ALTERNATIVE DISPUTE RESOLUTION

(Syllabus-based Reviewer)

I. Preliminary Matters
 Legal Basis of ADR:
ART. VIII, Sec. 5 (5) 1987 Constitution
 Mandating the SC to promulgate rules that shall “provide a simplified and inexpensive
procedure for the speedy disposition of cases. “
Rule 18, Sec 2(a) 1997 Rules of Civil Procedure
 Requiring the courts to “consider the possibility of an amicable settlement or of a submission to
alternative modes of resolution.”
“Alternative” comes from the word “alternate” which means substitute, spare tire, a second stringer, a
fallback position.
It is wrong because litigation should be the LAST option not ADR.
Limitations of ADR Cases that involve the following are beyond the scope of arbitration:
1) Constitutional law issues
2) Anti-trust suits
3) Probate
4) Adoption
5) Precedent-setting cases that involve punitive damages
6) Actions of equitable relief, and
7) Nuisance
ART. 2035 of the Civil Code
If related issues of the following are matters in controversy may not be capable of being referred to
arbitration:
1) Civil Status of persons;
2) Validity of Marriage;
3) Legal separation;
4) Future support;
5) Future legitime;
6) Jurisdiction of the courts;
7) Future jurisdiction of the courts.
 Legal Dispute:
A dispute is a disagreement on a point of law or fact, a conflict of legal views or of interests between
two or more persons. It also means a conflict or controversy, especially one that has given rise to a
particular lawsuit. This is a reality in life.
 Dispute Resolution Spectrum (Modes of Dispute Resolution)
A. Public and adversarial in character (Judicial)
1. Litigation - Under the Philippine judicial process, an adversarial system is used as an
indispensable tool in dispute resolution. The contending parties present before a court their
conflicting versions of an occurrence by shaping both the facts, the issues and even the

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 evidence to suit their perspectives, designs and strategies in accordance with the Rules of
Court that provides the framework for the entire litigation process.
B. Private and non-adversarial in character (Extra-judicial)
1. Negotiation – A process of resolving dispute privately by way of agreement by the parties.
There is no 3rd party decision maker, only the parties talk and agree to resolve their
dispute/conflict.
2. Mediation/Conciliation – There is likewise no 3rd party to decide and resolve the conflict in
question. The 3rd party, however, shall assist and facilitate in the settlement and resolution of
the dispute between the opposing parties.
3. Arbitration – A dispute resolution process whereby the parties voluntarily submit to make
their own arrangement for the settlement of their dispute privately with the intervention of
their own appointed 3rd party arbitrator who shall make a final decision thereon.

II. Syllabus-based Reviewer

1. ALTERNATIVE DISPUTE RESOLUTION (ADR)
It 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 in this Act, 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[a], RA 9285)
Otherwise stated, ADR refers to dispute resolution processes which the parties voluntarily agree to adopt
as a means of resolving their dispute. (1.1.1., Chapter 1, PIArb Handbook)
It is a declared 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. (Sec. 2, RA 9285; Chapter 1, PIArb Handbook)
2. ARBITRATION
It 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 this Act, resolve a dispute by rendering
an award. (Sec. 3[d], RA 9285)
Arbitration is one of the forms of ADR which results in a binding and enforceable resolution of disputes.
It is noteworthy that Arbitration Agreement is the law between the contracting parties, and our law makes
a distinction between arbitration agreement and submission agreement. Thus, the former is an agreement
to submit existing differences while the latter is an agreement to submit differences which may arise in the
future. (Chapter 1, PIArb Handbook)
Note: Arbitration is contractual or consensual, hence, “no agreement, no arbitration.” As sort of contract,
arbitration agreement is voluntary in nature; in other words, it must have an element of voluntariness.
Both parties, however, either individual or corporation, must have the capacity to enter into a contract,
and the applicable law that governs such capacity depends on the nationality of the individual and on
the place of registration in the case of corporation. (From the lecture of Atty. Omila)
3. APPLICABLE LAWS, RULES
PIArb Handbook, Chapter 2

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 RA 9285 or the Alternative Dispute Resolution Act of 2004 (ADR Act) is the comprehensive law
governing commercial arbitration in the Philippines. Instead of consolidating Philippine arbitration laws
and repealing old legislation, the Act incorporated various laws by reference. It adopted certain provisions
of RA 876 (Arbitration Law of 1953) for domestic arbitrations, and UNCITRAL Model Law for
international commercial arbitrations. The Model Law has two versions, the 1985 and the 2006, and the
Philippine has adopted only the former.
Various Arbitration Laws:
a) RA 9285 – ADR Act of 2004
b) IRR of RA 9285
c) RA 876 – Domestic Arbitration Law
d) UNCITRAL Model Law of 1985 and 2006 Amendments
e) New York Convention of 1958 – (United Nations Convention on the Recognition and Enforcement
of Foreign Arbitral Awards approved in 1958 and ratified by the Philippine Senate under Senate
Resolution No. 71)
f) Special Rules of Court on ADR – (Special ADR Rules)
4. STATE POLICIES ON ADR/ARBITRATION
a) RA 9285
SEC. 2. Declaration of Policy. - 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. 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.
b) IRR of RA 9285:
Article 1.2 Declaration of policy. It is the policy of the State:
(a) To promote party autonomy in the resolution of disputes or the freedom of the parties to make
their own arrangements to resolve their disputes;
(b) To 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;
(c) To provide means for the use of ADR as an efficient tool and an alternative procedure for the
resolution of appropriate cases; and
(d) To enlist active private sector participation in the settlement of disputes through ADR.
Article 1.6 Definition of Terms. For purposes of these Rules, the terms shall be defined as
follows:
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.

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 c) Special ADR Rules:
Rule 2.1. General policies. - It is the policy of the State to actively promote the use of various modes
of ADR and to respect party autonomy or the freedom of the parties to make their own arrangements
in the resolution of disputes with the greatest cooperation of and the least intervention from the courts.
To this end, the objectives of the Special ADR Rules are to encourage and promote the use of ADR,
particularly arbitration and mediation, as an important means to achieve speedy and efficient
resolution of disputes, impartial justice, curb a litigious culture and to de-clog court dockets.
The court shall exercise the power of judicial review as provided by these Special ADR Rules. Courts
shall intervene only in the cases allowed by law or these Special ADR Rules.
Rule 2.2. Policy on arbitration.-
(A) Where the parties have agreed to submit their dispute to arbitration, courts shall refer the parties to
arbitration pursuant to Republic Act No. 9285 bearing in mind that such arbitration agreement is
the law between the parties and that they are expected to abide by it in good faith. Further, the
courts shall not refuse to refer parties to arbitration for reasons including, but not limited to, the
following:
a. The referral tends to oust a court of its jurisdiction;
b. The court is in a better position to resolve the dispute subject of arbitration;
c. The referral would result in multiplicity of suits;
d. The arbitration proceeding has not commenced;
e. The place of arbitration is in a foreign country;
f. One or more of the issues are legal and one or more of the arbitrators are not lawyers;
g. One or more of the arbitrators are not Philippine nationals; or
h. One or more of the arbitrators are alleged not to possess the required qualification under the
arbitration agreement or law.
(B) Where court intervention is allowed under ADR Laws or the Special ADR Rules, courts shall not
refuse to grant relief, as provided herein, for any of the following reasons:
a. Prior to the constitution of the arbitral tribunal, the court finds that the principal action is the
subject of an arbitration agreement; or
b. The principal action is already pending before an arbitral tribunal.
The Special ADR Rules recognize the principle of competence-competence, which means that the
arbitral tribunal may initially 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 a request
for arbitration.
The Special ADR Rules recognize the principle of separability of the arbitration clause, which means
that said clause shall be treated as an agreement independent of the other terms of the contract of
which it forms part. A decision that the contract is null and void shall not entail ipso jure the invalidity
of the arbitration clause.
5. PRINCIPLES OF ARBITRATION
A. PARTY AUTONOMY
Note: Party autonomy is the heart of arbitration, and a process choice. In other words, it is the freedom
of the parties to choose what kind of ADR they should use to resolve their dispute privately. (From
the lecture of Atty. Omila)
 Autea Handbook, Chapter 1
It is the policy of the State to actively promote party autonomy in the resolution of disputes or the
freedom of the parties to make their own arrangements to resolve their disputes. The State also
encourages the use of ADR, (1) to achieve speedy and impartial justice; and, (2) to de-clog court
dockets.
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 In the exercise of party autonomy, the parties are able to choose any ADR mechanism for the
resolution of disputes, and in the form of arbitration, they are able to do the following:
(1) select their arbitrators or to participate in the process of selecting their arbitrators;
(2) fix the number of arbitrators;
(3) set the qualifications of the arbitrators;
(4) agree on the venue and seat or place of arbitration as well as the procedure to be followed in the
conduct of arbitral proceedings.
 PIArb Handbook, Chapter 3
An arbitration agreement is a contract and as such, must be valid as a contract under the law to
which the parties subject it. There must be a clear intent to arbitrate, it must be in writing and the
subject matter of the arbitration must be capable of being settled through arbitration.
 RA 9285
SEC. 2. Declaration of Policy. - 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. 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.
 New Civil Code (NCC):
Article 2028. A compromise is a contract whereby the parties, by making reciprocal concessions,
avoid a litigation or put an end to one already commenced. (1809a)
Article 2029. The court shall endeavor to persuade the litigants in a civil case to agree upon some
fair compromise.
Article 2030. Every civil action or proceeding shall be suspended:
(1) If willingness to discuss a possible compromise is expressed by one or both parties; or
(2) If it appears that one of the parties, before the commencement of the action or proceeding,
offered to discuss a possible compromise but the other party refused the offer.
The duration and terms of the suspension of the civil action or proceeding and similar matters shall
be governed by such provisions of the rules of court as the Supreme Court shall promulgate. Said
rules of court shall likewise provide for the appointment and duties of amicable compounders.
Article 2034. There may be a compromise upon the civil liability arising from an offense; but such
compromise shall not extinguish the public action for the imposition of the legal penalty.
Article 2035. No compromise upon the following questions shall be valid:
(1) The civil status of persons;
(2) The validity of a marriage or a legal separation;
(3) Any ground for legal separation;
(4) Future support;
(5) The jurisdiction of courts;
(6) Future legitime.

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 Article 2038. A compromise in which there is mistake, fraud, violence, intimidation, undue
influence, or falsity of documents, is subject to the provisions of article 1330 of this Code.
However, one of parties cannot set up a mistake of fact as against the other if the latter, by virtue of
the compromise, has withdrawn from a litigation already commenced.

Article 2041. If one of the parties fails or refuses to abide by the compromise, the other party may
either enforce the compromise or regard it as rescinded and insist upon his original demand.

Article 2042. The same persons who may enter into a compromise may submit their controversies
to one or more arbitrators for decision.

Article 2043. The provisions of the preceding Chapter upon compromises shall also be applicable to
arbitrations.

Article 2044. Any stipulation that the arbitrators' award or decision shall be final, is valid, without
prejudice to articles 2038, 2039, and 2040.

Article 2045. Any clause giving one of the parties power to choose more arbitrators than the other is
void and of no effect.

Article 2046. The appointment of arbitrators and the procedure for arbitration shall be governed by
the provisions of such rules of court as the Supreme Court shall promulgate.

 IRR of R.A. 9285

Article 1.2 Declaration of policy. It is the policy of the State:
(a) To promote party autonomy in the resolution of disputes or the freedom of the parties to make
their own arrangements to resolve their disputes;
(b) To 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;
(c) To provide means for the use of ADR as an efficient tool and an alternative procedure for the
resolution of appropriate cases; and
(d) To enlist active private sector participation in the settlement of disputes through ADR.

A.1) Arbitration Agreement – an agreement to submit to arbitration all or certain disputes which
have arisen or which may arise between the parties, in respect of a defined legal relationship,
whether contractual or not. (3.1.1., Chapter 3, PIArb Handbook)
a) Arbitration Clause - a clause in a contract that requires the parties to resolve their disputes
through an arbitration process. Stated otherwise, it is an agreement incorporated as a clause in
a contract to submit future disputes to arbitration.
b) Submission Agreement - an agreement made by both parties to submit to arbitration to
resolve their existing dispute. In other words, the subject dispute must exist before the making
of the agreement to submit the same for arbitration. Hence, it presupposes the absence of
prior agreement to settle by arbitration certain or all disputes which may arise in the future.
c) Incorporation by Reference - this refers to the means of incorporating the arbitration clause
or agreement contained in any document or instrument into another separate document by
reference, i.e. by expressly declaring in the said separate document that such clause or
agreement shall form part of the former.
 Article II, New York Convention
1. Each Contracting State shall recognize an agreement in writing under which the parties
undertake to submit to arbitration all or any differences which have arisen or which

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 may arise between them in respect of a defined legal relationship, whether contractual
or not, concerning a subject matter capable of settlement by arbitration.
2. The term “agreement in writing” shall include an arbitral clause in a contract or an
arbitration agreement, signed by the parties or contained in an exchange of letters or
telegrams.
3. The court of a Contracting State, when seized of an action in a matter in respect of
which the parties have made an agreement within the meaning of this article, shall, at
the request of one of the parties, refer the parties to arbitration, unless it finds that the
said agreement is null and void, inoperative or incapable of being performed.

 1985 Model Law

Article 7. Definition and form of arbitration agreement
(1) "Arbitration agreement" is an 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.
(2) The 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 another. 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.

 2006 Model Law

Option I
Article 7. Definition and form of arbitration agreement
(1) “Arbitration agreement” is an 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.
(2) The arbitration agreement shall be in writing.
(3) An arbitration agreement is in writing if its content is recorded in any form, whether
or not the arbitration agreement or contract has been concluded orally, by conduct, or
by other means.
(4) The requirement that an arbitration agreement be in writing is met by an electronic
communication if the information contained therein is accessible so as to be useable
for subsequent reference; “electronic communication” means any communication that
the parties make by means of data messages; “data message” means information
generated, sent, received or stored by electronic, magnetic, optical or similar means,
including, but not limited to, electronic data interchange (EDI), electronic mail,
telegram, telex or telecopy.
(5) Furthermore, an arbitration agreement is in writing if it is contained 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.

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 (6) The reference in a contract to any document containing an arbitration clause
constitutes an arbitration agreement in writing, provided that the reference is such as
to make that clause part of the contract.
Option II
Article 7. Definition of arbitration agreement
“Arbitration agreement” is an 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.
 RA 876
Section 4. Form of 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.
A.2) Presumptive Validity/Enforceability of Arbitration Agreements, Referral to Arbitration &
Stay of Civil Action
 Autea Handbook (Chapter 6)
 Article II, 1958 New York Convention
1. Each Contracting State shall recognize an agreement in writing under which the parties
undertake to submit to arbitration all or any differences which have arisen or which
may arise between them in respect of a defined legal relationship, whether contractual
or not, concerning a subject matter capable of settlement by arbitration.
2. The term “agreement in writing” shall include an arbitral clause in a contract or an
arbitration agreement, signed by the parties or contained in an exchange of letters or
telegrams.
3. The court of a Contracting State, when seized of an action in a matter in respect of
which the parties have made an agreement within the meaning of this article, shall, at
the request of one of the parties, refer the parties to arbitration, unless it finds that the
said agreement is null and void, inoperative or incapable of being performed.
 1985 Model Law
Article 8. Arbitration agreement and substantive claim before court
(1) A court before which an action is brought in a matter which is the subject of an
arbitration agreement shall, if a party so requests not later than when submitting his
first statement on the substance of the dispute, refer the parties to arbitration unless it
finds that the agreement is null and void, inoperative or incapable of being performed.
(2) Where an action referred to in paragraph (1) 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.
 RA 9285
SEC. 24. Referral to Arbitration. - A court before which an action is brought in a matter
which is the subject matter of an arbitration agreement shall, if at least one party so

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 requests not later that the pre-trial conference, or upon the request of 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.
 RA 876
SEC. 7. Stay of civil action. - 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.
 IRR of RA 9285:
Article 4.8. Arbitration Agreement and Substantive Claim before 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 requests or 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 5.7. Arbitration Agreement and Substantive Claim before Court.
(a) 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.
(b) 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.
(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 5.44. Multi-Party Arbitration. 
(a) - - - - - x x x - - - - -
(b) When a claimant includes persons who are not parties to or otherwise bound by the
arbitration agreement, directly or by reference, between him/her and the respondent
as additional claimants or the additional respondents unless not later than the date
communicating his/her answer to the request for arbitration, either by motion or by a
special defense in his answer, he objects, on jurisdictional grounds, to the inclusion
of such additional respondents. The additional respondents shall be deemed to have
consented to their inclusion in the arbitration unless, not later than the date of
communicating their answer to the request for arbitration, either by motion or a

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 special defense in their answer, they object, on jurisdictional grounds, to their
inclusion.
 Special ADR Rules:
Rule 4.1. Who makes the request. - A party to a pending action filed in violation of the
arbitration agreement, whether contained in an arbitration clause or in a submission
agreement, may request the court to refer the parties to arbitration in accordance with such
agreement.
Rule 4.2. When to make request. –
(A) Where the arbitration agreement exists before the action is filed. - The request for
referral shall be made not later than the pre-trial conference. After the pre-trial conference,
the court will only act upon the request for referral if it is made with the agreement of all
parties to the case.
(B) Submission agreement. - If there is no existing arbitration agreement at the time the
case is filed but the parties subsequently enter into an arbitration agreement, they may
request the court to refer their dispute to arbitration at any time during the proceedings.
Rule 4.5. Court action. - After hearing, the court shall stay the action and, considering the
statement of policy embodied in Rule 2.4, above, refer the parties to arbitration if it finds
prima facie, based on the pleadings and supporting documents submitted by the parties,
that there is an arbitration agreement and that the subject-matter of the dispute is capable
of settlement or resolution by arbitration in accordance with Section 6 of the ADR Act.
Otherwise, the court shall continue with the judicial proceedings.
Rule 4.6. No reconsideration, appeal or certiorari. - An order referring the dispute to
arbitration shall be immediately executory and shall not be subject to a motion for
reconsideration, appeal or petition for certiorari.
An order denying the request to refer the dispute to arbitration shall not be subject to an
appeal, but may be the subject of a motion for reconsideration and/or a petition for
certiorari.
Rule 4.7. Multiple actions and parties. - The court shall not decline to refer some or all of
the parties to arbitration for any of the following reasons:
a. Not all of the disputes subject of the civil action may be referred to arbitration;
b. 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;
c. The issues raised in the civil action could be speedily and efficiently resolved in its
entirety by the court rather than in arbitration;
d. Referral to arbitration does not appear to be the most prudent action; or
e. The stay of the 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 arbitration of those
parties who are not bound by the arbitration agreement but who agree to such inclusion
provided those originally bound by it do not object to their inclusion.
Rule 4.8. Arbitration to proceed. – Despite the pendency of the action referred to in Rule
4.1, above, arbitral proceedings may nevertheless be commenced or continued, and an
award may be made, while the action is pending before the court.
A.3) What Parties Can Agree On
Examples:

