or refused to act as such
within a reasonable time, from the date a request
was made; and
6) The petitioner is not the cause of the delay or in the
failure of the appointment of the arbitrator.
Contents of a petition:
1) authentic copy of the arbitration agreement;
2) proof of notice to the appointing authority of the
filing of the petition with the court
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❖ The petition shall be served upon the respondent before it is filed
in court.
B. Comment/opposition
— must be filed within 15 days from the service of the
petition.
C. Court action
— The court may require each party to submit a list of not
less that 3 proposed arbitrators together with the curriculum
vitae from whom the court may appoint the arbitrator.
— Prior to the appointment, if the court is informed that
the appointing authority has already made an appointment,
it shall dismiss the petition.
D. Relief against court action
a) Order of the court appointing an arbitrator—
immediately executory and shall not be the subject of a
motion for reconsideration, appeal or certiorari.
b) Order of the court denying the petition for
appointment of an arbitrator— may be the
subject of a motion for reconsideration, appeal or
certiorari.
E. CHALLENGE TO APPOINTMENT OF
ARBITRATOR (Rules 7.1 to 7.9, Special ADR Rules)
Who may challenge the appointment of arbitrator?
— any of the parties in an arbitration
The rules of procedure on the judicial challenge to the
appointment of arbitrators apply if:
1) The challenge to the appointment of an arbitrator
is not successful, and
The appointing authority fails or refuses to act on
the challenge within the period allowed under the
rule or, in the absence thereof, within 30 days from
receipt of the request; and
2) The aggrieved party wants to secure judicial action
on the challenge.
Rules of procedure for the challenge to the appointment of
an arbitrator:
A. Petition
Where to file petition for the judicial challenge:
— Regional Trial Court
i. Where the principal place of business of any of the
parties is located;
Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros
ii. Where any of the parties reside; or
iii. National Capital Judicial Region, at the option of
the petitioner.
Contents of the petition:
1) Name of the arbitrator challenged and his address;
2) Grounds for the challenge;
3) Facts showing that the ground for the challenge has
been expressly or impliedly rejected by the
challenged arbitrator; and
4) Facts showing that the appointing authority failed
or refused to act on the challenge.
❖ A copy of the petition shall be served upon the respondent before
it is filed in court.
B. Comment/opposition
— The challenged arbitrator or other parties may file a
comment of opposition within 15 days from service of
the petition.
C. Court action
Options of the court in resolving the petition:
a) Grant the petition by removing the challenged
arbitrator if it finds merit in the petition;
b) Dismiss the petition if there is no merit;
c) Allow the challenged arbitrator to withdraw as
arbitrator;
d) Accept the challenge and remove the arbitrator
if:
i. The party or parties who appointed the
challenged arbitrator agree to the
challenge and withdraw the
appointment;
ii. The other arbitrators in the arbitral
tribunal agree to the removal of the
challenged arbitrator; or
iii. The challenged arbitrator fails or
refuses to submit his comment on the
petition or the brief, or he fails to
object his removal.
D. No relief against court action
Order of the court resolving the petition—
immediately executory and shall not be subject to a
motion for reconsideration, appeal or certiorari.
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F. Termination of Mandate of Arbitrato (Rules 8.1 to
8.8, Special ADR Rules)
This rules will apply when:
1. An arbitrator becomes de jure or de facto
• Unable to perform his functions
• Fails to act without undue delay
2. The arbitrator, upon request of the party
• Fails or refuse to withdraw from his office
3. The appointing authority fails or refuse to decide on the
termination of the mandate of the arbitrator within
• a specific period of time provided
• in the absence thereof, within 30 days from the time
the request was brought before him
4. Any party seeks judicial action in terminating the
mandate of the arbitrator
Note: The relief for the TERMINATION OF THE
MANDATE OF AN ARBITRATOR is different from
a CHALLENGE TO AN ARBITRATOR.
JUDICIAL CHALLENGE TO AN ARBITRATOR
- the arbitrator is sought to be removed on the ground of
partiality or non-compliance with the qualifications
required of him.
JUDICIAL TERMINATION OF THE MANDATE OF
THE AN ARBITRATOR
- there is an arbitrator who is validly appointed has
become incapable of performing his functions or has
become unable to do so.
PROCEDURE FOR JUDICIAL TERMINATION
OF THE MANDATE OF AN ARBITRATOR
1. PETITION
- Petition shall be filed with the RTC
- Principal place of business of any parties
- Place where any of the parties resides
- In the National Capital Judicial region
Contents:
▪ Name of the arbitrator sought to be terminated
▪ Grounds for termination
▪ Fact that parties requested the withdrawal of
arbitrator but failed or refused to accede
▪ Fact that the parties requested the appointing
authority to act on the request but failed to do so
within 30 days from the request or within such
period of time agreed upon.
▪ A copy of the petition shall be served upon the
respondent before it is filed in court.
Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros