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 Type of Arbitration
In arbitration, parties refer their disputes to an arbitrator (ad hoc arbitration) or an arbitral
institute (institutional arbitration), and the decisions rendered by the latter are binding on the
parties. Institutional arbitration is one administered by an organization or regular arbitral
center, usually in accordance with its own rules of arbitration. Ad hoc arbitration on the other
hand, is one not formally administered by any established arbitral agency; instead the parties
opt to administer the arbitration themselves, e.g. craft their own procedures for a given
arbitration. (1.2.1, Chapter 1, PIArb Handbook)
 Appointment of Arbitrators
1985 Model Law:
Article 10. Number of arbitrators
(1) The parties are free to determine the number of arbitrators.
(2) Failing such determination, the number of arbitrators shall be three.
Article 11. Appointment of arbitrators
(1) No person shall be precluded by reason of his nationality from acting as an arbitrator,
unless otherwise agreed by the parties.
(2) The parties are free to agree on a procedure of appointing the arbitrator or arbitrators,
subject to the provisions of paragraphs (4) and (5) of this article.
(3) Failing such agreement,
a) in an arbitration with three arbitrators, each party shall appoint one arbitrator, and the
two arbitrators thus appointed shall appoint the third arbitrator; if a party fails to
appoint the arbitrator within thirty days upon 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
days of their appointment, the appointment shall be made, upon request of a party, by
the court or other authority specified in article 6;
b) in an arbitration with a sole arbitrator, if the parties are unable to agree on the
arbitrator, he shall be appointed, upon request of a party, by the court or other
authority specified in article 6.
(4) Where, under an appointment procedure agreed upon by the parties,
a) a party fails to act as required under such procedure, or
b) the parties, or two arbitrators, are unable to reach an agreement expected of them
under such procedure, or
c) a third party, including an institution, fails to perform any function entrusted to it
under such procedure, any party may request the court or other authority specified in
article 6 to take the necessary measure, unless the agreement on the appointment
procedure provides other means for securing the appointment.
(5) A decision on a matter entrusted by paragraph (3) or (4) of this article to the court or
other authority specified in article 6 shall be subject to no appeal. The court or other
authority, in appointing an arbitrator, shall have 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 those of the parties.
 Procedure/Rules of Arbitration
1985 Model Law:
Article 19. Determination of rules of procedure
1) Subject to the provisions of this Law, the parties are free to agree on the procedure to
be followed by the arbitral tribunal in conducting the proceedings.
11
2) Failing such agreement, the arbitral tribunal may, subject to the provisions of this
Law, conduct the arbitration in such manner as it considers appropriate. The power
conferred upon the arbitral tribunal includes the power to determine the admissibility,
relevance, materiality and weight of any evidence.
Article 23. Statements of claim and defense
1) Within the period of time agreed by the parties or determined by the arbitral tribunal,
the claimant shall state the facts supporting his claim, the points at issue and the
relief or remedy sought, and the respondent shall state his 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.
2) Unless otherwise agreed by the parties, either party may amend or supplement his
claim or defense during the course of the arbitral proceedings, unless the arbitral
tribunal considers it inappropriate to allow such amendment having regard to the
delay in making it.
Article 24. Hearings and written proceedings
(1) 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 shall be held,
the arbitral tribunal shall hold such hearings at an appropriate stage of the
proceedings, if so requested by a party.
(2) The parties shall be given sufficient advance notice of any hearing and of any
meeting of the arbitral tribunal for the purposes of inspection of goods, other
property or documents.
(3) All statements, documents or other information supplied to the arbitral tribunal by
one party shall be communicated to the other party. Also any expert report or
evidentiary document on which the arbitral tribunal may rely in making its decision
shall be communicated to the parties.
Article 25. 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 article
23(1), the arbitral tribunal shall terminate the proceedings;
(b) the respondent fails to communicate his statement of defense in accordance with
article 23(1), the arbitral tribunal shall continue the proceedings without treating
such failure in itself as an admission of 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 on the evidence
before it.
Article 26. Expert appointed by arbitral tribunal
(1) Unless otherwise agreed by the parties, the arbitral tribunal
i. may appoint one or more experts to report to it on specific issues to be
determined by the arbitral tribunal;
ii. 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
inspection.

12
 (2) 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 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.
IRR of RA 9285
Article 4.19. Determination of the Rules of Procedure.
(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) Failing 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 Assembly 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.
Special ADR Rules
Rule 2.3. Rules governing arbitral proceedings. - The parties are free to agree on the
procedure to be followed in the conduct of arbitral proceedings. Failing such agreement,
the arbitral tribunal may conduct arbitration in the manner it considers appropriate.
 Seat of Arbitration
RA 9285
SEC. 30. Place of Arbitration. - The parties are free to agree on the place of arbitration.
Failing such agreement, the place of arbitration shall be in Metro Manila, unless the
arbitral 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.
1985 Model Law
Article 20. Place of arbitration
(1) The parties are free to agree on the place of arbitration. Failing such agreement, the
place of arbitration shall be determined by the arbitral tribunal having regard to the
circumstances of the case, including the convenience of the parties.
(2) Notwithstanding the provisions of paragraph (1) of this article, 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.
 Law Governing the Dispute
1985 Model Law
Article 28. Rules applicable to substance of dispute
(1) 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

13
 otherwise expressed, as directly referring to the substantive law of that State and not
to its conflict of laws rules.
(2) Failing any designation by the parties, the arbitral tribunal shall apply the law
determined by the conflict of laws rules which it considers applicable.
(3) The arbitral tribunal shall decide ex aequo et bono or as amiable compositeur only if
the parties have expressly authorized it to do so.
(4) 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.
IRR of RA 9285
Article 4.28. 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) 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. 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.
 Ex Aequo Et Bono or Amiable Compositeur
1985 Model Law
Article 28. Rules Applicable to Substance of Dispute
(3) The arbitral tribunal shall decide ex aequo et bono or as amiable compositeur only if
the parties have expressly authorized it to do so.
 Language of the Arbitration
RA 9285
SEC. 31. Language of the Arbitration. - 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 in international arbitration, and English or Filipino for domestic
arbitration, unless the arbitral tribunal shall determine a different or another language or
languages to be used in the proceedings. This agreement or determination, 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.

14
 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 or determined in
accordance with paragraph 1 of this section.
1985 Model Law
Article 22. Language
(1) The parties are free to agree on the language or languages to be used in the arbitral
proceedings. Failing such agreement, the arbitral tribunal shall determine the
language or languages to be used in the proceedings. This agreement or
determination, 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.
(2) 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 or
determined by the arbitral tribunal.
 Appointment of Experts
1985 Model Law
Article 26. Expert appointed by arbitral tribunal
(1) Unless otherwise agreed by the parties, the arbitral tribunal
i. may appoint one or more experts to report to it on specific issues to be
determined by the arbitral tribunal;
ii. 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
inspection.
(2) 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 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.
A.4) Limitations on Party Autonomy
I. Mandatory Rules from which there can be No Derogation
1985 Model Law
Article 18. Equal treatment of parties
The parties shall be treated with equality and each party shall be given a full opportunity
of presenting his case.
IRR of RA 9285 (RULE 5 - Conduct of Arbitral Proceedings)
Article 4.18. Equal Treatment of Parties. The parties shall be treated with equality and
each shall be given a full opportunity of presenting his/her case.
Article 5.17. 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.
II. Non-Arbitrable Matters
RA 9285
SEC. 6. Exception to the Application of this Act. - The provisions of this Act shall not
apply to resolution or settlement of the following:

15
 (1) 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;
(2) the civil status of persons;
(3) the validity of a marriage;
(4) any ground for legal separation;
(5) the jurisdiction of courts;
(6) future legitime;
(7) criminal liability; and
(8) those which by law cannot be compromised.
New Civil Code
Article 2035. No compromise upon the following questions shall be valid:
(1) The civil status of persons;
(2) The validity of a marriage or a legal separation;
(3) Any ground for legal separation;
(4) Future support;
(5) The jurisdiction of courts;
(6) Future legitime.

A.5) Non-Parties to Arbitration Agreements

RA 9285
SEC. 25. Interpretation of the Act. - In interpreting the Act, the court shall have due
regard to the policy of the law in favor of arbitration. Where action is commenced by or
against multiple parties, one or more of whom are 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.
IRR of RA 9285
Article 5.44. Multi-Party Arbitration. 
(b) When a claimant includes persons who are not parties to or otherwise bound by
the arbitration agreement, directly or by reference, between him/her and the
respondent as additional claimants or the additional respondents unless not later
than the date communicating his/her answer to the request for arbitration, either
by motion or by a special defense in his answer, he objects, on jurisdictional
grounds, to the inclusion of such additional respondents. The additional
respondents shall be deemed to have consented to their inclusion in the
arbitration unless, not later than the date of communicating their answer to the
request for arbitration, whether by motion or a special defense in their answer,
they object, on jurisdictional grounds, to their inclusion.
Article 4.8. Arbitration Agreement and Substantive Claim Before 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 5.7. Arbitration Agreement and Substantive Claim Before 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

16
 who are bound by the arbitration agreement although the civil action may continue as
to those who are not bound by such arbitration agreement.
Special ADR Rules
Rule 2.2. Policy on arbitration.-
(A) Where the parties have agreed to submit their dispute to arbitration, courts shall
refer the parties to arbitration pursuant to Republic Act No. 9285 bearing in mind
that such arbitration agreement is the law between the parties and that they are
expected to abide by it in good faith. Further, the courts shall not refuse to refer
parties to arbitration for reasons including, but not limited to, the following:
a. The referral tends to oust a court of its jurisdiction;
b. The court is in a better position to resolve the dispute subject of arbitration;
c. The referral would result in multiplicity of suits;
d. The arbitration proceeding has not commenced;
e. The place of arbitration is in a foreign country;
f. One or more of the issues are legal and one or more of the arbitrators are not
lawyers;
g. One or more of the arbitrators are not Philippine nationals; or
h. One or more of the arbitrators are alleged not to possess the required
qualification under the arbitration agreement or law.
(B) Where court intervention is allowed under ADR Laws or the Special ADR Rules,
courts shall not refuse to grant relief, as provided herein, for any of the following
reasons:
a. Prior to the constitution of the arbitral tribunal, the court finds that the
principal action is the subject of an arbitration agreement; or
b. The principal action is already pending before an arbitral tribunal.
The Special ADR Rules recognize the principle of competence-competence,
which means that the arbitral tribunal may initially 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 a request for
arbitration.
The Special ADR Rules recognize the principle of separability of the arbitration
clause, which means that said clause shall be treated as an agreement
independent of the other terms of the contract of which it forms part. A decision
that the contract is null and void shall not entail ipso jure the invalidity of the
arbitration clause.
B. TYPES OF ARBITRATION
Note: Chapter 2 of Autea Handbook speaks of commercial arbitration which covers matters arising
from all relationships of a commercial (trade and business) nature, whether contractual or not, and
it is classified into “domestic” and “international” arbitration.
Under Sec. 32 of RA 9285, “Domestic arbitration shall continue to be governed by Republic
Act No. 876, otherwise known as "The Arbitration Law" as amended by this Chapter. The term
"domestic arbitration" as used herein shall mean an arbitration that is not international as defined
in Article 1(3) of the Model Law.” In other words, the law defines domestic arbitration by simply
contrasting it to international arbitration.
o INSTITUTIONAL vs. AD HOC
 1.1.2., Chapter 1 of PIArb Handbook

17
 Institutional arbitration is one administered by an organization or regular arbitral center, usually
in accordance with its own rules of arbitration. Ad hoc arbitration on the other hand, is one not
formally administered by any established arbitral agency; instead the parties opt to administer the
arbitration themselves, e.g. craft their own procedures for a given arbitration.
 IRR of RA 9285, Rule 2
Article 1.6 (D) 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.
Article 1.6 (D) 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.
INTERNATIONAL COMMERCIAL ARBITRATION
 RA 9285
SEC. 19. Adoption of the Model Law on International Commercial Arbitration. - International
commercial arbitration shall be governed by the Model Law on International Commercial
Arbitration (the "Model Law") adopted by the United Nations Commission on International Trade
Law on June 21, 1985 (United Nations Document A/40/17) and recommended approved on
December 11, 1985, copy of which is hereto attached as Appendix "A."
 1985 Model Law
Article 1. Scope of application
(1) This Law applies to international commercial arbitration, subject to any agreement in force
between this State and any other State or States.
(2) The provisions of this Law, except articles 8, 9, 17 H, 17 I, 17 J, 35, and 36, apply only if the
place of arbitration is in the territory of this State.
(Article 1(2) has been amended by the Commission at its thirty-ninth session, in 2006)
(3) An arbitration is international if:
(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 State in which the parties have their
places of business:
i. the place of arbitration if determined in, or pursuant to, the arbitration agreement;
ii. any place where a substantial part of the obligations of the commercial relationship is
to be performed or the place with which 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.
(4) For the purposes of paragraph (3) of this article:
(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 habitual
residence.
(5) This Law shall not affect any other law of this State 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 this Law.
 IRR of RA 9285
18
 Article 1.6 (C) 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:
(i) the place of arbitration if determined in, or pursuant to, the arbitration agreement;
(ii) 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.
Article 4.1. Scope of Application. 
(a) This Chapter applies to international commercial arbitration, subject to any agreement in
force between the Philippines and other state or states.
(b) This Chapter 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) This Chapter 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.
COMMERCIAL ARBITRATION DEFINED
 RA 9285
SEC. 21. Commercial Arbitration. - An arbitration is "commercial" if it covers matters arising
from all relationships of a commercial nature, whether contractual or not. Relationships of a
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.
DOMESTIC ARBITRATION
 RA 9285
SEC. 32. Law Governing Domestic Arbitration. - Domestic arbitration shall continue to be
governed by Republic Act No. 876, otherwise known as "The Arbitration Law" as amended by
this Chapter. The term "domestic arbitration" as used herein shall mean an arbitration that is not
international as defined in Article (3) of the Model Law.
SEC. 33. Applicability to Domestic Arbitration. - Article 8, 10, 11, 12, 13, 14, 18 and 19 and 29
to 32 of the Model Law and Section 22 to 31 of the preceding Chapter 4 shall apply to domestic
arbitration.
 IRR of RA 9285
Article 5.1. Scope of Application.

19
 (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.
FOREIGN ARBITRATION
 1985 New York Convention
Article I
1. This Convention shall apply to the recognition and enforcement of arbitral awards made in the
territory of a State other than the State where the recognition and enforcement of such awards
are sought, and arising out of differences between persons, whether physical or legal. It shall
also apply to arbitral awards not considered as domestic awards in the State where their
recognition and enforcement are sought.
2. The term “arbitral awards” shall include not only awards made by arbitrators appointed for
each case but also those made by permanent arbitral bodies to which the parties have
submitted.
3. When signing, ratifying or acceding to this Convention, or notifying extension under article X
hereof, any State may on the basis of reciprocity, declare that it will apply the Convention to
the recognition and enforcement of awards made only in the territory of another Contracting
State. It may also declare that it will apply the Convention only to differences arising out of
legal relationships, whether contractual or not, which are considered as commercial under the
national law of the State making such declaration.
C. DOCTRINE OF SEPARABILITY OF ARBITRATION AGREEMENT

20
  PIArb Handbook, Chapter 3, 3.1, & 3.6
To reiterate, an arbitration agreement is an agreement to submit to arbitration all or certain
disputes which have arisen or which may arise between the parties, in respect of a defined legal
relationship, whether contractual or not.
An arbitration clause is an arbitration agreement incorporated as a clause in a contract. It is an
agreement to submit future disputes to arbitration. On the other hand, an arbitration agreement
may be a separate agreement, usually entered into for the purpose of submitting existing disputes
to arbitration. (Please note that in Chapter 1 of Autea Handbook, our law makes a distinction
between arbitration agreement and submission agreement. Accordingly, the former involves
future disputes while the latter covers existing conflicts between the parties.)
Under the principle of separability of the arbitration agreement, the arbitration clause is treated as
an agreement independent of the other terms of the contract of which it forms. A decision that the
contract is null and void shall not necessarily invalidate the arbitration clause.
Further, the doctrine of separability, or severability, enunciates that an arbitration agreement is
independent of the main contract. Otherwise put, regardless of the fact that the main contract is
invalid, the arbitration clause/agreement still remains valid and enforceable.
 1985 Model Law
Article 16. Competence of arbitral tribunal to rule on its jurisdiction
(1) The arbitral tribunal may rule on its own jurisdiction, including any objections with respect to
the existence or validity of the arbitration agreement. 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.
 Special ADR Rules
Rule 2.2
(B) Where court intervention is allowed under ADR Laws or the Special ADR Rules, courts shall
not refuse to grant relief, as provided herein, for any of the following reasons:
a. Prior to the constitution of the arbitral tribunal, the court finds that the principal action is
the subject of an arbitration agreement; or
b. The principal action is already pending before an arbitral tribunal.
The Special ADR Rules recognize the principle of competence-competence, which means that the
arbitral tribunal may initially 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 a
request for arbitration.
The Special ADR Rules recognize the principle of separability of the arbitration clause, which
means that said clause shall be treated as an agreement independent of the other terms of the
contract of which it forms part. A decision that the contract is null and void shall not entail ipso
jure the invalidity of the arbitration clause.
D. DOCTRINE OF COMPETENCE-COMPETENCE
 1985 Model Law
Article 16. Competence of arbitral tribunal to rule on its jurisdiction
(1) The arbitral tribunal may rule on its own jurisdiction, including any objections with respect to
the existence or validity of the arbitration agreement. 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.

21
 (2) A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than the
submission of the statement of defense. A party is not precluded from raising such a plea by
the fact that he 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.
(3) The arbitral tribunal may rule on a plea referred to in paragraph (2) 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 days after having received
notice of that ruling, the court specified in article 6 to decide the matter, which decision shall
be subject to no appeal; while such a request is pending, the arbitral tribunal may continue the
arbitral proceedings and make an award.
 IRR of RA 9285
Article 4.16. Competence of Arbitral Tribunal to Rule on its 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 5.15 Competence of Arbitral Tribunal to Rule on its Jurisdiction.
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 first instance, resolve the objection when made on any
of the following grounds:
(iii) the dispute is under the original and exclusive jurisdiction of a court or quasi-judicial
body,
Special ADR Rules
Rule 2.2. Policy on arbitration.-
(B) Where court intervention is allowed under ADR Laws or the Special ADR Rules, courts shall
not refuse to grant relief, as provided herein, for any of the following reasons:
a. Prior to the constitution of the arbitral tribunal, the court finds that the principal action is
the subject of an arbitration agreement; or
b. The principal action is already pending before an arbitral tribunal.

22
 The Special ADR Rules recognize the principle of competence-competence, which means that the
arbitral tribunal may initially 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 a
request for arbitration.
The Special ADR Rules recognize the principle of separability of the arbitration clause, which
means that said clause shall be treated as an agreement independent of the other terms of the
contract of which it forms part. A decision that the contract is null and void shall not entail ipso
jure the invalidity of the arbitration clause.
Rule 2.4. Policy implementing competence-competence principle. - The arbitral tribunal shall be
accorded the first opportunity or competence to rule on the issue of whether or not it has the
competence or jurisdiction to decide a dispute submitted to it for decision, including any objection
with respect to the existence or validity of the arbitration agreement. When a court is asked to rule
upon issue/s affecting the competence or jurisdiction of an arbitral tribunal in a dispute brought
before it, either before or after the arbitral tribunal is constituted, the court must exercise judicial
restraint and defer to the competence or jurisdiction of the arbitral tribunal by allowing the arbitral
tribunal the first opportunity to rule upon such issues.
Where the court is asked to make a determination of whether the arbitration agreement is null and
void, inoperative or incapable of being performed, under this policy of judicial restraint, the court
must make no more than a prima facie determination of that issue.
Unless the court, pursuant to such prima facie determination, concludes that the arbitration
agreement is null and void, inoperative or incapable of being performed, the court must suspend
the action before it and refer the parties to arbitration pursuant to the arbitration agreement.
Rule 3.8. Court action. - In resolving the petition, the court must exercise judicial restraint in
accordance with the policy set forth in Rule 2.4, deferring to the competence or jurisdiction of the
arbitral tribunal to rule on its competence or jurisdiction.
Rule 4.8. Arbitration to proceed.- Despite the pendency of the action referred to in Rule 4.1,
above, arbitral proceedings may nevertheless be commenced or continued, and an award may be
made, while the action is pending before the court.
E. PLACE/SEAT OF ARBITRATION
 PIArb Handbook, Chapter 3, 3.3
The place of arbitration is not the same as the venue of arbitration. When a particular country is
designated as the place of arbitration, it means that the arbitration laws of that country shall
govern the arbitration proceedings, and the courts thereof shall have supervisory powers over the
arbitration.
The place of arbitration is also referred to as the juridical place or the seat of the arbitration. If the
arbitration agreement, however, indicates both a “seat” and a “place” of arbitration, the designated
place would likely be construed as the venue of hearings.
Venue refers to the actual location where hearings are held. Hearings may be conducted outside
the place/seat of arbitration without affecting the status of such place/seat. Unless the parties agree
otherwise, the arbitral tribunal is generally free to determine the venue of hearings.
It is always advisable for parties to a contract to indicate the place of arbitration in their arbitration
clause. If the parties failed to agree, the place of arbitration shall be determined by the arbitral
tribunal. As noted earlier, the place of arbitration may also be determinative of the law of the
arbitration agreement (if not expressly agreed to by the parties). But there is a real risk that the
arbitration clause would be considered a pathological clause, thus unenforceable, making it
difficult to constitute the tribunal.

23
 A well-drafted arbitration clause usually includes a statement that “the place of arbitration shall be
in” a particular place or country. However, a provision in an arbitration clause which states that
disputes shall be resolved “by arbitration in” a particular place or country is usually considered an
indication of the place of arbitration.
 1985 Model Law
Article 1. Scope of Application
(6) The provisions of this Law, except articles 8, 9, 35 and 36, apply only if the place of
arbitration is in the territory of this State.
(7) An arbitration is international if:
(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 State in which the parties have their
places of business:
(i) the place of arbitration if determined in, or pursuant to, the arbitration agreement;
(ii) any place where a substantial part of the obligations of the commercial relationship is
to be performed or the place with which 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.
Article 20. Place of arbitration
(1) The parties are free to agree on the place of arbitration. Failing such agreement, the place of
arbitration shall be determined by the arbitral tribunal having regard to the circumstances of
the case, including the convenience of the parties.
(2) Notwithstanding the provisions of paragraph (1) of this article, 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.
 IRR of RA 9285
Article 4.20. 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 the arbitral 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 5.19. 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 the arbitral tribunal, having regard to the
circumstances of the case, including the convenience of the parties, shall decide on a different
place of arbitration.
(b) 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.
 RA 9285

24
SEC. 30. Place of Arbitration. - The parties are free to agree on the place of arbitration. Failing
such agreement, the place of arbitration shall be in Metro Manila, unless the arbitral 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.
Note
Matters relative to the above provision:
- Juridical seat of the arbitration/legal place of arbitration
- Supervisory and assistive roles of the courts
- Physical hearings may be held elsewhere
 Court of Primary Jurisdiction
a) Validity of Arbitration Agreement
 1985 Model Law
Article 16. Competence of arbitral tribunal to rule on its jurisdiction
(3) The arbitral tribunal may rule on a plea referred to in paragraph (2) of this article
(i.e., a plea denying the tribunal’s jurisdiction ) 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 days after having received
notice of that ruling, the court specified in article 6 to decide the matter, which
decision shall be subject to no appeal; while such a request is pending, the arbitral
tribunal may continue the arbitral proceedings and make an award.
b) Appointment of Arbitrators
 1985 Model Law
Article 11. Appointment of arbitrators
(3) Failing such agreement,
(a) in an arbitration with three arbitrators, each party shall appoint one arbitrator,
and the two arbitrators thus appointed shall appoint the third arbitrator; if a
party fails to appoint the arbitrator within thirty 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 days of their appointment, the appointment shall be
made, upon request of a party, by the court or other authority specified in
article 6;
(b) in an arbitration with a sole arbitrator, if the parties are unable to agree on the
arbitrator, he shall be appointed, upon request of a party, by the court or other
authority specified in article 6.
(4) Where, under an appointment procedure agreed upon by the parties,
(a) a party fails to act as required under such procedure, or
(b) the parties, or two arbitrators, are unable to reach an agreement expected of
them under such procedure, or
(c) a third party, including an institution, fails to perform any function entrusted to
it under such procedure, any party may request the court or other authority
specified in article 6 to take the necessary measure, unless the agreement on
the appointment procedure provides other means for securing the appointment.
c) Interim Measures of Protection
 1985 Model law
Article 9. Arbitration agreement and interim measures by court
25
 It is not incompatible with an arbitration agreement for a party to request, before or
during arbitral proceedings, from a court an interim measure of protection and for a
court to grant such measure.
d) Assistance in Taking Evidence
 1985 Model Law
Article 27. Court assistance in taking evidence
The arbitral tribunal or a party with the approval of the arbitral tribunal may request
from a competent court of this State assistance in taking evidence. The court may
execute the request within its competence and according to its rules on taking evidence.
e) Challenge of Arbitrators
 1985 Model Law
Article 13. Challenge procedure
(3) If a challenge under any procedure agreed upon by the parties or under the
procedure of paragraph (2) of this article is not successful, the challenging party
may request, within thirty days after having received notice of the decision
rejecting the challenge, the court or other authority specified in article 6 to decide
on the challenge, which decision shall be subject to no appeal; while such a request
is pending, the arbitral tribunal, including the challenged arbitrator, may continue
the arbitral proceedings and make an award.
f) Termination of Mandate of Arbitrator/s
 1985 Model Law
Article 14. Failure or impossibility to act
(1) If an arbitrator becomes de jure or de facto unable to perform his functions or for
other reasons fails to act without undue delay, his mandate terminates if he
withdraws from his office or if the parties agree on the termination. Otherwise, if a
controversy remains concerning any of these grounds, any party may request the
court or other authority specified in article 6 to decide on the termination of the
mandate, which decision shall be subject to no appeal.
(2) If, under this article or article 13(2), an arbitrator withdraws from his 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 or article 12(2).
g) Setting Aside of Awards
 1985 Model Law
Article 34. Application for setting aside as exclusive recourse against arbitral award
(1) Recourse to a court against an arbitral award may be made only by an application
for setting aside in accordance with paragraphs (2) and (3) of this article.
(2) An arbitral award may be set aside by the court specified in article 6 only if:
(a) the party making the application furnishes proof that:
(i) a party to the arbitration agreement referred to in article 7 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 this State; or
(ii) the party making the application was not given proper notice of the
appointment of an arbitrator or of the arbitral proceedings or was
otherwise unable to present his case; or
(iii) the award deals with a 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, provided that, if the
decisions on matters submitted to arbitration can be separated from those
26
 not so submitted, only that part of the award which contains decisions on
matters not submitted to arbitration may be set aside; or
(iv) 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 this Law from which the parties cannot
derogate, or, failing such agreement, was not in accordance with this Law;
or
(b) the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration
under the law of this State; or
(ii) the award is in conflict with the public policy of this State.
(3) 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 33, from the date on which that request
had been disposed of by the arbitral tribunal.
(4) 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.
h) Enforcement of Awards
 1985 Model Law
Article 35. Recognition and enforcement
(1) An arbitral award, irrespective of the country in which it was made, shall be
recognized as binding and, upon application in writing to the competent court, shall be
enforced subject to the provisions of this article and of article 36.
(2) The party relying on an award or applying for its enforcement shall supply the duly
authenticated original award or a duly certified copy thereof, and the original
arbitration agreement referred to in article 7 or a duly certified copy thereof. If the
award or agreement is not made in an official language of this State, the party shall
supply a duly certified translation thereof into such language.
Article 36. Grounds for refusing recognition or enforcement
(1) Recognition or enforcement of an arbitral award, irrespective of the country in
which it was made, may be refused only:
(a) at the request of the party against whom it is invoked, if that party furnishes to
the competent court where recognition or enforcement is sought proof that:
(i) a party to the arbitration agreement referred to in article 7 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 country where the award was made; or
(ii) 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 unable to present his case; or
(iii) the award deals with a dispute not contemplated by or not falling within
the terms of the submission to arbitration, or it 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, that part of the award which contains decisions on
matters submitted to arbitration may be recognized and enforced; or

27
 (iv) 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
took place; or
(v) the award has not yet 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; or
(b) if the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration
under the law of this State; or
(ii) the recognition or enforcement of the award would be contrary to the
public policy of this State.
(2) If an application for setting aside or suspension of an award has been made to a
court referred to in paragraph (1) (a)(v) of this article, the court where recognition
or enforcement is sought may, if it considers it proper, adjourn its decision and
may also, on the application of the party claiming recognition or enforcement of
the award, order the other party to provide appropriate security.

 Court of Secondary Jurisdiction

i) Recognition and Enforcement of Arbitral Awards

F. SCHEME OF LEAST COURT INTERVENTION/MINIMUM COURT INTERVENTION

 1985 Model Law
Article 5. Extent of court intervention
In matters governed by this Law, no court shall intervene except where so provided in this Law.
 IRR of RA 9285
Article 4.5. 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 5.4. Extent of Court Intervention.
In matters governed by this Chapter, no court shall intervene except in accordance with the
Special ADR Rules.
 Special ADR Rules
Rule 3.18. Court action. -
(B) No injunction of arbitration proceedings. - The court shall not enjoin the arbitration
proceedings during the pendency of the petition.
Judicial recourse to the court shall not prevent the arbitral tribunal from continuing the
proceedings and rendering its award.
G. PRIVACY AND CONFIDENTIALITY
 PIArb Handbook, Chapter 18
Arbitration proceedings, including the records, evidence, and the arbitral award are confidential.
However, the confidential nature of such proceedings is waived when:
(a) there is consent of the parties; or
(b) it is for the limited purpose of disclosing to the court relevant documents in cases where resort
to the court is allowed.
28
 By its nature, arbitration is a private proceeding, in which the parties are able to conduct their
dispute without being publicly exposed. The privacy and the confidentiality of arbitration are two
of its major advantages. The fact that arbitration proceedings are generally private and do not
result in published opinions which will be considered by courts in later cases, does not presuppose
or guarantee that any information revealed in arbitration is automatically confidential.
As regards the rule on privileged communications, it is generally established that international
arbitral tribunals have the discretion to rule that evidence is inadmissible on the ground of
privilege. This discretion flows from the tribunal’s power to make determinations on the
admissibility, weight, relevance, and materiality of evidence. The exceptions to privilege are the
same with those of the confidentiality of the arbitration proceedings, hence, it can be waived.
 R.A. 9285
SEC. 23. Confidentiality of Arbitration Proceedings. - The arbitration proceedings, including the
records, evidence and the arbitral award, shall be considered confidential and shall not be
published except (1) with the consent of the parties, or (2) for the limited purpose of disclosing to
the court of 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.
 IRR of RA 9285
Article 1.6. Definition of Terms.
A.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 or reconvening mediation or
retaining a mediator; and
(c) pleadings, motions, manifestations, witness statements, reports filed or submitted in arbitration
or for expert evaluation.
Article 4.41. Confidentiality of Arbitration Proceedings.
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 5.42. Confidentiality of Arbitration Proceedings.
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

29
 (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.
 Special ADR Rules
Rule 10. Confidentiality/Protective Orders
Rule 10.4. Grounds. - A protective order may be granted only if it is shown that the applicant
would be materially prejudiced by an unauthorized disclosure of the information obtained, or to be
obtained, during an ADR proceeding.
Rule 10.8. Court action. - If the court finds the petition or motion meritorious, it shall issue an
order enjoining a person or persons from divulging confidential information.
In resolving the petition or motion, the courts shall be guided by the following principles
applicable to all ADR proceedings: Confidential information shall not be subject to discovery and
shall be inadmissible in any adversarial proceeding, whether judicial or quasi-judicial. 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 therein.
For mediation proceedings, the court shall be further guided by the following principles:
a. Information obtained through mediation shall be privileged and confidential.
b. A party, a mediator, or a nonparty participant may refuse to disclose and may prevent any
other person from disclosing a mediation communication.
c. In such an adversarial proceeding, the following persons involved or previously involved in a
mediation may not be compelled to disclose confidential information obtained during the
mediation:
(1) the parties to the dispute;
(2) the mediator or mediators;
(3) the counsel for the parties:
(4) the nonparty participants;
(5) any persons hired or engaged in connection with the mediation as secretary, stenographer;
clerk or assistant; and
(6) any other person who obtains or possesses confidential information by reason of his/ her
profession.
d. The protection of the ADR Laws shall continue to apply even if a mediator is found to have
failed to act impartially.
e. A mediator may not be called to testify to provide information gathered in mediation. A
mediator who is wrongfully subpoenaed shall be reimbursed the full cost of his attorney fees
and related expenses.
H. THE ARBITRAL TRIBUNAL
 Autea Handbook (Chapter 5)

H.1) Composition of the tribunal

Autea Handbook (Chapter 4)
PIArb Handbook (Chapters 7-8)
1985 Model Law (Chapter III – Composition of Arbitral Tribunal)
30
Article 10. Number of Arbitrators
1. The parties are free to determine the number of arbitrators.
2. Failing such determination, the number of arbitrators shall be three.
Article 11. Appointment of arbitrators
1. No person shall be precluded by reason of his nationality from acting as an arbitrator, unless
otherwise agreed by the parties.
2. The parties are free to agree on a procedure of appointing the arbitrator or arbitrators,
subject to the provisions of paragraphs (4) and (5) of this article.
3. Failing such agreement,
(a) in an arbitration with three arbitrators, each party shall appoint one arbitrator, and the
two arbitrators thus appointed shall appoint the third arbitrator; if a party fails to appoint
the arbitrator within thirty 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 days of their
appointment, the appointment shall be made, upon request of a party, by the court or
other authority specified in article 6;
(b) in an arbitration with a sole arbitrator, if the parties are unable to agree on the arbitrator,
he shall be appointed, upon request of a party, by the court or other authority specified
in article 6.
4. Where, under an appointment procedure agreed upon by the parties,
(a) a party fails to act as required under such procedure, or
(b) the parties, or two arbitrators, are unable to reach an agreement expected of them under
such procedure, or
(c) a third party, including an institution, fails to perform any function entrusted to it under
such procedure,
any party may request the court or other authority specified in article 6 to take the necessary
measure, unless the agreement on the appointment procedure provides other means for
securing the appointment.
5. A decision on a matter entrusted by paragraph (3) and (4) of this article to the court or other
authority specified in article 6 shall be subject to no appeal. The court or other authority, in
appointing an arbitrator, shall have 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 those of the parties.
Article 12. Grounds for challenge
1. When a person is approached in connection with his possible appointment as an arbitrator,
he shall disclose any circumstances likely to give rise to justifiable doubts as to his
impartiality or independence. An arbitrator, from the time of his 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.
2. An arbitrator may be challenged only if circumstances exist that give rise to justifiable
doubts as to his impartiality or independence, or if he does not possess qualifications agreed
to by the parties. A party may challenge an arbitrator appointed by him, or in whose
appointment he has participated, only for reasons of which he becomes aware after the
appointment has been made.
Article 13. Challenge procedure
1. The parties are free to agree on a procedure for challenging an arbitrator, subject to the
provisions of paragraph (3) of this article.

31
2. Failing such agreement, a party which intends to challenge an arbitrator shall, within fifteen
days after becoming aware of the constitution of the arbitral tribunal or after becoming
aware of any circumstance referred to in article 12(2), send a written statement of the
reasons for the challenge to the arbitral tribunal. Unless the challenged arbitrator withdraws
from his office or the other party agrees to the challenge, the arbitral tribunal shall decide on
the challenge.
3. If a challenge under any procedure agreed upon by the parties or under the
procedure of paragraph (2) of this article is not successful, the challenging party
may request, within thirty days after having received notice of the decision rejecting
the challenge, the court or other authority specified in article 6 to decide on the
challenge, which decision shall be subject to no appeal; while such a request is
pending, the arbitral tribunal, including the challenged arbitrator, may continue the
arbitral proceedings and make an award.
Article 14. Failure or impossibility to act
1. If an arbitrator becomes de jure or de facto unable to perform his functions or for other
reasons fails to act without undue delay, his mandate terminates if he withdraws from his
office or if the parties agree on the termination. Otherwise, if a controversy remains
concerning any of these grounds, any party may request the court or other authority
specified in article 6 to decide on the termination of the mandate, which decision shall be
subject to no appeal.
2. If, under this article or article 13 (2), an arbitrator withdraws from his 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 or article 12 (2).
Article 15. Appointment of substitute arbitrator
Where the mandate of an arbitrator terminates under article 13 or 14 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 mandate, a substitute
arbitrator shall be appointed according to the rules that were applicable to the appointment of the
arbitrator being replaced.
IRR of RA 9285
Article 4.10. Number of Arbitrators. The parties are free to determine the number of arbitrators.
Failing such determination, the number of arbitrators shall be three (3).
Article 4.11. Appointment of Arbitrators.
(a) No person shall be precluded 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 this Article.
(c) Failing such agreement:
(i) 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;
(ii) 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,

32
 (i) a party fails to act as required under such procedure, or
(ii) the parties, or two arbitrators, are unable to reach an agreement expected of them under
such procedure, or
(iii) 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.
(e) 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.