2. COMMENT / OPPOSITION NOTE: The foregoing enumeration is not exclusive.

- Must be filed within 15 days from service of the
petition The arbitral tribunal is not clothed with authority to cite
persons or parties in contempt, they can only impose
3. COURT ACTION sanctions.
- Court may GRANT or DISMISS the petition.
PROCEDURE FOR JUDICIAL ASSISTANCE IN
IF GRANTED, a substitute arbitrator shall be TAKING EVIDENCE
appointed subject to rules of replacement
appointment 1) PETITION
• Filed with the RTC
4. NO RELIEF AGAINTS COURT ACTION • Where the arbitration proceedings are taking
- The order of the court is final and executory place
- Not subject for reconsideration, appeal or petition • Where the witness resides or found
for certiorari. • Where evidence is found
• Option of petitioner
G. ASSISTANCE IN TAKING EVIDENCE
(Rules 9.1 to 9.11, Special ADR Rules) Contents:
Any party to an arbitration, whether domestic or foreign,
may request the court to provide assistance in taking a. a.
The fact that there is an ongoing
The fact that there is an ongoing
evidence. arbitration
arbitrationproceeding
proceeding even
even if such
if such
proceeding
proceedingcould
couldnot
not continue duetoto
continue due
Judicial assistance in taking evidence apply when; some legal some
impediments;
legal impediments;
1. There is a pending arbitration, whether
domestic or foreign b. b.
TheThe arbitral tribunal ordered the taking
arbitral tribunal ordered the taking
of evidence or the party desires to present
2. A party desires to present evidence or ofevidence
evidencetoorthethe partytribunal;
arbitral desires to present
the tribunal ordered evidence to the arbitral tribunal;
3. The evidence is sought other than a c. Materiality or relevance of the evidence
party to the arbitration c. to
Materiality or relevance of the evidence
be taken; and
to be taken; and
d. The names and addresses of the
NOTE: When, however, arbitration has not yet intended witnesses place wher the
commence , any person who desires to perpetuate his d. evidence
The namesmayand
be addresses
found, the of place
the where
testimony may val of the remedy under RULE 24 of the intended witnesses
the premises to be place where
inspected arethe
located
1997 Rules of Civil Procedure. evidence maywhere
or the place be found, therequired
the acts place where
are to
be done.
the premises to be inspected are located
→
or the place where the acts required are to
Listed are examples of court assistance in taking evidence be done.
enumerated under Rule 9.5 of the Special ADR Rules. → 2. COMMENT / OPPOSITION
a. To comply with a subpoena ad testificandum and/or - Must be filed within fifteen (15) days from
subpoena duces tecum; service of the petition.
b. To appear as a witness before an officer for the taking of
his deposition upon oral examination or by written 3. COURT ACTION
interrogatories;
- If the evidence sought is not privileged,
c. To allow the physical examination of the condition of
and is material and relevant, the court shall
persons, or the inspection of things or premises and, when
grant the assistance in taking evidence
appropriate, to allow the recording and/or documentation
requested and shall order petitioner to pay
of condition of persons, things or premises (i.e.,
costs attendant to such assistance.
photographs, video and other means of
recording/documentation);
4. RELIEF AGAINTS COURT ACTION
d. To allow the examination and copying of documents; and
- The order granting assistance in taking
e. To perform any similar acts.
evidence shall be immediately executory
and not subject to reconsideration or
appeal. If the court declines to grant