H.2) Independence and Impartiality of Arbitrators

PIArb Handbook (Chapter 17)
1985 Model Law
Article 11. Appointment of arbitrators
1. No person shall be precluded by reason of his nationality from acting as an arbitrator, unless
otherwise agreed by the parties.
2. The parties are free to agree on a procedure of appointing the arbitrator or arbitrators,
subject to the provisions of paragraphs (4) and (5) of this article.
3. Failing such agreement,
(a) in an arbitration with three arbitrators, each party shall appoint one arbitrator, and the
two arbitrators thus appointed shall appoint the third arbitrator; if a party fails to appoint
the arbitrator within thirty 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 days of their
appointment, the appointment shall be made, upon request of a party, by the court or
other authority specified in article 6;
(b) in an arbitration with a sole arbitrator, if the parties are unable to agree on the arbitrator,
he shall be appointed, upon request of a party, by the court or other authority specified
in article 6.
4. Where, under an appointment procedure agreed upon by the parties,
(a) a party fails to act as required under such procedure, or
(b) the parties, or two arbitrators, are unable to reach an agreement expected of them under
such procedure, or
(c) a third party, including an institution, fails to perform any function entrusted to it under
such procedure,
any party may request the court or other authority specified in article 6 to take the necessary
measure, unless the agreement on the appointment procedure provides other means for
securing the appointment.
5. A decision on a matter entrusted by paragraph (3) and (4) of this article to the court or other
authority specified in article 6 shall be subject to no appeal. The court or other authority, in
appointing an arbitrator, shall have 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

33
 arbitrator, shall take into account as well the advisability of appointing an arbitrator of a
nationality other than those of the parties.
Article 10(2). Number of arbitrators
2. Failing such determination, the number of arbitrators shall be three.

- Sole arbitrator
- Panel of arbitrators

H.3) Qualifications
1985 Model Law
Article 11(1, 5). Appointment of arbitrators
1. No person shall be precluded by reason of his nationality from acting as an arbitrator, unless
otherwise agreed by the parties.
5. A decision on a matter entrusted by paragraph (3) and (4) of this article to the court or other
authority specified in article 6 shall be subject to no appeal. The court or other authority, in
appointing an arbitrator, shall have 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 those of the parties.
RA 9285
SEC. 3(b, e). Definition of Terms. -
(b) "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 non-
accredited individuals to act as mediator, conciliator, arbitrator, or neutral evaluator of their
dispute.
(e) "Arbitrator" means the person appointed to render an award, alone or with others, in a
dispute that is the subject of an arbitration agreement;
RA 876
SEC. 10. Qualifications of arbitrators. - Any person appointed to serve as an arbitrator must be
of legal age, in full-enjoyment of his civil rights and know 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
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 champion or to advocate his cause.
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.
IRR of RA 9285
Article 1.6. Definition of Terms
34
 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.
Article 5.10. Appointment of Arbitrators
(a) Any person appointed to serve as an arbitrator must be of legal age, in full enjoyment of
his/her civil rights and know 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.

H.4) Not Champions of Appointing Parties

RA 876 & IRR of RA 9285
SEC. 10. Qualifications of arbitrators, and Article 5.10. Appointment of Arbitrators,
respectively, (2nd par. each of both provisions)
No party shall select as an arbitrator any person to act as his champion or to advocate his/her
cause.

H.5) Duties of Arbitrators

1985 Model Law
Article 18. Equal treatment of parties
The parties shall be treated with equality and each party shall be given a full opportunity of
presenting his case.
(Note: This provision is a due process requirement where there can be no derogation is
allowed. In other words, it cannot be violated nor can be subject of agreement by the parties)
Article 11. Appointment of arbitrators
(5) A decision on a matter entrusted by paragraph (3) and (4) of this article to the court or other
authority specified in article 6 shall be subject to no appeal. The court or other authority, in
appointing an arbitrator, shall have 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 those of the parties.
Article 12. Grounds for challenge
(1) When a person is approached in connection with his possible appointment as an arbitrator,
he shall disclose any circumstances likely to give rise to justifiable doubts as to his
impartiality or independence. An arbitrator, from the time of his 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.
(2) An arbitrator may be challenged only if circumstances exist that give rise to justifiable
doubts as to his impartiality or independence, or if he does not possess qualifications agreed
to by the parties. A party may challenge an arbitrator appointed by him, or in whose
appointment he has participated, only for reasons of which he becomes aware after the
appointment has been made.

35
H.6) Majority Decision
1985 Model Law
Article 29. 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 the 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.
IRR of RA 9285
Article 4.29. 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 5.29. Decision Making by the Arbitral Tribunal.
(a) The arbitration proceedings with more than one arbitrator, any decision of the arbitral
tribunal shall be made, unless otherwise agreed by the 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.

H.7) Power of Arbitrators to Decide Admissibility, Relevance, Materiality and Weight of

any Evidence
1985 Model Law
Article 19. Determination of rules of procedure
1. Subject to the provisions of this Law, the parties are free to agree on the procedure to be
followed by the arbitral tribunal in conducting the proceedings.
2. Failing such agreement, the arbitral tribunal may, subject to the provisions of this Law,
conduct the arbitration in such manner as it considers appropriate. The power conferred
upon the arbitral tribunal includes the power to determine the admissibility, relevance,
materiality and weight of any evidence.

H.8) Challenge of Arbitrators

1985 Model Law
Article 12. Grounds for challenge
1. When a person is approached in connection with his possible appointment as an arbitrator,
he shall disclose any circumstances likely to give rise to justifiable doubts as to his
impartiality or independence. An arbitrator, from the time of his 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.
2. An arbitrator may be challenged only if circumstances exist that give rise to justifiable
doubts as to his impartiality or independence, or if he does not possess qualifications agreed
to by the parties. A party may challenge an arbitrator appointed by him, or in whose
appointment he has participated, only for reasons of which he becomes aware after the
appointment has been made.

36
Article 13. Challenge procedure
1. The parties are free to agree on a procedure for challenging an arbitrator, subject to the
provisions of paragraph (3) of this article.
2. Failing such agreement, a party which intends to challenge an arbitrator shall, within fifteen
days after becoming aware of the constitution of the arbitral tribunal or after becoming
aware of any circumstance referred to in article 12(2), send a written statement of the
reasons for the challenge to the arbitral tribunal. Unless the challenged arbitrator withdraws
from his office or the other party agrees to the challenge, the arbitral tribunal shall decide on
the challenge.
3. If a challenge under any procedure agreed upon by the parties or under the procedure of
paragraph (2) of this article is not successful, the challenging party may request, within
thirty days after having received notice of the decision rejecting the challenge, the court or
other authority specified in article 6 to decide on the challenge, which decision shall be
subject to no appeal; while such a request is pending, the arbitral tribunal, including the
challenged arbitrator, may continue the arbitral proceedings and make an award.
Article 14. Failure or impossibility to act
1. If an arbitrator becomes de jure or de facto unable to perform his functions or for other
reasons fails to act without undue delay, his mandate terminates if he withdraws from his
office or if the parties agree on the termination. Otherwise, if a controversy remains
concerning any of these grounds, any party may request the court or other authority
specified in article 6 to decide on the termination of the mandate, which decision shall be
subject to no appeal.
2. If, under this article or article 13 (2), an arbitrator withdraws from his 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 or article 12 (2).
Article 16. Competence of arbitral tribunal to rule on its jurisdiction
(2) A plea that the arbitral tribunal does not have jurisdiction shall be raised not later than the
submission of the statement of defense. A party is not precluded from raising such a plea by
the fact that he 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.
RA 876
SEC. 11. Challenge of 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.
IRR of RA 9285
Article 4.12. Grounds for Challenge.
(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

37
 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.
(b) 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 4.13. Challenge Procedure.
(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 4.14. 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/her mandate 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.
(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 4.15. Appointment of Substitute Arbitrator. 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 5.11. Grounds for Challenge.
(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.
38
 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:
(i) circumstances exist that give rise to justifiable doubts as to his/her impartiality or
independence;
(ii) he/she does not possess qualifications as provided for in this Chapter or those agreed to
by the parties;
(iii) he/she is disqualified to act as arbitration under these Rules;
(iv) 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:
(i) to waive the presumptive disqualifying circumstances; or
(ii) 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 5.12. Challenge Procedure.
(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

39
 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:
(i) he/she withdraws as arbitrator, or
(ii) the parties agree in writing to declare the office of arbitrator vacant, or
(iii) the arbitral tribunal decides the challenge and declares the office of the challenged
arbitrator vacant, or
(iv) the appointing authority decides the challenge and declares the office of the challenged
arbitrator vacant, or
(v) 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 not subject 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.

40
 (Note: Where to file a Challenge: (a) if the arbitration is institutional, it is filed with the arbitral
tribunal; (b) if it is an ad hoc, the challenge is filed with the court)

H.9) Arbitrator Serving as Mediator (Vice-Versa)

RA 876
SEC. 20. Form and contents of 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 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.
Special ADR Rules
Rule 2.6. Policy on Arbitration-Mediation or Mediation-Arbitration. - 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 that arbitrator. Conversely, no
mediator shall act as arbitrator in any proceeding in which he acted as mediator.
RA 9285
SEC. 17. Enforcement of Mediated Settlement Agreements.
(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 RA 876, otherwise known as the Arbitration Law,
notwithstanding the provisions of Executive Order No. 1008 for mediated disputes outside
of the CIAC.
SEC. 36. Authority to Act as Mediator or Arbitrator. - By written agreement of the parties to a
dispute, an arbitrator may act as mediator and a mediator may act as arbitrator. The parties may
also agree in writing that, following a successful mediation, a mediator shall issue the settlement
agreement in the form of an arbitral award.
IRR of RA 9285
Article 5.23. Hearing and Written Proceedings.
(r) Except as provided in Section 17 (d) of the ADR Act (RA 9285), no arbitrator shall act as a
mediator in any proceeding in which he/she is acting as arbitrator even if requested by the
parties; and in all negotiations.
Article 7.8. 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 3 on Mediation shall first apply and
thereafter, Chapter 5 on Domestic Arbitration.

41
 (b) No person shall, having been engaged and 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 this Rule 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, execute the
appropriate oath or affirmation of office as arbitrator in accordance with these Rules.

H.10) Liability of Arbitrators

RA 9285
SEC. 5. Liability of ADR Provider and Practitioner. - The ADR providers and practitioners
shall have the same civil liability for the acts done in the performance of their duties as that of
public officers as provided in Section 38 (1), Chapter 9, Book of the Administrative Code of
1987.
Book of Administrative Code of 1987 (Chapter 9)
Section 38. Definition of Administrative Relationship. - Unless otherwise expressly stated in
the Code or in other laws defining the special relationships of particular agencies, administrative
relationships shall be categorized and defined as follows:
(1) Supervision and Control. - Supervision and control shall include authority to act directly
whenever a specific function is entrusted by law or regulation to a subordinate; direct the
performance of duty; restrain the commission of acts; review, approve, reverse or modify
acts and decisions of subordinate officials or units; determine priorities in the execution of
plans and programs; and prescribe standards, guidelines, plans and programs. Unless a
different meaning is explicitly provided in the specific law governing the relationship of
particular agencies, the word "control" shall encompass supervision and control as defined
in this paragraph.
(2) Administrative Supervision. –
(a) Administrative supervision which shall govern the administrative relationship between a
department or its equivalent and regulatory agencies or other agencies as may be
provided by law, shall be limited to the authority of the department or its equivalent to
generally oversee the operations of such agencies and to insure that they are managed
effectively, efficiently and economically but without interference with day-to-day
activities; or require the submission of reports and cause the conduct of management
audit, performance evaluation and inspection to determine compliance with policies,
standards and guidelines of the department; to take such action as may be necessary for
the proper performance of official functions, including rectification of violations, abuses
and other forms of maladministration; and to review and pass upon budget proposals of
such agencies but may not increase or add to them;
(b) Such authority shall not, however, extend to:
1. appointments and other personnel actions in accordance with the decentralization of
personnel functions under the Code, except appeal is made from an action of the
appointing authority, in which case the appeal shall be initially sent to the
department or its equivalent, subject to appeal in accordance with law;
2. contracts entered into by the agency in the pursuit of its objectives, the review of
which and other procedures related thereto shall be governed by appropriate laws,
rules and regulations; and
3. the power to review, reverse, revise, or modify the decisions of regulatory agencies
in the exercise of their regulatory or quasi-judicial functions; and

42
 (c) Unless a different meaning is explicitly provided in the specific law governing the
relationship of particular agencies, the word "supervision" shall encompass
administrative supervision as defined in this paragraph.
(3) Attachment. –
(a) This refers to the lateral relationship between the department or its equivalent and the
attached agency or corporation for purposes of policy and program coordination. The
coordination may be accomplished by having the department represented in the
governing board of the attached agency or corporation, either as chairman or as a
member, with or without voting rights, if this is permitted by the charter; having the
attached corporation or agency comply with a system of periodic reporting which shall
reflect the progress of programs and projects; and having the department or its
equivalent provide general policies through its representative in the board, which shall
serve as the framework for the internal policies of the attached corporation or agency;
(b) Matters of day-to-day administration or all those pertaining to internal operations shall
be left to the discretion or judgment of the executive officer of the agency or
corporation. In the event that the Secretary and the head of the board or the attached
agency or corporation strongly disagree on the interpretation and application of policies,
and the Secretary is unable to resolve the disagreement, he shall bring the matter to the
President for resolution and direction;
(c) Government-owned or controlled corporations attached to a department shall submit to
the Secretary concerned their audited financial statements within sixty (60) days after
the close of the fiscal year; and
(d) Pending submission of the required financial statements, the corporation shall continue
to operate on the basis of the preceding year's budget until the financial statements shall
have been submitted. Should any government-owned or controlled corporation incur an
operation deficit at the close of its fiscal year, it shall be subject to administrative
supervision of the department; and the corporation's operating and capital budget shall
be subject to the department's examination, review, modification and approval.
IRR of RA 9285
Article 1.5. Liability of ADR Providers/Practitioners. The ADR providers/practitioners shall
have the same civil liability for acts done in the performance of their official duties as that of
public 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.

H.11) Appointment of Substitute Arbitrators

1985 Model Law
Article 15. Appointment of substitute arbitrator
Where the mandate of an arbitrator terminates under article 13 or 14 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 mandate, a substitute
arbitrator shall be appointed according to the rules that were applicable to the appointment of the
arbitrator being replaced.
IRR of RA 9285
Article 4.15. Appointment of Substitute Arbitrator. 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.

43
 Article 5.14. Appointment of Substitute Arbitrator. Where the mandate of an arbitrator
terminates under Articles 5.12 (Challenge Procedure) or 5.13 (Failure or Impossibility to Act) 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.
I. APPOINTING AUTHORITY
a.) Role of Appointing Authority
RA 9285
SEC. 26. Meaning of "Appointing Authority." - "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
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 duly authorized representative.
(Note: As general rule, the appointing authority, either a person or institution, is named in the
arbitration agreement. If it is institutional, the appointing authority is the arbitration institution. If
ad hoc, the person named in the arbitration agreement. In the absence thereof, the appointing
authority is the IBP President. If such appointing authority (a person or institution) refuses or is
unable to do or perform the role, the court shall be the appointing authority.)
SEC. 27. What Functions May be Performed by Appointing Authority. - The functions referred
to in Articles 11(3), 11(4), 13(3) and 14(1) of the Model Law 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.
IRR of RA 9285
Article 1.6. Definition of Terms.
C. 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.
D. Terms Applicable to the Chapter on Domestic Arbitration
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.
Special ADR Rules
Rule 1.1. Subject matter and governing rules.-The Special Rules of Court on Alternative Dispute
Resolution (the "Special ADR Rules") shall apply to and govern the following cases:
a. Relief on the issue of Existence, Validity, or Enforceability of the Arbitration Agreement;
b. Referral to Alternative Dispute Resolution ("ADR");
44
 c. Interim Measures of Protection;
d. Appointment of Arbitrator;
e. Challenge to Appointment of Arbitrator;
f. Termination of Mandate of Arbitrator;
g. Assistance in Taking Evidence;
h. Confirmation, Correction or Vacation of Award in Domestic Arbitration;
i. Recognition and Enforcement or Setting Aside of an Award in International Commercial
Arbitration;
j. Recognition and Enforcement of a Foreign Arbitral Award;
k. Confidentiality/Protective Orders; and
l. Deposit and Enforcement of Mediated Settlement Agreements.
Rule 6.1. When the court may act as Appointing Authority. - The court shall act as Appointing
Authority only in the following instances:
a. Where any of the parties in an institutional arbitration failed or refused to appoint an
arbitrator or when the parties have failed to reach an agreement on the sole arbitrator (in
an arbitration before a sole arbitrator) or when the two designated arbitrators have failed
to reach an agreement on the third or presiding arbitrator (in an arbitration before a panel
of three arbitrators), and the institution under whose rules arbitration is to be conducted
fails or is unable to perform its duty as appointing authority within a reasonable time from
receipt of the request for appointment;

b. In all instances where arbitration is ad hoc and the parties failed to provide a method for
appointing or replacing an arbitrator, or substitute arbitrator, or the method agreed upon is
ineffective, and the National President of the Integrated Bar of the Philippines (IBP) or his
duly authorized representative fails or refuses to act within such period as may be allowed
under the pertinent rules of the IBP or within such period as may be agreed upon by the
parties, or in the absence thereof, within thirty (30) days from receipt of such request for
appointment;

c. Where the parties agreed that their dispute shall be resolved by three arbitrators but no
method of appointing those arbitrators has been agreed upon, each party shall appoint one
arbitrator and the two arbitrators thus appointed shall appoint a third arbitrator. If a party
fails to appoint his 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 a
reasonable time from their appointment, the appointment shall be made by the Appointing
Authority. If the latter fails or refuses to act or appoint an arbitrator within a reasonable
time from receipt of the request to do so, any party or the appointed arbitrator/s may
request the court to appoint an arbitrator or the third arbitrator as the case may be.
Rule 6.2. Who may request for appointment. - Any party to an arbitration may request the court
to act as an Appointing Authority in the instances specified in Rule 6.1 above.
1985 Model Law
Article 11. Appointment of arbitrators
(3) Failing such agreement,
a) in an arbitration with three arbitrators, each party shall appoint one arbitrator, and the two
arbitrators thus appointed shall appoint the third arbitrator; if a party fails to appoint the
arbitrator within thirty 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 days of their appointment,
the appointment shall be made, upon request of a party, by the court or other authority
specified in article 6;
45
 b) in an arbitration with a sole arbitrator, if the parties are unable to agree on the arbitrator,
he shall be appointed, upon request of a party, by the court or other authority specified in
article 6.
(4) Where, under an appointment procedure agreed upon by the parties,
a) a party fails to act as required under such procedure, or
b) the parties, or two arbitrators, are unable to reach an agreement expected of them under
such procedure, or
c) a third party, including an institution, fails to perform any function entrusted to it under
such procedure,
any party may request the court or other authority specified in article 6 to take the necessary
measure, unless the agreement on the appointment procedure provides other means for
securing the appointment.
Article 13. Challenge procedure
(3) If a challenge under any procedure agreed upon by the parties or under the procedure of
paragraph (2) of this article is not successful, the challenging party may request, within thirty
days after having received notice of the decision rejecting the challenge, the court or other
authority specified in article 6 to decide on the challenge, which decision shall be subject to no
appeal; while such a request is pending, the arbitral tribunal, including the challenged
arbitrator, may continue the arbitral proceedings and make an award.
Article 14. Failure or impossibility to act
(1) If an arbitrator becomes de jure or de facto unable to perform his functions or for other
reasons fails to act without undue delay, his mandate terminates if he withdraws from his
office or if the parties agree on the termination. Otherwise, if a controversy remains
concerning any of these grounds, any party may request the court or other authority specified
in article 6 to decide on the termination of the mandate, which decision shall be subject to no
appeal.

b.) Default Appointment of Arbitrator

- Ad Hoc Arbitration
- Institutional Arbitration
- Court
RA 9285
SEC. 27. What Functions May be Performed by Appointing Authority. - The functions referred
to in Articles 11(3), 11(4), 13(3) and 14(1) of the Model Law 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.
Special ADR Rules
Rule 6.1. When the court may act as Appointing Authority. - The court shall act as Appointing
Authority only in the following instances:
a. Where any of the parties in an institutional arbitration failed or refused to appoint an arbitrator
or when the parties have failed to reach an agreement on the sole arbitrator (in an arbitration
before a sole arbitrator) or when the two designated arbitrators have failed to reach an
agreement on the third or presiding arbitrator (in an arbitration before a panel of three
arbitrators), and the institution under whose rules arbitration is to be conducted fails or is
unable to perform its duty as appointing authority within a reasonable time from receipt of the
request for appointment;
b. In all instances where arbitration is ad hoc and the parties failed to provide a method for
appointing or replacing an arbitrator, or substitute arbitrator, or the method agreed upon is

46
 ineffective, and the National President of the Integrated Bar of the Philippines (IBP) or his
duly authorized representative fails or refuses to act within such period as may be allowed
under the pertinent rules of the IBP or within such period as may be agreed upon by the
parties, or in the absence thereof, within thirty (30) days from receipt of such request for
appointment;
c. Where the parties agreed that their dispute shall be resolved by three arbitrators but no method
of appointing those arbitrators has been agreed upon, each party shall appoint one arbitrator
and the two arbitrators thus appointed shall appoint a third arbitrator. If a party fails to appoint
his 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 a reasonable time from their
appointment, the appointment shall be made by the Appointing Authority. If the latter fails or
refuses to act or appoint an arbitrator within a reasonable time from receipt of the request to
do so, any party or the appointed arbitrator/s may request the court to appoint an arbitrator or
the third arbitrator as the case may be.
Rule 6.7. Court action. - After hearing, if the court finds merit in the petition, it shall appoint an
arbitrator; otherwise, it shall dismiss the petition.
In making the appointment, the court shall have regard to such considerations as are likely to
secure the appointment of an independent and impartial arbitrator.
At any time after the petition is filed and before the court makes an appointment, it shall also
dismiss the petition upon being informed that the Appointing Authority has already made the
appointment.
Rule 6.9. Relief against court action. - If the court appoints an arbitrator, the order appointing an
arbitrator shall be immediately executory and shall not be the subject of a motion for
reconsideration, appeal or certiorari. An order of the court denying the petition for appointment of
an arbitrator may, however, be the subject of a motion for reconsideration, appeal or certiorari.
c.) Challenge of Arbitrators
1985 Model Law
Article 12. Grounds for challenge
(2) An arbitrator may be challenged only if circumstances exist that give rise to justifiable doubts
as to his impartiality or independence, or if he does not possess qualifications agreed to by the
parties. A party may challenge an arbitrator appointed by him, or in whose appointment he has
participated, only for reasons of which he becomes aware after the appointment has been
made.
Article 13. Challenge procedure
(3) If a challenge under any procedure agreed upon by the parties or under the procedure of
paragraph (2) of this article is not successful, the challenging party may request, within thirty
days after having received notice of the decision rejecting the challenge, the court or other
authority specified in article 6 to decide on the challenge, which decision shall be subject to no
appeal; while such a request is pending, the arbitral tribunal, including the challenged
arbitrator, may continue the arbitral proceedings and make an award.

Special ADR Rules

Rule 7.2. When challenge may be raised in court. - When an arbitrator is challenged before the
arbitral tribunal under the procedure agreed upon by the parties or under the procedure provided
for in Article 13 (2) of the Model Law and the challenge is not successful, the aggrieved party may
request the Appointing Authority to rule on the challenge, and it is only when such Appointing
Authority fails or refuses to act on the challenge within such period as may be allowed under the

47
 applicable rule or in the absence thereof, within thirty (30) days from receipt of the request, that
the aggrieved party may renew the challenge in court.

Rule 7.7. Court action. - After hearing, the court shall remove the challenged arbitrator if it finds
merit in the petition; otherwise, it shall dismiss the petition.
The court shall allow the challenged arbitrator who subsequently agrees to accept the challenge to
withdraw as arbitrator.
The court shall accept the challenge and remove the arbitrator in the following cases:
a. The party or parties who named and appointed the challenged arbitrator agree to the challenge
and withdraw the appointment.
b. The other arbitrators in the arbitral tribunal agree to the removal of the challenged arbitrator;
and
c. The challenged arbitrator fails or refuses to submit his comment on the petition or the brief of
legal arguments as directed by the court, or in such comment or legal brief, he fails to object to
his removal following the challenge.
The court shall decide the challenge on the basis of evidence submitted by the parties.
The court will decide the challenge on the basis of the evidence submitted by the parties in the
following instances:
a. The other arbitrators in the arbitral tribunal agree to the removal of the challenged
arbitrator; and
b. If the challenged arbitrator fails or refuses to submit his comment on the petition or the
brief of legal arguments as directed by the court, or in such comment or brief of legal
arguments, he fails to object to his removal following the challenge.
d.) Termination of Mandate of Arbitrator
1985 Model Law
Article 14. Failure or impossibility to act
(1) If an arbitrator becomes de jure or de facto unable to perform his functions or for other
reasons fails to act without undue delay, his mandate terminates if he withdraws from his
office or if the parties agree on the termination. Otherwise, if a controversy remains
concerning any of these grounds, any party may request the court or other authority specified
in article 6 to decide on the termination of the mandate, which decision shall be subject to no
appeal.
IRR of RA 9285
Article 5.13. 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/her mandate 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.
Special ADR Rules
Rule 8.1. Who may request termination and on what grounds. - Any of the parties to an
arbitration may request for the termination of the mandate of an arbitrator where an arbitrator
becomes de jure or de facto unable to perform his function or for other reasons fails to act without
48
 undue delay and that arbitrator, upon request of any party, fails or refuses to withdraw from his
office.
Rule 8.2. When to request. - If an arbitrator refuses to withdraw from his office, and
subsequently, the Appointing Authority fails or refuses to decide on the termination of the
mandate of that arbitrator within such period as may be allowed under the applicable rule or, in the
absence thereof, within thirty (30) days from the time the request is brought before him, any party
may file with the court a petition to terminate the mandate of that arbitrator.
Rule 8.7. No motion for reconsideration or appeal. - Any order of the court resolving the petition
shall be immediately executory and shall not be subject of a motion for reconsideration, appeal or
petition for certiorari.
IRR of RA 9285
Article 4.14. 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/her mandate 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.
(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).
e.) Appointment of Substitute Arbitrator
1985 Model Law
Article 15. Appointment of substitute arbitrator
Where the mandate of an arbitrator terminates under article 13 or 14 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 mandate, a substitute arbitrator shall be appointed
according to the rules that were applicable to the appointment of the arbitrator being replaced.
IRR of RA 9285
Article 4.15. Appointment of Substitute Arbitrator. 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 5.14. Appointment of Substitute Arbitrator. 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.
Special ADR Rules
Rule 8.8. Appointment of substitute arbitrator. - Where the mandate of an arbitrator is
terminated, or he withdraws from office for any other reason, or because of his mandate is revoked
by agreement of the parties or is terminated for any other reason, a substitute arbitrator shall be

49
 appointed according to the rules that were applicable to the appointment of the arbitrator being
replaced.
J. INTERIM MEASURES OF PROTECTION
 Autea Handbook, Chapter 7
 Piarb Handbook, Chapter 9
 1985 Model law
Article 17. Power of arbitral tribunal to 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 measure of protection as the arbitral tribunal may consider
necessary in respect of the subject-matter of the dispute. The arbitral tribunal may require any
party to provide appropriate security in connection with such measure.
 2006 Model Law
Section 1. Interim measures
Article 17. Power of arbitral tribunal to order interim measures
(1) Unless otherwise agreed by the parties, the arbitral tribunal may, at the request of a party,
grant interim measures.
(2) An interim measure is any temporary measure, whether in the form of an award or in another
form, by which, at any time prior to the issuance of the award by which the dispute is fi nally
decided, the arbitral tribunal orders a party to:
(a) Maintain or restore the status quo pending determination of the dispute;
(b) Take action that would prevent, or refrain from taking action that is likely to cause,
current or imminent harm or prejudice to the arbitral process itself;
(c) Provide a means of preserving assets out of which a subsequent award may be satisfied; or
(d) Preserve evidence that may be relevant and material to the resolution of the dispute.
Article 17 A. Conditions for granting interim measures
(1) The party requesting an interim measure under article 17(2)(a), (b) and(c) shall satisfy the
arbitral tribunal that:
(a) Harm not adequately reparable by an award of damages is likely to result if the measure is
not ordered, and such harm substantially outweighs the harm that is likely to result to the
party against whom the measure is directed if the measure is granted; and
(b) There is a reasonable possibility that the requesting party will succeed on the merits of the
claim. The determination on this possibility shall not affect the discretion of the arbitral
tribunal in making any subsequent determination.
(2) With regard to a request for an interim measure under article 17(2)(d), the requirements in
paragraphs (1)(a) and (b) of this article shall apply only to the extent the arbitral tribunal
considers appropriate.

 RA 9285
SEC. 28. Grant of Interim Measure of Protection. -
(a) It is not incompatible with an arbitration agreement for a party to request, before constitution
of the tribunal, from a Court an interim measure of protection and for the Court to grant such
measure. After 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. The arbitral tribunal is deemed
constituted when the sole arbitrator or the third arbitrator who has been nominated, has

50
 accepted the nomination and written communication of said nomination and acceptance has
been received by the party making request.
(b) The following rules on interim or provisional relief shall be observed:
(1) Any party may request that provision relief be granted against the adverse party:
(2) Such relief may be granted:
(i) to prevent irreparable loss or injury:
(ii) to provide security for the performance of any obligation;
(iii) to produce or preserve any evidence; or
(iv) to compel any other appropriate act or omission.
(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 Court or arbitral tribunal as the case may be and the party against whom the
relief is sought, describing in appropriate detail the precise relief, the party against whom
the relief is requested, the grounds for the relief, and evidence supporting the request.
(5) The order 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 fees, paid in obtaining
the order's judicial enforcement.
SEC. 29. Further Authority for Arbitrator to Grant Interim Measure 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 Section 28, paragraph 2. 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 measures ordered by an arbitral tribunal.
J.1) INTERIM MEASURE ISSUED BY TRIBUNAL
(i) Upon Constitution of Tribunal
(ii) During Arbitral Proceedings
1985 Model Law
Article 17. Power of arbitral tribunal to 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 measure of protection as the arbitral tribunal may consider
necessary in respect of the subject-matter of the dispute. The arbitral tribunal may require any
party to provide appropriate security in connection with such measure.
IRR, RA 9285
Article 4.17. Power of Arbitral Tribunal 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 measures of 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.

51
(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:
(i) Any party may request that the interim or provisional relief shall be observed:
(ii) Such relief may be granted:
1) To prevent irreparable loss or injury;
2) To provide security for the performance of an obligation;
3) To produce or preserve evidence
4) To compel any other appropriate acts or omissions.
(iii) The order granting provisional relief may be conditioned upon the provision of security
or any act or omission specified in order.
(iv) 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.
(v) The order granting or denying an application for the interim relief shall be binding upon
the parties.
(vi) Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
(vii) 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.
IRR of RA 9285
Article 5.16. Power of Arbitral Tribunal to Order Interim Measures.
(a) 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.
(b) 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.
(c) The following rules on interim or provisional relief shall be observed:
(i) Any party may request that the provisional or interim relief be granted against the
adverse party.
(ii) Such relief may be granted:
1) To prevent irreparable loss or injury;
2) To provide security for the performance of an obligation;
3) To produce or preserve evidence; or
4) To compel any other appropriate act or omissions.
(iii) The order granting provisional relief may be conditioned upon the provision of security
or any act or omission specified in the order.
(iv) 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

52
 appropriate detail the precise relief, the party against whom the relief is requested, the
ground for the relief and the evidence supporting the request.
(v) The order either granting or denying an application for interim relief shall be binding
upon the parties.
(vi) Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
(vii) 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 5.24. Power of Arbitral Tribunal to Order Interim Muslim.
(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 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 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:
(i) Any party may request that provisional or interim relief be granted against the adverse
party.
(ii) Such relief may be granted:
1) To prevent irreparable loss or injury;
2) To provide security for the performance of an obligation;
3) To produce or preserve evidence; or
4) To compel any other appropriate act or omissions.
(iii) The order granting provisional relief may be conditioned upon the provision of security
or any act or omission specified in the order.
(iv) 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.
(v) The order either granting or denying an application for interim relief shall be binding
upon the parties.
(vi) Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
(vii) 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 and/or
conserve any matter which is the subject of the dispute in arbitration.
Special ADR Rules
RULE 5: Interim Measures of Protection
Rule 5.2. When to petition. - A petition for an interim measure of protection may be made (a)
before arbitration is commenced, (b) after arbitration is commenced, but before the constitution of

53
the arbitral tribunal, or (c) after the constitution of the arbitral tribunal and at any time during
arbitral proceedings but, at this stage, only to the extent that the arbitral tribunal has no power to
act or is unable to act effectively.
a.) Grounds for Issuance of Interim Measures of Protection
1985 Model Law
Article 17. Power of arbitral tribunal to 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 measure of protection as the arbitral tribunal may consider
necessary in respect of the subject-matter of the dispute. The arbitral tribunal may require any
party to provide appropriate security in connection with such measure.
2006 Model law
Article 17. A. Conditions for granting interim measures
(1) The party requesting an interim measure under article 17(2) (a), (b) and (c) shall satisfy
the arbitral tribunal that:
(a) Harm not adequately reparable by an award of damages is likely to result if the
measure is not ordered, and such harm substantially outweighs the harm that is likely
to result to the party against whom the measure is directed if the measure is granted;
and
(b) There is a reasonable possibility that the requesting party will succeed on the merits of
the claim. The determination on this possibility shall not affect the discretion of the
arbitral tribunal in making any subsequent determination.
(2) With regard to a request for an interim measure under article 17(2)(d), the requirements in
paragraphs (1)(a) and (b) of this article shall apply only to the extent the arbitral tribunal
considers appropriate.
RA 9285
SEC. 29. Further Authority for Arbitrator to Grant Interim Measure 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 Section 28,
paragraph 2. 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 measures ordered by an
arbitral tribunal.
IRR of RA 9285
Article 5.16. Power of Arbitral Tribunal to Order Interim Measures.
(a) 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.
(b) 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

54
 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:
(i) Any party may request that the provisional or interim relief be granted against the
adverse party.
(ii) Such relief may be granted:
1) To prevent irreparable loss or injury;
2) To provide security for the performance of an obligation;
3) To produce or preserve evidence; or
4) To compel any other appropriate act or omissions.
(iii) The order granting provisional relief may be conditioned upon the provision of
security or any act or omission specified in the order.
(iv) 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 the precise relief, the party against whom the relief is
requested, the ground for the relief and the evidence supporting the request.
(v) The order either granting or denying an application for interim relief shall be binding
upon the parties.
(vi) Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
(vii) 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.
Special ADR Rules
Rule 5.4. Grounds. - The following grounds, while not limiting the reasons for the court to
grant an interim measure of protection, indicate the nature of the reasons that the court shall
consider in granting the relief:
a. The need to prevent irreparable loss or injury;
b. The need to provide security for the performance of any obligation;
c. The need to produce or preserve evidence; or
d. The need to compel any other appropriate act or omission.
b.) Preliminary Orders Issued by the Tribunal
2006 Model Law
Article 17 B. Applications for preliminary orders and conditions for granting preliminary
orders
(1) Unless otherwise agreed by the parties, a party may, without notice to any other party,
make a request for an interim measure together with an application for a preliminary order
directing a party not to frustrate the purpose of the interim measure requested.
(2) The arbitral tribunal may grant a preliminary order provided it considers that prior
disclosure of the request for the interim measure to the party against whom it is directed
risks frustrating the purpose of the measure.
(3) The conditions defined under article 17 A apply to any preliminary order, provided that
the harm to be assessed under article 17 A (1) (a), is the harm likely to result from the
order being granted or not.
Article 17 C. Specific regime for preliminary orders
(1) Immediately after the arbitral tribunal has made a determination in respect of an
application for a preliminary order, the arbitral tribunal shall give notice to all parties of
the request for the interim measure, the application for the preliminary order, the

55
 preliminary order, if any, and all other communications, including by indicating the
content of any oral communication, between any party and the arbitral tribunal in relation
thereto.
(2) At the same time, the arbitral tribunal shall give an opportunity to any party against whom
a preliminary order is directed to present its case at the earliest practicable time.
(3) The arbitral tribunal shall decide promptly on any objection to the preliminary order.
(4) A preliminary order shall expire after twenty days from the date on which it was issued by
the arbitral tribunal. However, the arbitral tribunal may issue an interim measure adopting
or modifying the preliminary order, after the party against whom the preliminary order is
directed has been given notice and an opportunity to present its case.
(5) A preliminary order shall be binding on the parties but shall not be subject to enforcement
by a court. Such a preliminary order does not constitute an award.
c.) Award of Damages for Failure to Comply with Interim Measure of Protection
RA 9285
SEC. 28. Grant of Interim Measure of Protection. -
(b) The following rules on interim or provisional relief shall be observed:
(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 fees, paid in
obtaining the order's judicial enforcement.
IRR of RA 9285
Article 4.17. Power of Arbitral Tribunal to Order Interim Measures.
(c) The following rules on interim or provisional relief shall be observed:
(vii) 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.
Special ADR Rules
Rule 5.4. Grounds. - The following grounds, while not limiting the reasons for the court to
grant an interim measure of protection, indicate the nature of the reasons that the court shall
consider in granting the relief:
a. The need to prevent irreparable loss or injury;
b. The need to provide security for the performance of any obligation;
c. The need to produce or preserve evidence; or
d. The need to compel any other appropriate act or omission.
d.) Cost and Damages That May be Awarded by Tribunal
2006 Model Law
Article 17 G. Costs and damages
The party requesting an interim measure or applying for a preliminary order shall be liable for
any costs and damages caused by the measure or the order to any party if the arbitral tribunal
later determines that, in the circumstances, the measure or the order should not have been
granted. The arbitral tribunal may award such costs and damages at any point during the
proceedings.
e.) Court Assistance in Recognition and Enforcement of Tribunal-Issued Interim Measures
2006 Model law, Section 4
Article 17 H. Recognition and enforcement

56
 (1) An interim measure issued by an arbitral tribunal shall be recognized as binding and,
unless otherwise provided by the arbitral tribunal, enforced upon application to the
competent court, irrespective of the country in which it was issued, subject to the
provisions of article 17 I.
(2) The party who is seeking or has obtained recognition or enforcement of an interim
measure shall promptly inform the court of any termination, suspension or modification of
that interim measure.
(3) The court of the State where recognition or enforcement is sought may, if it considers it
proper, order the requesting party to provide appropriate security if the arbitral tribunal has
not already made a determination with respect to security or where such a decision is
necessary to protect the rights of third parties.
Article 17 I. Grounds for refusing recognition or enforcement
(1) Recognition or enforcement of an interim measure may be refused only:
a) At the request of the party against whom it is invoked if the court is satisfied that:
(i) Such refusal is warranted on the grounds set forth in article 36(1)(a)(i), (ii), (iii)
or (iv); or
(ii) The arbitral tribunal’s decision with respect to the provision of security in
connection with the interim measure issued by the arbitral tribunal has not been
complied with; or
(iii) The interim measure has been terminated or suspended by the arbitral tribunal
or, where so empowered, by the court of the State in which the arbitration takes
place or under the law of which that interim measure was granted; or
b) If the court finds that:
(i) The interim measure is incompatible with the powers conferred upon the court
unless the court decides to reformulate the interim measure to the extent
necessary to adapt it to its own powers and procedures for the purposes of
enforcing that interim measure and without modifying its substance; or
(ii) Any of the grounds set forth in article 36(1)(b)(i) or (ii), apply to the recognition
and enforcement of the interim measure.
(2) Any determination made by the court on any ground in paragraph (1) of this article shall
be effective only for the purposes of the application to recognize and enforce the interim
measure. The court where recognition or enforcement is sought shall not, in making that
determination, undertake a review of the substance of the interim measure.