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Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros
assistance in taking evidence, the petitioner
may file a motion for reconsideration or
appeal.
H. CONFIDENTIALITY/ PROTECTIVE ORDER
(Rules 10.1 to 10.10, Special ADR Rules)
→ It refers to the judicial enforcement of the confidential
nature of information disclosed or obtained during ADR
proceeding.
Rules on Confidentiality and Protective orders apply when:
1) ADR proceeding is pending;
2) A party, counsel or witness disclosed information
or was otherwise compelled to disclosed
information;
3) The disclosure was made under circumstances that
would create a reasonable expectation, on behalf of
the source, that the information shall be kept
confidential;
4) The source of information or the party who made
the disclosure has the right to prevent such
information from being disclosed;
5) The source of information or the party who made
the disclosure has not given his express consent to
any disclosure; and
6) The applicant would be materially prejudiced by an
unauthorized disclosure of the information
obtained, or to be obtained, during the ADR
proceeding.
Note: The benefit of the rule is available not just for
arbitration proceedings, but for all other forms of ADR.
Procedure for the judicial enforcement of
confidentiality or protective measures:
1. Petition or motion
*If there is no pending proceeding
-initiatory pleading shall be a petition to be filed
with the RTC.
*If there is already a pending court proceeding
-separate petition will be improper because it will
amount to multiplicity of suits and forum-
shopping.
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The petition or motion must state the ff:
1. Information sought to be protected was obtained,
or would be obtained, during ADR proceeding;
2. The applicant would be materially prejudiced by
the disclosure of that information;
3. The person or persons who are being asked to
divulge the confidential information participated
in the ADR proceedings;
4. The time, date and place when the ADR
proceedings took place.
2. Comment or Opposition
-must be filed w/in 15 days from service of the petition or
motion.
Comment or opposition must be accompanied by the
proof that:
I. information is not confidential;
II. information was not obtained during ADR
proceeding;
III. there was a waiver of confidentiality; or
IV. the petitioner or movant is precluded from
asserting confidentiality.
3. Court Action
4. Relief Against Court Action
I. Confirmation, Recognition, Enforcement,
Correction, Vacation or Setting aside of Arbitral
Awards ( Rules 11 to 13, Special ADR Rules)
Circumstances covered by these rules:
❖ An arbitral award has been rendered either in:
a) Domestic Arbitration;
b) Philippine ICA; or
c) Foreign arbitration resulting in a
convention or non convention award but
with comity and reciprocity (as in
convention award)
❖ A party seeks to:
a) Confirm, correct or vacate the domestic
arbitral award
b) Recognize and enforce the foreign
convention award or foreign as-in
convention award.
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Alternative Dispute Resolution - Atty. David Ballesteros

Ia. Confirmation, Correction or Vacation of a) In which one of the parties is doing