Special ADR Rules

Rule 15.6. Contents of petition. - The verified petition shall:

a. Name and designate, as petitioner or respondent, all parties to the mediated settlement
agreement and those who may be affected by it;
b. State the following:
(i) The addresses of the petitioner and respondents; and
(ii) The ultimate facts that would show that the adverse party has defaulted to perform its
obligation under said agreement; and
c. Have attached to it the following:
(i) An authentic copy of the mediated settlement agreement; and
(ii) Certificate of Deposit showing that the mediated settlement agreement was deposited
with the Clerk of Court.
J.2) INTERIM MEASURES ISSUED BY THE COURTS
1985 Model Law

57
Article 9. Arbitration agreement and interim measures by court
It is not incompatible with an arbitration agreement for a party to request, before or during arbitral
proceedings, from a court an interim measure of protection and for a court to grant such measure.
2006 Model Law, Section 5
Article 17 J. Court-ordered interim measures
A court shall have the same power of issuing an interim measure in relation to arbitration
proceedings, irrespective of whether their place is in the territory of this State, as it has in relation
to proceedings in courts. The court shall exercise such power in accordance with its own
procedures in consideration of the specific features of international arbitration.
R.A. 9285
SEC. 28. Grant of Interim Measure of Protection. –
(a) It is not incompatible with an arbitration agreement for a party to request, before constitution
of the tribunal, from a Court an interim measure of protection and for the Court to grant such
measure. After 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. 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 request.
(b) The following rules on interim or provisional relief shall be observed:
1) Any party may request that provision relief be granted against the adverse party;
2) Such relief may be granted:
(i) to prevent irreparable loss or injury:
(ii) to provide security for the performance of any obligation;
(iii) to produce or preserve any evidence; or
(iv) to compel any other appropriate act or omission.
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 Court or arbitral tribunal as the case may be and the party against whom the
relief is sought, describing in appropriate detail the precise relief, the party against whom
the relief is requested, the grounds for the relief, and evidence supporting the request.
5) The order 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 fees, paid in obtaining
the order's judicial enforcement.

IRR of RA 9285
Article 4.9. Arbitration Agreement and Interim Measures by Court.
(a) 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.
(b) 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.

58
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 5.8. Arbitration Agreement and Interim Measures by Court.
(a) 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.
(b) 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.
(c) The following rules on interim or provisional relief shall be observed:
(i) Any party may request that interim or provisional relief be granted against the adverse
party.
(ii) Such relief may be granted:
(aa) To prevent irreparable loss or injury;
(bb) To provide security for the performance of an obligation;
(cc) To produce or preserve evidence; or
(dd) To compel any other appropriate act or omissions.
(iii) The order granting provisional relief may be conditioned upon the provision of security
or any act or omission specified in the order.
(iv) 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.
(v) The order either grating or denying an application for interim relief shall be binding upon
the parties. (
(vi) Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
(vii) 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.
(d) 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 5.16. Power of Arbitral Tribunal to Order Interim Measures.

(a) 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.

59
(b) 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.
(c) The following rules on interim or provisional relief shall be observed:
(i) Any party may request that the provisional or interim relief be granted against the
adverse party.
(ii) Such relief may be granted:
(aa) To prevent irreparable loss or injury;
(bb) To provide security for the performance of an obligation;
(cc) To produce or preserve evidence; or
(dd) To compel any other appropriate act or omissions.
(iii) The order granting provisional relief may be conditioned upon the provision of security
or any act or omission specified in the order.
(iv) 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 the precise relief, the party against whom the relief is requested, the
ground for the relief and the evidence supporting the request.
(v) The order either granting or denying an application for interim relief shall be binding
upon the parties.
(vi) Either party may apply with the court for assistance in implementing or enforcing an
interim measure ordered by an arbitral tribunal.
(vii) 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.

Special ADR Rules

Rule 5.1. Who may ask for interim measures of protection. - A party to an arbitration agreement
may petition the court for interim measures of protection.
Rule 5.2. When to petition. - A petition for an interim measure of protection may be made (a)
before arbitration is commenced, (b) after arbitration is commenced, but before the constitution of
the arbitral tribunal, or (c) after the constitution of the arbitral tribunal and at any time during
arbitral proceedings but, at this stage, only to the extent that the arbitral tribunal has no power to
act or is unable to act effectively.
Rule 5.3. Venue. - A petition for an interim measure of protection may be filed with the Regional
Trial Court, which has jurisdiction over any of the following places:
a. Where the principal place of business of any of the parties to arbitration is located;
b. Where any of the parties who are individuals resides;
c. Where any of the acts sought to be enjoined are being performed, threatened to be performed
or not being performed; or
d. Where the real property subject of arbitration, or a portion thereof is situated.

Rule 5.4. Grounds. - The following grounds, while not limiting the reasons for the court to grant
an interim measure of protection, indicate the nature of the reasons that the court shall consider in
granting the relief:
a. The need to prevent irreparable loss or injury;
b. The need to provide security for the performance of any obligation;
c. The need to produce or preserve evidence; or
d. The need to compel any other appropriate act or omission.
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Rule 5.5. Contents of the petition. - The verified petition must state the following:
a. The fact that there is an arbitration agreement;
b. The fact that the arbitral tribunal has not been constituted, or if constituted, is unable to act or
would be unable to act effectively;
c. A detailed description of the appropriate relief sought;
d. The grounds relied on for the allowance of the petition.
Apart from other submissions, the petitioner must attach to his petition an authentic copy of the
arbitration agreement.

Rule 5.6. Type of interim measure of protection that a court may grant. - The following, among
others, are the interim measures of protection that a court may grant:
a. Preliminary injunction directed against a party to arbitration;
b. Preliminary attachment against property or garnishment of funds in the custody of a bank or a
third person;
c. Appointment of a receiver;
d. Detention, preservation, delivery or inspection of property; or,
e. Assistance in the enforcement of an interim measure of protection granted by the arbitral
tribunal, which the latter cannot enforce effectively.

a.) Ex-Parte Temporary Order of Protection Issued by Courts

Special ADR Rules
Rule 5.7. Dispensing with prior notice in certain cases. - Prior notice to the other party may
be dispensed with when the petitioner alleges in the petition that there is an urgent need to
either (a) preserve property, (b) prevent the respondent from disposing of, or concealing, the
property, or (c) prevent the relief prayed for from becoming illusory because of prior notice,
and the court finds that the reason/s given by the petitioner are meritorious.

Rule 5.9. Court action. - After hearing the petition, the court shall balance the relative
interests of the parties and inconveniences that may be caused, and on that basis resolve the
matter within thirty (30) days from (a) submission of the opposition, or (b) upon lapse of the
period to file the same, or (c) from termination of the hearing that the court may set only if
there is a need for clarification or further argument.
If the other parties fail to file their opposition on or before the day of the hearing, the court
shall motu proprio render judgment only on the basis of the allegations in the petition that are
substantiated by supporting documents and limited to what is prayed for therein.
In cases where, based solely on the petition, the court finds that there is an urgent need to
either (a) preserve property, (b) prevent the respondent from disposing of, or concealing, the
property, or (c) prevent the relief prayed for from becoming illusory because of prior notice, it
shall issue an immediately executory temporary order of protection and require the petitioner,
within five (5) days from receipt of that order, to post a bond to answer for any damage that
respondent may suffer as a result of its order. The ex-parte temporary order of protection shall
be valid only for a period of twenty (20) days from the service on the party required to
comply with the order. Within that period, the court shall:
a. Furnish the respondent a copy of the petition and a notice requiring him to comment
thereon on or before the day the petition will be heard; and
b. Notify the parties that the petition shall be heard on a day specified in the notice, which
must not be beyond the twenty (20) day period of the effectivity of the ex-parte order.

61
 The respondent has the option of having the temporary order of protection lifted by posting an
appropriate counter-bond as determined by the court.
If the respondent requests the court for an extension of the period to file his opposition or
comment or to reset the hearing to a later date, and such request is granted, the court shall
extend the period of validity of the ex-parte temporary order of protection for no more than
twenty days from expiration of the original period.
After notice and hearing, the court may either grant or deny the petition for an interim
measure of protection. The order granting or denying any application for interim measure of
protection in aid of arbitration must indicate that it is issued without prejudice to subsequent
grant, modification, amendment, revision or revocation by an arbitral tribunal.

J.3) MODIFICATION OF INTERIM MEASURES OF PROTECTION

2006 Model Law
Section 3. Provisions applicable to interim measures and preliminary orders
Article 17 D. Modification, suspension, termination
The arbitral tribunal may modify, suspend or terminate an interim measure or a preliminary order
it has granted, upon application of any party or, in exceptional circumstances and upon prior notice
to the parties, on the arbitral tribunal’s own initiative.

Special ADR Rules

Rule 5.9 (b) (last paragraph) After notice and hearing, the court may either grant or deny the
petition for an interim measure of protection. The order granting or denying any application for
interim measure of protection in aid of arbitration must indicate that it is issued without prejudice
to subsequent grant, modification, amendment, revision or revocation by an arbitral tribunal.

Rule 5.13. Modification, amendment, revision or revocation of court’s previously issued interim
measure of protection. - Any court order granting or denying interim measure/s of protection is
issued without prejudice to subsequent grant, modification, amendment, revision or revocation by
the arbitral tribunal as may be warranted. An interim measure of protection issued by the arbitral
tribunal shall, upon its issuance be deemed to have ipso jure modified, amended, revised or
revoked an interim measure of protection previously issued by the court to the extent that it is
inconsistent with the subsequent interim measure of protection issued by the arbitral tribunal.

Rule 5.14. Conflict or inconsistency between interim measure of protection issued by the court
and by the arbitral tribunal. - Any question involving a conflict or inconsistency between an
interim measure of protection issued by the court and by the arbitral tribunal shall be immediately
referred by the court to the arbitral tribunal which shall have the authority to decide such question.

Rule 5.15. Court to defer action on petition for an interim measure of protection when informed
of constitution of the arbitral tribunal. - The court shall defer action on any pending petition for
an interim measure of protection filed by a party to an arbitration agreement arising from or in
connection with a dispute thereunder upon being informed that an arbitral tribunal has been
constituted pursuant to such agreement. The court may act upon such petition only if it is
established by the petitioner that the arbitral tribunal has no power to act on any such interim
measure of protection or is unable to act thereon effectively.
J.4) EMERGENCY MEASURES

PIArb Handbook, Chapter 6

62
2015 Arbitration Rules of the Philippine Dispute Resolution Center, Inc.
Article 53 – Emergency Arbitrator
1. A party may apply for an Interim Measure concurrent with or following the filing of Notice
of Arbitration but prior to the constitution of the arbitral tribunal (“Emergency Relief”) by
submitting an application for the appointment of an emergency arbitrator (“Emergency
Arbitrator”) to PDRCI (“Application”).
2. The Application shall be submitted in the same manner as the Notice of Arbitration pursuant
to Articles 4 and 5 of the Rules and shall include the following information: a. The name,
addresses and other contact details of the parties to the Application and of their counsel; b.
The circumstances giving rise to the Application and the relevant agreements; c. The
emergency Relief sought; d. The reasons for the issuance of Emergency Relief on an urgent
basis; e. Comments on the language, the seat of the Emergency Relief proceedings, and the
applicable law; and f. Confirmation of payment of deposit in accordance with the Guidelines
on Fees (“Emergency Arbitration Fee”); therewith have been or are being served
simultaneously on all other parties to the application.
3. The Application may contain such other documents or information as the applicant considers
appropriate or as may contribute to the efficient examination of the Application.
4. Upon receipt of the Application, PDRCI shall:
(a) Assign a provisional docket number to the Application upon payment of the amount
referred to in the preceding paragraph;
(b) Determine if it should accept the Application;
(c) Assess the applicant the further Emergency Arbitration Fees, in accordance with the
Guidelines on Fees, taking into account the nature of the case and the estimated amount
of work to be performed by PDRCI and the Emergency Arbitrator;
(d) Endeavour to appoint an Emergency Arbitrator within two days after receipt of the
Application and the Emergency Arbitration Fee, whichever is later; and
(e) Refer the Application and transmit the file to the Emergency Arbitrator once appointed
with notice to the other parties.
5. If the applicant fails to pay the Emergency Arbitration Fee or any further fees that PDRCI
may assess in connection with the Application, within the time limit provided by PDRCI, the
application shall be dismissed.
6. Upon notice of the appointment of the Emergency Arbitrator, all written communications
form the parties shall be submitted directly to the Emergency Arbitrator with copies to the
other parties and PRDCI. All written communications from the Emergency Arbitrator to the
parties shall also be given to PDRCI.
7. A party who intends to challenge an Emergency Arbitrator shall send notice of its challenge,
in accordance, in accordance with Art. 19 (2), within three (3) days after it was notified of the
appointment of the challenged arbitrator or after the circumstances mentioned in Art. 17 to
that party. If the other party does not agree to the challenge or the challenged arbitrator does
not withdraw within three (3) days from notice of the challenge, PDRCI shall decide the
challenge. PDRCI sustains the challenge, or the Emergency Arbitrator otherwise becomes
incapable of performing his or her functions, a substitute arbitrator shall be appointed.
PDRCI’s decision on the challenge shall be final.
8. If an emergency arbitrator is replaced the Emergency Relief proceedings shall resume at the
stage where the Emergency Arbitrator was replaced or ceased to perform his or her functions,
unless the substitute emergency Arbitrator decides otherwise.
9. The Emergency Arbitrator may conduct the proceedings in such a manner as he considers
appropriate, taking into account the urgent nature of the proceedings. The emergency
arbitrator shall have the power to rule on objections to his jurisdiction, including any
objections with respect to the existence, validity or group of the arbitration clause (s) or of the

63
 separate arbitration agreement(s), and shall resolve any dispute involving the applicability of
this Art. 53.
10. Any decision order or award of the Emergency Arbitrator on the Application (“Emergency
Decision”) shall be made within twenty (20) days from the date in which PDRCI transmitted
the file to the Emergency Arbitrator. This period of time may be extended by agreement of
the parties or, in appropriate circumstances, by PDRCI.
11. The Emergency Decision shall:
a. Be in writing;
b. State in summary form the reasons upon which the decision is based, unless the parties
have agreed that no reasons are to be given;
c. State the date when it was made and be signed by the Emergency Arbitrator; and
d. Set the cost of the Emergency Relief proceedings and allocate such costs in accordance
with Art. 50 (Allocation of Cost) of the Rules.
12. An Emergency Relief is, and shall have the same force and effect as an Interim Measure.
Article 33 (Interim measure protection) shall be applicable to Emergency Reliefs, except that
references ot the arbitral tribunal shall be deemed to be references to the Emergency
Arbitrator.
13. The Emergency Arbitrator shall have no further power to at once the arbitral tribunal is
constituted. However, the Emergency Decision may be made even if the meantime the file
has been transmitted to the arbitral tribunal.
14. Any Emergency Decision ceases to be binding;
a. Upon the arbitral tribunal rendering a final award, unless the arbitral tribunal expressly
decides otherwise;
b. Upon the withdrawal of all claims or the termination of the arbitration before the rendering
of a final award; or
c. If the arbitral tribunal is not constituted within 90 days from the date of the Emergency
Decision, unless this period is extended by agreement of the parties or by PDRCI.
15. Any Emergency Decision may, upon request of a party, be modified, suspended or terminated
by the arbitral tribunal, once constituted.
16. The Emergency Arbitrator may not act as arbitrator in any arbitration relating to the dispute
that gave rise to the application and in respect of which the Emergency Arbitrator has acted,
unless otherwise agreed by the parties to the arbitration.
17. This Article on Emergency Relief shall not prevent any party from seeking urgent Interim
measures from a competent judicial authority at any time.
18. In all matters not expressly provided for in this Schedule, the Emergency Arbitrator shall act
in the spirit of the Rules.
19. The Emergency Arbitrator shall make every reasonable effort to ensure that an Emergency
Decision is valid.

K.) ARBITRATIONS PROCEEDINGS

PIArb Handbook, Chapters 10 – 13

K.1) PROCEDURE AGREED BY PARTIES

1985 Model Law

Article 19. Determination of rules of procedure
1. Subject to the provisions of this Law, the parties are free to agree on the procedure to be
followed by the arbitral tribunal in conducting the proceedings.
2. Failing such agreement, the arbitral tribunal may, subject to the provisions of this Law,
conduct the arbitration in such manner as it considers appropriate. The power conferred upon
64
 the arbitral tribunal includes the power to determine the admissibility, relevance, materiality
and weight of any evidence.

IRR of RA 9285
Article 4.19. Determination of the Rules of Procedure.
(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 Assembly 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 5.18 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 in conducting 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.