DomestiArbitral Awards (Rules 11.1 to 11.9, Special business;
ADR Rules) b) Where any of the parties resides; or
Judicial affirmation of a domestic arbitral award is done
c) Where the arbitration proceeding was
through CONFIRMATION NOT RECOGNITION.
conducted.
Recognition pertains to the grant of legal effect by Petition must state the ff:
Philippine courts to an arbitral award with foreign elements. 1. Addresses of the parties;
2. Jurisdictional issues raised by the parties
Causes of Action and Grounds: during arbitration proceedings;
1. Confirmation of the domestic arbitral award 3. Grounds relies upon;
2. Correction or modification of the domestic 4. Date of receipt of the arbitral award and
arbitral award the circumstances under which it was
3. Vacation of the domestic arbitral award received by the petitioner.
Petition must contain the ff:
*the foregoing grounds are exclusive and the court cannot 1. Authentic copy of the arbitration
consider any other ground. agreement
2. Authentic copy of the arbitral award
Principle of Combined Reliefs
It is available in proceedings allowing vacation or setting 3. A certification against forum shopping
aside and correction of the arbitral award. It allows the 4. Authentic copy of the appointment of the
combination of two (2) or more reliefs to be pleaded in the arbitral tribunal
same proceeding. 2. Comment/ Opposition/ Petition-in-
Opposition
Initiatory relief - pleaded in the initiatory petition - If the petition is sufficient in form and
substance, court will cause notice and a
Relief-in-opposition - prayed for in order to oppose copy of petition to be delivered to the
initiatory petition. respondent.
- Within 15 days from the receipt of such
Supplementary relief - in the case of prayer for correction notice, the respondent may file comment,
of an arbitral award in support of a petition for opposition, or a petition-in-opposition
confirmation. unless the period for the filing thereof has
prescribed.
Alternative relief - in the case of a prayer for correction as 3. Reply
an alternative to a petition to vacate in opposition to a - Petitioner may file reply w/in 15 days
petition for confirmation. from the receipt of the comment or
opposition.
The following combinations are possible:
4. Hearing
a) Confirmation/Vacation - The proceeding for the confirmation,
b) Confirmation/Correction correction or vacation of domestic
c) Vacation/Correction arbitral awards may be summary or
regular.
*While the foregoing combinations may come into play in
a single petition, the rules do not allow the filing of 5. Court Action
petitions-in-opposition to vacate or correct a domestic - The court may either confirm or vacate
arbitral award beyond the reglementary period. the award.

Procedural Rules

1. Petition 6. Relief Against Court Action

- Order of the court confirming, vacating or
- Filed with the RTC having jurisdiction
correcting a domestic arbitral award may
over the place:
be the subject of a motion for