K.2) IF NO AGREED PROCEDURE

1985 Model Law

Article 19. Determination of rules of procedure
1. Subject to the provisions of this Law, the parties are free to agree on the procedure to be
followed by the arbitral tribunal in conducting the proceedings.
2. Failing such agreement, the arbitral tribunal may, subject to the provisions of this Law,
conduct the arbitration in such manner as it considers appropriate. The power conferred upon
the arbitral tribunal includes the power to determine the admissibility, relevance, materiality
and weight of any evidence.

IRR of RA 9285

Article 4.19. Determination of the Rules of Procedure.

(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 Assembly 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.

K.3) LAWS/RULES GOVERNING SUBSTANCE OF DISPUTE

65
 1985 Model Law
Article 28. Rules applicable to substance of dispute
1. 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 to its conflict of laws rules.
2. Failing any designation by the parties, the arbitral tribunal shall apply the law determined by
the conflict of laws rules which it considers applicable.
3. The arbitral tribunal shall decide ex aequo et bono or as amiable compositeur only if the
parties have expressly authorized it to do so.
4. 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.
K.4) COMMENCEMENT OF ARBITRATION

Autea Handbook, Chapter 3

a.) Notice/Demand/Request to Arbitrate

1985 of Model Law

Article 21. 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.

IRR of RA 9285
Article 4.21. 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 5.20. Commencement of Arbitral Proceedings.

(a) Where there is a prior arbitration agreement between the parties, arbitration is deemed
commenced as follows:
(i) In institutional arbitration is commenced in accordance with the arbitration rules of
the institution agreed upon by the parties.
(ii) 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:
(aa) the name, address and description of each of the parties;
(bb) a description of the nature and circumstances of the dispute giving rise to the
claim;
(cc) a statement of the relief sought, including the amount of the claim;
(dd) the relevant agreements, if any, including the arbitration agreement, a copy of
which shall be attached; and
(ee) 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.

66
 (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 require 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 5.21. 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 to be 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 4.27. 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.
(NOTE: Rules of Court Not Applicable)

b.) Statements of Claim of Defense/Hearings

1985 Model Law
Article 23. Statements of claim and defense
1. Within the period of time agreed by the parties or determined by the arbitral tribunal, the
claimant shall state the facts supporting his claim, the points at issue and the relief or
remedy sought, and the respondent shall state his 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.
2. Unless otherwise agreed by the parties, either party may amend or supplement his claim
or defense during the course of the arbitral proceedings, unless the arbitral tribunal
considers it inappropriate to allow such amendment having regard to the delay in making
it.

67
IRR of RA 9285
Article 5.22. 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 5.23. 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 institutional arbitration, 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.
(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:
(i) The venue or place/s where the arbitration proceeding may be conducted in an
office space, a business center, a function room or any suitable place agreed upon
by the parties and the arbitral tribunal, which may vary per session, hearing, or
conference;
(ii) The manner of recording the proceedings;
(iii) 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.
(iv) The definition of the issues submitted to the arbitral tribunal for determination and
the summary of the claims and counterclaims of the parties;
(v) 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;
(vi) 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.
(vii) 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;
(viii) 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;
(ix) 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;
68
 (x) 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;
(xi) 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
(xii) 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.

69
 (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 authorize 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 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. T
(v) The arbitral tribunal shall have the power to require 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.

c.) Default of a Party

1985 Model Law

Article 25. 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 article 23
(1), the arbitral tribunal shall terminate the proceedings;
(b) the respondent fails to communicate his statement of defense in accordance with article
23 (1), 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 on the evidence before it.
IRR of RA 9285
Article 4.25. Default of a Party. Unless otherwise agreed by the parties, if, without, showing
sufficient cause,

70
 (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 5.25. Default of a 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.
d.) Court Assistance in Taking Evidence
1985 Model Law
Article 27. Court assistance in taking evidence.
The arbitral tribunal or a party with the approval of the arbitral tribunal may request from a
competent court of this State assistance in taking evidence. The court may execute the request
within its competence and according to its rules on taking evidence.
IRR of RA 9285
Article 4.27. 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 5.27. Court Assistance in Taking Evidence and Other Matters.

(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 the issuance 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:
(i) Interim or provision relief;

71
 (ii) Protective orders with respect to confidentiality;
(iii) Orders of the arbitral tribunal pertaining to the subject matter of the dispute that
may affect third persons and/or their properties; and/or
(iv) Examination of debtors.
Special ADR Rules (Rule 9: Assistance in Taking Evidence)
Rule 9.1. Who may request assistance. - Any party to an arbitration, whether domestic or
foreign, may request the court to provide assistance in taking evidence.
Rule 9.2. When assistance may be sought. - Assistance may be sought at any time during
the course of the arbitral proceedings when the need arises.

Rule 9.3. Venue. - A petition for assistance in taking evidence may, at the option of the
petitioner, be filed with Regional Trial Court where (a) arbitration proceedings are taking
place, (b) the witnesses reside or may be found, or (c) where the evidence may be found.

Rule 9.4. Ground. - The court may grant or execute the request for assistance in taking
evidence within its competence and according to the rules of evidence.

Rule 9.5. Type of assistance. - A party requiring assistance in the taking of evidence may
petition the court to direct any person, including a representative of a corporation, association,
partnership or other entity (other than a party to the ADR proceedings or its officers) found in
the Philippines, for any of the following:
a. To comply with a subpoena ad testificandum and/or subpoena duces tecum;
b. To appear as a witness before an officer for the taking of his deposition upon oral
examination or by written interrogatories;
c. To allow the physical examination of the condition of persons, or the inspection of things
or premises and, when appropriate, to allow the recording and/or documentation of
condition of persons, things or premises (i.e., photographs, video and other means of
recording/documentation);
d. To allow the examination and copying of documents; and
e. To perform any similar acts.

Rule 9.6. Contents of the petition. - The petition must state the following:
a. The fact that there is an ongoing arbitration proceeding even if such proceeding could not
continue due to some legal impediments;
b. The arbitral tribunal ordered the taking of evidence or the party desires to present evidence
to the arbitral tribunal;
c. Materiality or relevance of the evidence to be taken; and
d. The names and addresses of the intended witness/es, place where the evidence may be
found, the place where the premises to be inspected are located or the place where the acts
required are to be done.
Rule 9.7. Comment/Opposition. - The comment/opposition must be filed within fifteen (15)
days from service of the petition.

Rule 9.8. Court action. - If the evidence sought is not privileged, and is material and relevant,
the court shall grant the assistance in taking evidence requested and shall order petitioner to
pay costs attendant to such assistance.
Rule 9.9. Relief against court action. - The order granting assistance in taking evidence shall
be immediately executory and not subject to reconsideration or appeal. If the court declines to

72
 grant assistance in taking evidence, the petitioner may file a motion for reconsideration or
appeal.
Rule 9.10. Perpetuation of testimony before the arbitral tribunal is constituted. - At any
time before arbitration is commenced or before the arbitral tribunal is constituted, any person
who desires to perpetuate his testimony or that of another person may do so in accordance
with Rule 24 of the Rules of Court.

Rule 9.11. Consequence of disobedience. - The court may impose the appropriate sanction
on any person who disobeys its order to testify when required or perform any act required of
him.

e.) Power of Arbitrators to Decide Admissibility, Relevance, Materiality, and Weight of any
Evidence

1985 Model Law

Article 19. Determination of rules of procedure.
1. Subject to the provisions of this Law, the parties are free to agree on the procedure to be
followed by the arbitral tribunal in conducting the proceedings.
2. Failing such agreement, the arbitral tribunal may, subject to the provisions of this Law,
conduct the arbitration in such manner as it considers appropriate. The power conferred
upon the arbitral tribunal includes the power to determine the admissibility, relevance,
materiality and weight of any evidence.

K.5) WAIVER OF RIGHT TO OBJECT

1985 Model Law

Article 4. Waiver of right to object.
A party who knows that any provision of this Law 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 his objection to 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 his right to
object.

IRR of RA 9285
Article 4.4. Waiver of Right to Object. 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 5.3. 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 which the parties may derogate) or any requirement
under the arbitration agreement when:
(i) he/she/it knows of such non-compliance; and
(ii) proceeds with the arbitration without stating his/her/its objections to such noncompliance
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

73
 within a period of thirty (30) days from the date when such act could have been done with
legal effect.

K.6) MULTI-PARTIES/ MULTI-CONTACTS/ CONSOLIDATION

PIArb Handbook (Chapter 5)

IRR of RA 9285
Article 4.44. 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 4.45. Consolidation of Proceedings and Concurrent Hearings. 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.

Article 5.44. Multi-Party Arbitration.

(a) When a single arbitration involves more than two parties, these Rules, to the extent possible,
shall be used subject to such modifications consistent with Articles 5.17 (Equal Treatment of
Parties) and 5.18 (Determination of Rules of Procedure) as the arbitral tribunal shall deem
appropriate to address possible complexities of a multi-party arbitration.
(b) When a claimant includes persons who are not parties to or otherwise bound by the arbitration
agreement, directly or by reference, between him/her and the respondent as additional
claimants or the additional respondents unless not later than the date communicating his/her
answer to the request for arbitration, either by motion or by a special defense in his answer,
he objects, on jurisdictional grounds, to the inclusion of such additional respondents. The
additional respondents shall be deemed to have consented to their inclusion in the arbitration
unless, not later than the date of communicating their answer to the request for arbitration,
wither by motion or a special defense in their answer, they object, on jurisdictional grounds,
to their inclusion.

Article 5.45. Consolidation of Proceedings and Concurrent Hearings. The parties may agree
that:
(a) 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.

K.7) TERMINATION OF PROCEEDINGS

1985 Model Law

Article 32. Termination of proceedings

1. The arbitral proceedings are terminated by the final award or by an order of the arbitral tribunal
in accordance with paragraph (2) of this article.
2. The arbitral tribunal shall issue an order for the termination of the arbitral proceedings when:
(a) the claimant withdraws his claim, unless the respondent objects thereto and the arbitral
tribunal recognizes a legitimate interest on his part in obtaining a final settlement of the
dispute;
74
 (b) the parties agree on the termination of the proceedings;
(c) the arbitral tribunal finds that the continuation of the proceedings has for any other reason
become unnecessary or impossible.
3. The mandate of the arbitral tribunal terminates with the termination of the arbitral proceedings,
subject to the provisions of articles 33 and 34 (4).

IRR of RA 9285
Article 4.32. 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:
(i) 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;
(ii) The parties agree the termination of the proceedings;
(iii) 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 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 this Article.
(b) The arbitral tribunal shall issue an order for the termination of the arbitration proceedings
when:
(i) 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
(ii) The parties agree on the termination of the proceedings; or
(iii) The arbitral tribunal finds that the continuation of the proceedings has for any other
reason before unnecessary or impossible; or
(iv) 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.
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 (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 equitable. Pending determination of this
issue, the award shall not be deemed final for purposes of appeal, vacations, correction, or
any post-award proceedings.

K.8) COSTS OF ARBITRATION

IRR of RA 9285
Article 4.46. Costs.
(a) The arbitral tribunal shall fix the costs of arbitration in its award. The term "costs" include
only:
(i) The fees of the arbitral tribunal to be stated separately as to each arbitrator and to be
fixed by the tribunal itself in accordance with the paragraph (b) of this Article;
(ii) The travel and other expenses incurred by the arbitrators;
(iii) The costs of expert advice and of other assistance required by the arbitral tribunal;
(iv) The travel and other expenses of witnesses to the extent such expenses are approved by
the arbitral tribunal;
(v) 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;
(vi) 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 appointing authority 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
76
 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 5.46. Fees and Costs.

(a) The fees of the arbitrators shall be agreed upon by the parties and the arbitrator/s in writing
prior to the arbitration. In default of agreement of the parties as to the amount and manner of
payment of arbitrator’s fees, the arbitrator’s fees shall be determined in accordance with the
applicable internal rules of the regular arbitration institution under whose rules he arbitration
is conducted; or in ad hoc arbitration, the Schedule of Fees approved by the IBP, if any, or in
default thereof, the Schedule of Fees that may be approved by the OADR.
(b) In addition to arbitrator’s fees, the parties shall be responsible for the payment of the
administrative fees of an arbitration institution administering an arbitration and cost of
arbitration. The latter shall include, as appropriate, the fees of an expert appointed by the
arbitral tribunal, the expenses for conducting a site inspection, the use of a room where
arbitration proceedings shall be or have been conducted, the expenses for the recording and
transcription of the arbitration proceedings.
(c) The arbitral tribunal shall fix the costs of arbitration in its award. The term "costs" include
only:
(i) The fees of the arbitral tribunal to be stated separately as to each arbitrator and to be
fixed by the arbitral tribunal itself in accordance with this Article;
(ii) The travel and other expenses incurred by the arbitrators;
(iii) The costs of expert advice and of other assistance required by the arbitral tribunal, such
as site inspection and expenses for the recording and transcription of the arbitration
proceedings;
(iv) The travel and other expenses of witnesses to the extent such expenses are provided by
the arbitral tribunal;
(v) 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;
(vi) Any fees and expenses of the appointing authority.
(d) 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 appointing authority has issued a schedule of fees for arbitrators in
domestic 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

77
 information into account to the extent that it considers appropriate in the circumstances of the
case. In cases referred to in paragraph (d) of this Article, when a party so requests and the
appointing authority 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.
(e) Except as provided in the next 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) (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 paragraph
(a) of this Article in the context of that order or award. (e) Except as otherwise agreed by the
parties, no additional fees may be charged by the arbitral tribunal for interpretation or
correction or completion of its award under these Rules. (f) 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 (c) 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 one of them may make the required
payment within such a period or reasonable extension thereof as may be determined by the
arbitral tribunal. If such payment is not made, the arbitral tribunal may order the 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.

RA 876 (Re Fees of Arbitrators)

Section 21. Fees of arbitration. - The fees of the arbitrators shall be fifty pesos per day unless the
parties agree otherwise in writing prior to the arbitration.

L.) ARBITRAL AWARDS

Autea Handbook (Chapters 8, 9, and 10)

PIArb Handbook (Chapters 14-15)

IRR of RA 9285 (Rule 2)

Article 1.6 (A[6]). Award means any partial or final decision by an arbitrator in resolving the
issue or controversy.

New York Convention

Article I
1. This Convention shall apply to the recognition and enforcement of arbitral awards made in the
territory of a State other than the State where the recognition and enforcement of such awards
78
 are sought, and arising out of differences between persons, whether physical or legal. It shall
also apply to arbitral awards not considered as domestic awards in the State where their
recognition and enforcement are sought.
2. The term “arbitral awards” shall include not only awards made by arbitrators appointed for
each case but also those made by permanent arbitral bodies to which the parties have
submitted.
3. When signing, ratifying or acceding to this Convention, or notifying extension under article X
hereof, any State may on the basis of reciprocity declare that it will apply the Convention to the
recognition and enforcement of awards made only in the territory of another Contracting State.
It may also declare that it will apply the Convention only to differences arising out of legal
relationships, whether contractual or not, which are considered as commercial under the
national law of the State making such declaration.

Article III
Each Contracting State shall recognize arbitral awards as binding and enforce them in accordance
with the rules of procedure of the territory where the award is relied upon, under the conditions
laid down in the following articles. There shall not be imposed substantially more onerous
conditions or higher fees or charges on the recognition or enforcement of arbitral awards to which
this Convention applies than are imposed on the recognition or enforcement of domestic arbitral
awards.
L.1) INTERPRETATION OF AWARDS
Special ADR Rules
Rule 11.9. Court Action. - Unless a ground to vacate an arbitral award under Rule 11.5 above is
fully established, the court shall confirm the award.
An arbitral award shall enjoy the presumption that it was made and released in due course of
arbitration and is subject to confirmation by the court.
In resolving the petition or petition in opposition thereto in accordance with these Special ADR
Rules, the court shall either confirm or vacate the arbitral award. The court shall not disturb the
arbitral tribunal’s determination of facts and/or interpretation of law.
In a petition to vacate an award or in petition to vacate an award in opposition to a petition to
confirm the award, the petitioner may simultaneously apply with the Court to refer the case back
to the same arbitral tribunal for the purpose of making a new or revised award or to direct a new
hearing, or in the appropriate case, order the new hearing before a new arbitral tribunal, the
members of which shall be chosen in the manner provided in the arbitration agreement or
submission, or the law. 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.
In referring the case back to the arbitral tribunal or to a new arbitral tribunal pursuant to Rule 24 of
RA No. 876, the court may not direct it to revise its award in a particular way, or to revise its
findings of facts or conclusions of law or otherwise encroach upon the independence of an arbitral
tribunal in the making of a final award.
Rule 12.12. Presumption in favor of confirmation. - It is presumed that an arbitral award was
made and released in due course and is subject to enforcement by the court, unless the adverse
party is able to establish a ground for setting aside or not enforcing an arbitral award.

Rule 13.11. Court action. - It is presumed that a foreign arbitral award was made and released in
due course of arbitration and is subject to enforcement by the court.
The court shall recognize and enforce a foreign arbitral award unless a ground to refuse
recognition or enforcement of the foreign arbitral award under this rule is fully established.
79
 In resolving the petition for recognition and enforcement of a foreign arbitral award in accordance
with these Special ADR Rules, the court shall either [a] recognize and/or enforce or [b] refuse to
recognize and enforce the arbitral award. The court shall not disturb the arbitral tribunal’s
determination of facts and/or interpretation of law.
L.2) NO APPEAL ON THE MERITS
RA 876
Section 29. Appeals. - 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.

Special ADR Rules

Rule 19.7. No appeal or certiorari on the merits of an arbitral award. - An agreement to refer a
dispute to arbitration shall mean that the arbitral award shall be final and binding. Consequently, a
party to an arbitration is precluded from filing an appeal or a petition for certiorari questioning the
merits of an arbitral award.
L.3) EX AEQUO ET BONO OR AMIABLE COMPOSITEUR
1985 Model Law
Article 28. Rules applicable to substance of dispute
3. The arbitral tribunal shall decide ex aequo et bono or as amiable compositeur only if the parties
have expressly authorized it to do so.
RA 876
Section 20. Form and contents of 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.
L.4) MAJORITY DECISION, UNLESS OTHERWISE AGREED BY THE PARTIES

1985 Model Law

Article 29. 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 the 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.
80
 IRR of RA 9285
Article 4.29. 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 5.29. Decision Making by the Arbitral Tribunal.

(a) The arbitration proceedings with more than one arbitrator, any decision of the arbitral tribunal
shall be made, unless otherwise agreed by the 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.

L.5) FORM AND CONTENTS OF AWARD

1985 Model Law

Article 31. Form and contents of award
1. The award shall be made in writing and shall be signed by the arbitrator or arbitrators. In
arbitrator 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.
2. 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 article 30.
3. The award shall state its date and the place of arbitration as determined in accordance with
article 20 (1). The award shall be deemed to have been made at that place.
4. After the award is made, a copy signed by the arbitrators in accordance with paragraph (1) of
this article shall be delivered to each party.

RA 876
Section 20. Form and contents of 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.

81
 IRR of RA 9285
Article 4.31. Form 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 5.31. 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, the signatures 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.