LIMBOC . MIJARES . NICOLAS . PANGKAL

Chapter 7 – OTHER FORMS OF ADR
Alternative Dispute Resolution - Atty. David Ballesteros
reconsideration, appeal, or petition for
certiorari.
Ib. Recognition, Enforcement or Setting Aside of ICA
Awards (Rules 12.1 to 12.14, Special ADR Rules)
Causes of Action
1. Recognition and Enforcement of an ICA award,
the petition for which can be filed at any time
from the receipt of the award.
2. Setting aside an ICA award, the petition for which
should be filed w/in three (3) months from the
time the petitioner receives a copy of the ICA
awardor the resolution of the arbitral tribunal for
the correction or interpretation of the award or
the rendition of an additional award if a timely
request has been filed.
*Judicial correction or modification is not available for an
ICA award.Any other judicial recourse against an ICA
award, such as an appeal, petition for review or petition for
certiorari, are disallowed and shall be dismissed.
Grounds for Setting Aside an ICA award or to resist its
enforcement:
1. The party making the application furnishes proof
that:
I. 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 to it, or
fail any indication thereof under
Philippine law;
II. The party making the application to set
aside or resist enforcement ws not given
proper notice of the appointment of an
arbitrator or of the arbitral proceedings or
was otherwise unable to present his case.
III. The award deals with dispute not
contemplated by or not falling within the
terms of the submission to arbitration, or
contains decisions on matters beyond the
scope of the submission to arbitration.
IV. The composition of the arbitral tribunal
or the arbitral procedure was not in
accordance with the agreement of the
parties.
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2. Or the court finds that:
a) Subject matter of the dispute is not capable of
settlement by arbitration under the Philippine law;
b) Recognition or enforcement of the award would
be contrary to public policy.
*if a party to the ICA is a minor or a person judicially
declared to be incompetent, the petition to set aside the ICA
award shall be filed in behalf of the minor or the
incompetent person and shall allege that:
i. the party had knowingly entered into a
submission or agreement with such minor or
incompetent; and
ii. submission to arbitration was made by a
guardian or guardian ad litem who was not
authorized to do so by a competent court.
Procedural Rules
1. Petition
- shall be filed in RTC
a. where the arbitration proceedings
were conducted;
b. where any of the assets to be attached
or levied upon is located;
c. where any of the parties to the
arbitration resides or has his place of
business; or
d. in National Capital Judicial Region
It must state the ff:
a. The addresses of the record of the
parties;
b. That the arbitration agreement
agreement or submission exists;
c. The names of the arbitrators and the
proof of their appointment;
d. That the arbitral award was issued and
the date when the petitioner received
it; and
e. The relief sought.
2. Notice, Opposition and Reply
*If petition is sufficient in form and substance -
court shall cause notice and copy of the petition to
be delivered to respondent.
*if not yet time-barred -w/in 15 days from the
receipt of the petition.
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Alternative Dispute Resolution - Atty. David Ballesteros
Petitioner may file a reply w/in 15 days from receipt
of the opposition or petition in opposition.
3. Hearing
Summary in nature
The court may conduct hearing through:
a.
submission of briefs of legal arguments if
the issue is mainly one of law; or
b. the submission of affidavits of witnesses,
reply affidavits and documents in support
thereof.
If oral hearing, it is non-summary in nature.
4. Suspension of the Proceedings
5. Judgement
- Court shall either set aside or enforce
the arbitral award and may award
attorney’s fees. The court shall not
disturb the arbitral tribunal’s
determination of facts or
interpretation of law.
6. Relief from Court Action
*Motion for reconsideration
i) for court order setting aside, dismissing the
petition to set aside, recognizing and
enforcing or dismissing the petition to
recognize;
ii) suspending the proceedings to set aside an
ICA award and referring the case back to
the arbitral tribunal, or deferring ruling on
a petition to set aside, or recognizing and
enforcing an ICA award.
Petition for certiorari
Court order allowing a party to enforce an award
pending appeal, or adjourning or deferring a ruling
on whether to set aside, or recognize and enforce
an ICA award.
Ic. Recognition and Enforcement of Foreign Arbitral
Awards (Rules 13.1 to 13.12)
Recognition and Enforcement of Foreign Arbitral Awards
is governed by:
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A. 1958 New York Convention on the Recognition
and Enforcement of Foreign Arbitral Awards
(New York Convention)
B. Rule 13 of the Special ADR Rules (convention and
as-in convention awards)
Convention Award- is a foreign arbitral award made in
state which is a party to the New York Convention.
As-in Convention Award- one which although rendered
in a state which is not a party to the New York Convention,
may be recognized and enforced by the Philippine courts by
reasons of comity and reciprocity as if it is a convention
award.
*Rule 13 is not applicable to foreign arbitral awards
rendered in a non-convention country.
*Non-convention Awards may nevertheless be recognized
under Sec.48, Rule 39 of the 1997 Rules of Civil Procedure.
Procedural Rules
1.Petition
- can be filed at any time after the
receipt of the foreign arbitral award
and shall be filed with the RTC.
2. Notice and opposition
- May file a verified opposition thereto
within 30 days from receipt thereof.
3. Hearing
4. Decision
- In case of an ICA, it is presumed that
foreign arbitral award was made and
release in due course of the arbitration
and is subject to enforcement by the
court.
The court shall either:
I. recognize and enforce;or
II. refuse to recognize or enforce the
foreign arbitral award
The court may adjourn or defer the rendition of a
decision if in the meantime an application for the
setting aside or suspension of the award has been
made with the competent authority.