L.6) SETTLEMENT AGREEMENTS AS ARBITRAL AWARDS

1985 Model Law

Article 30. Settlement
1. 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.
2. An award on agreed terms shall be made in accordance with the provisions of article 31 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.

IRR of RA 9285
Article 4.30. 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

82
 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. Settlement.

(a) if, during arbitral proceedings, the parties settle the dispute, the arbitral tribunal, record the
settlement in the form of an arbitral award on agreed 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.

L.7) DOMESTIC AWARDS

Autea Handbook (Chapter 8)

a.) Confirmation and Enforcement
b.) Vacating Domestic Awards

RA 9285
SEC. 40. Confirmation of Award. - The confirmation of a domestic arbitral award shall be
governed by Section 23 of R.A. 876. A domestic arbitral award when confirmed shall be enforced
in the same manner as final and executory decisions of the Regional Trial Court. The confirmation
of a domestic award shall be made by the regional trial court in accordance with the Rules of
Procedure to be promulgated by the Supreme Court. A CIAC arbitral award need not be confirmed
by the regional trial court to be executory as provided under E.O. No. 1008.

SEC. 41. Vacation Award. - A party to a domestic arbitration may question the arbitral award
with the appropriate regional trial court in accordance with the rules of procedure to be
promulgated by the Supreme Court only on those grounds enumerated in Section 25 of Republic
Act No. 876. Any other ground raised against a domestic arbitral award shall be disregarded by the
regional trial court.

RA 876
Section 23. Confirmation of award. - 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.

Section 24. Grounds for vacating 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 willfully refrained from disclosing such disqualifications or of any other
misbehavior by which the rights of any party have been materially prejudiced; or

83
(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.

Section 26. Motion to vacate, modify or correct award: when made. - 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.

Section 28. Papers to accompany motion to confirm, modify, correct, or vacate 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, within which 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.

IRR of RA 9285
Article 5.35. Grounds to Vacate an Arbitral Award.
(a) 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:
(i) The arbitral award was procured by corruption, fraud or other undue means; or
(ii) There was evident partially or corruption in the arbitral tribunal or any of its members; or
(iii) 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
(iv) One or more of the arbitrators was disqualified to act as such under this Chapter and
willfully refrained from disclosing such disqualification; or
(v) 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.
(b) 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
84
 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.
(c) 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 5.36. Confirmation of Award. The party moving for an order confirming, modifying,
correcting, or vacating an award, shall, at the time that such motion is filled with the court for the
entry of judgment thereon, also file the original or verified copy of the award, the arbitration or
settlement agreement, and such papers as may be required by the Special ADR Rules.

Special ADR Rules (Rule 11)

Rule 11.1. Who may request confirmation, correction or vacation. - Any party to a domestic
arbitration may petition the court to confirm, correct or vacate a domestic arbitral award.

Rule 11.2. When to request confirmation, correction/modification or vacation. –

(A) Confirmation. - At any time after the lapse of thirty (30) days from receipt by the petitioner of
the arbitral award, he may petition the court to confirm that award.
(B) Correction/Modification. - Not later than thirty (30) days from receipt of the arbitral award, a
party may petition the court to correct/modify that award.
(C) Vacation. - Not later than thirty (30) days from receipt of the arbitral award, a party may
petition the court to vacate that award.
(D) A petition to vacate the arbitral award may be filed, in opposition to a petition to confirm the
arbitral award, not later than thirty (30) days from receipt of the award by the petitioner. A
petition to vacate the arbitral award filed beyond the reglementary period shall be dismissed.
(E) A petition to confirm the arbitral award may be filed, in opposition to a petition to vacate the
arbitral award, at any time after the petition to vacate such arbitral award is filed. The
dismissal of the petition to vacate the arbitral award for having been filed beyond the
reglementary period shall not result in the dismissal of the petition for the confirmation of
such arbitral award.
(F) The filing of a petition to confirm an arbitral award shall not authorize the filing of a belated
petition to vacate or set aside such award in opposition thereto.
(G) A petition to correct an arbitral award may be included as part of a petition to confirm the
arbitral award or as a petition to confirm that award.

Rule 11.3. Venue. - The petition for confirmation, correction/modification or vacation of a

domestic arbitral award may be filed with Regional Trial Court having jurisdiction over the place
in which one of the parties is doing business, where any of the parties reside or where arbitration
proceedings were conducted.
Rule 11.4. Grounds. –
(A) To vacate an arbitral award. - The arbitral award may be vacated on the following grounds:
a. The arbitral award was procured through corruption, fraud or other undue means;
b. There was evident partiality or corruption in the arbitral tribunal or any of its members;
c. 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 a hearing upon
sufficient cause shown or to hear evidence pertinent and material to the controversy;

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 d. One or more of the arbitrators was disqualified to act as such under the law and willfully
refrained from disclosing such disqualification; or
e. 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 them was not
made.
The award may also be vacated on any or all of the following grounds:
a. The arbitration agreement did not exist, or is invalid for any ground for the revocation of a
contract or is otherwise unenforceable; or
b. A party to arbitration is a minor or a person judicially declared to be incompetent.
The petition to vacate an arbitral award on the ground that the party to arbitration is a minor
or a person judicially declared to be incompetent shall be filed only on behalf of the minor or
incompetent and shall allege that (a) the other party to arbitration had knowingly entered into
a submission or agreement with such minor or incompetent, or (b) the submission to
arbitration was made by a guardian or guardian ad litem who was not authorized to do so by a
competent court.
In deciding the petition to vacate the arbitral award, the court shall disregard any other ground
than those enumerated above.
(B) To correct/modify an arbitral award. - The Court may correct/modify or order the arbitral
tribunal to correct/modify the arbitral award in the following cases:
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;
b. Where the arbitrators have awarded upon a matter not submitted to them, not affecting the
merits of the decision upon the matter submitted;
c. Where the arbitrators have omitted to resolve an issue submitted to them for resolution; or
d. 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.
Rule 11.5. Form of petition. - An application to vacate an arbitral award shall be in the form of a
petition to vacate or as a petition to vacate in opposition to a petition to confirm the same award.
An application to correct/modify an arbitral award may be included in a petition to confirm an
arbitral award or in a petition to vacate in opposition to confirm the same award. When a petition
to confirm an arbitral award is pending before a court, the party seeking to vacate or
correct/modify said award may only apply for those reliefs through a petition to vacate or
correct/modify the award in opposition to the petition to confirm the award provided that such
petition to vacate or correct/modify is filed within thirty (30) days from his receipt of the award. A
petition to vacate or correct/modify an arbitral award filed in another court or in a separate case
before the same court shall be dismissed, upon appropriate motion, as a violation of the rule
against forum-shopping. When a petition to vacate or correct/modify an arbitral award is pending
before a court, the party seeking to confirm said award may only apply for that relief through a
petition to confirm the same award in opposition to the petition to vacate or correct/modify the
award. A petition to confirm or correct/modify an arbitral award filed as separate proceeding in
another court or in a different case before the same court shall be dismissed, upon appropriate
motion, as a violation of the rule against forum shopping. As an alternative to the dismissal of a
second petition for confirmation, vacation or correction/modification of an arbitral award filed in
violation of the non-forum shopping rule, the court or courts concerned may allow the
consolidation of the two proceedings in one court and in one case. Where the petition to confirm
the award and petition to vacate or correct/modify were simultaneously filed by the parties in the
same court or in different courts in the Philippines, upon motion of either party, the court may
order the consolidation of the two cases before either court. In all instances, the petition must be
verified by a person who has knowledge of the jurisdictional facts.
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Rule 11.6. Contents of petition. - The petition must state the following:
a. The addresses of the parties and any change thereof;
b. The jurisdictional issues raised by a party during arbitration proceedings;
c. The grounds relied upon by the parties in seeking the vacation of the arbitral award whether the
petition is a petition for the vacation or setting aside of the arbitral award or a petition in
opposition to a petition to confirm the award; and
d. A statement of the date of receipt of the arbitral award and the circumstances under which it
was received by the petitioner.
Apart from other submissions, the petitioner must attach to the petition the following:
a. An authentic copy of the arbitration agreement;
b. An authentic copy of the arbitral award;
c. A certification against forum shopping executed by the applicant in accordance with Section 5
of Rule 7 of the Rules of Court; and
d. An authentic copy or authentic copies of the appointment of an arbitral tribunal.

Rule 11.7. Notice. - Upon finding that the petition filed under this Rule is sufficient both in form
and in substance, the Court shall cause notice and a copy of the petition to be delivered to the
respondent allowing him to file a comment or opposition thereto within fifteen (15) days from
receipt of the petition. In lieu of an opposition, the respondent may file a petition in opposition to
the petition. The petitioner may within fifteen (15) days from receipt of the petition in opposition
thereto file a reply.

Rule 11.8. Hearing. - If the Court finds from the petition or petition in opposition thereto that
there are issues of fact, it shall require the parties, within a period of not more than fifteen (15)
days from receipt of the order, to simultaneously submit the affidavits of all of their witnesses and
reply affidavits within ten (10) days from receipt of the affidavits to be replied to. There shall be
attached to the affidavits or reply affidavits documents relied upon in support of the statements of
fact in such affidavits or reply affidavits.
If the petition or the petition in opposition thereto is one for vacation of an arbitral award, the
interested party in arbitration may oppose the petition or the petition in opposition thereto for the
reason that the grounds cited in the petition or the petition in opposition thereto, assuming them to
be true, do not affect the merits of the case and may be cured or remedied. Moreover, the
interested party may request the court to suspend the proceedings for vacation for a period of time
and to direct the arbitral tribunal to reopen and conduct a new hearing and take such other action
as will eliminate the grounds for vacation of the award. The opposition shall be supported by a
brief of legal arguments to show the existence of a sufficient legal basis for the opposition.
If the ground of the petition to vacate an arbitral award is that the arbitration agreement did not
exist, is invalid or otherwise unenforceable, and an earlier petition for judicial relief under Rule 3
had been filed, a copy of such petition and of the decision or final order of the court shall be
attached thereto. But if the ground was raised before the arbitral tribunal in a motion to dismiss
filed not later than the submission of its answer, and the arbitral tribunal ruled in favor of its own
jurisdiction as a preliminary question which was appealed by a party to the Regional Trial Court, a
copy of the order, ruling or preliminary award or decision of the arbitral tribunal, the appeal
therefrom to the Court and the order or decision of the Court shall all be attached to the petition.
If the ground of the petition is that the petitioner is an infant or a person judicially declared to be
incompetent, there shall be attached to the petition certified copies of documents showing such
fact. In addition, the petitioner shall show that even if the submission or arbitration agreement was
entered into by a guardian or guardian ad litem, the latter was not authorized by a competent court
to sign such the submission or arbitration agreement.

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 If on the basis of the petition, the opposition, the affidavits and reply affidavits of the parties, the
court finds that there is a need to conduct an oral hearing, the court shall set the case for hearing.
This case shall have preference over other cases before the court, except criminal cases. During the
hearing, the affidavits of witnesses shall take the place of their direct testimonies and they shall
immediately be subject to cross-examination thereon. The Court shall have full control over the
proceedings in order to ensure that the case is heard without undue delay.

Rule 11.9. Court action. - Unless a ground to vacate an arbitral award under Rule 11.5 above is
fully established, the court shall confirm the award.
An arbitral award shall enjoy the presumption that it was made and released in due course of
arbitration and is subject to confirmation by the court.
In resolving the petition or petition in opposition thereto in accordance with these Special ADR
Rules, the court shall either confirm or vacate the arbitral award. The court shall not disturb the
arbitral tribunal’s determination of facts and/or interpretation of law.
In a petition to vacate an award or in petition to vacate an award in opposition to a petition to
confirm the award, the petitioner may simultaneously apply with the Court to refer the case back
to the same arbitral tribunal for the purpose of making a new or revised award or to direct a new
hearing, or in the appropriate case, order the new hearing before a new arbitral tribunal, the
members of which shall be chosen in the manner provided in the arbitration agreement or
submission, or the law. 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.
In referring the case back to the arbitral tribunal or to a new arbitral tribunal pursuant to Rule 24 of
Republic Act No. 876, the court may not direct it to revise its award in a particular way, or to
revise its findings of fact or conclusions of law or otherwise encroach upon the independence of an
arbitral tribunal in the making of a final award.

L.8) INTERNATIONAL COMMERCIAL ARBITRATION AWARDS

Autea Handbook (Chapter 9)

a.) Recognition and Enforcement
b.) Refusal of Recognition and Enforcement of ICA Awards
c.) Setting Aside of ICA Awards
1985 Model Law
Article 34. Application for setting aside as exclusive recourse against arbitral award
1. Recourse to a court against an arbitral award may be made only by an application for setting
aside in accordance with paragraphs (2) and (3) of this article.
2. An arbitral award may be set aside by the court specified in article 6 only if:
(a) the party making the application furnishes proof that:
(i) a party to the arbitration agreement referred to in article 7 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 this State; or
(ii) the party making the application was not given proper notice of the appointment of
an arbitrator or of the arbitral proceedings or was otherwise unable to present his
case; or
(iii) the award deals with a 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, provided that, if the decisions on matters submitted to

88
 arbitration can be separated from those not so submitted, only that part of the award
which contains decisions on matters not submitted to arbitration may be set aside; or
(iv) 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 this Law from which the parties cannot derogate, or, failing such
agreement, was not in accordance with this Law; or
(b) the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration under the
law of this State; or
(ii) the award is in conflict with the public policy of this State.
3. 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 that award or, if a request had
been made under article 33, from the date on which that request had been disposed of by the
arbitral tribunal.
4. 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.

Article 35. Recognition and enforcement

1. An arbitral award, irrespective of the country in which it was made, shall be recognized as
binding and, upon application in writing to the competent court, shall be enforced subject to
the provisions of this article and of article 36.
2. The party relying on an award or applying for its enforcement shall supply the duly
authenticated original award or a duly certified copy thereof, and the original arbitration
agreement referred to in article 7 or a duly certified copy thereof. If the award or agreement is
not made in an official language of this State, the party shall supply a duly certified
translation thereof into such language.
Article 36. Grounds for refusing recognition or enforcement
1. Recognition or enforcement of an arbitral award, irrespective of the country in which it was
made, may be refused only:
(a) at the request of the party against whom it is invoked, if that party furnishes to the
competent court where recognition or enforcement is sought proof that:
(i) a party to the arbitration agreement referred to in article 7 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 country
where the award was made; or
(ii) the party against whom the award is invoked was not given proper notice of the
appointment of an arbitrator or of the arbitrator proceedings or was otherwise
unable to present his case; or
(iii) the award deals with a dispute not contemplated by or not falling within the
terms of the submission to arbitration, or it 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,
that part of the award which contains decisions on matters submitted to
arbitration may be recognized and enforced; or
(iv) 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 took place; or

89
 (v) the award has not yet 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; or
(b) if the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration under
the law of this State; or
(ii) the recognition or enforcement of the award would be contrary to the public
policy of this State.
2. If an application for setting aside or suspension of an award has been made to a court referred
to in paragraph (1) (a) (v) of this article, the court where recognition or enforcement is sought
may, if it considers it proper, adjourn its decision and may also, on the application of the
party claiming recognition or enforcement of the award, order the other party to provide
appropriate security.

2006 Model Law

Article 35. Recognition and enforcement
(1) An arbitral award, irrespective of the country in which it was made, shall be recognized as
binding and, upon application in writing to the competent court, shall be enforced subject to
the provisions of this article and of article 36.
(2) The party relying on an award or applying for its enforcement shall supply the original award
or a copy thereof. If the award is not made in an offi cial language of this State, the court may
request the party to supply a translation thereof into such language.

Article 36. Grounds for refusing recognition or enforcement

(1) Recognition or enforcement of an arbitral award, irrespective of the country in which it was
made, may be refused only: (a) at the request of the party against whom it is invoked, if that
party furnishes to the competent court where recognition or enforcement is sought proof that:
(i) a party to the arbitration agreement referred to in article 7 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 country where the award was made; or (ii) 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 unable to present his case; or (iii) the
award deals with a dispute not contemplated by or not falling within the terms of the
submission to arbitration, or it 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, that part of the award which contains decisions
on matters submitted to arbitration may be recognized and enforced; or (iv) 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 took place; or (v) the award has not yet 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; or (b) if the court fi nds that: (i) the subject-matter of the dispute is not
capable of settlement by arbitration under the law of this State; or (ii) the recognition or
enforcement of the award would be contrary to the public policy of this State.
(2) If an application for setting aside or suspension of an award has been made to a court referred
to in paragraph (1)(a)(v) of this article, the court where recognition or enforcement is sought
may, if it considers it proper, adjourn its decision and may also, on the application of the party
claiming recognition or enforcement of the award, order the other party to provide appropriate
security.

IRR of RA 9285
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Article 4.34. Application for Setting Aside an Exclusive Recourse 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:
(i) the party making the application furnishes proof that:
(aa) 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
(bb) the party making the application was not given proper notice of the appointment of
an arbitrator or of the arbitral proceedings or was otherwise unable to present his
case; or
(cc) 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
(dd) 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
(ii) the Court finds that:
(aa) the subject-matter of the dispute is not capable of settlement by arbitration under
the law of the Philippines; or
(bb) 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 5.34. Application for Setting Aside an Exclusive Recourse against Arbitral 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.

Special ADR Rules (Rule 12)

Rule 12.1. Who may request recognition and enforcement or setting aside. - Any party to an
international commercial arbitration in the Philippines may petition the proper court to recognize
and enforce or set aside an arbitral award.

Rule 12.2. When to file petition. -

(A) Petition to recognize and enforce. - The petition for enforcement and recognition of an
arbitral award may be filed anytime from receipt of the award. If, however, a timely petition
to set aside an arbitral award is filed, the opposing party must file therein and in opposition

91
 thereto the petition for recognition and enforcement of the same award within the period for
filing an opposition.
(B) Petition to set aside. - The petition to set aside an arbitral award may only be filed within
three (3) months from the time the petitioner receives a copy thereof. If a timely request is
made with the arbitral tribunal for correction, interpretation or additional award, the three (3)
month period shall be counted from the time the petitioner receives the resolution by the
arbitral tribunal of that request. A petition to set aside can no longer be filed after the lapse of
the three (3) month period. The dismissal of a petition to set aside an arbitral award for being
time-barred shall not automatically result in the approval of the petition filed therein and in
opposition thereto for recognition and enforcement of the same award. Failure to file a
petition to set aside shall preclude a party from raising grounds to resist enforcement of the
award.

Rule 12.3. Venue. - A petition to recognize and enforce or set aside an arbitral award may, at the
option of the petitioner, be filed with the Regional Trial Court:
(a) where arbitration proceedings were conducted;
(b) where any of the assets to be attached or levied upon is located;
(c) where the act to be enjoined will be or is being performed;
(d) where any of the parties to arbitration resides or has its place of business; or
(e) in the National Capital Judicial Region.

Rule 12.4. Grounds to set aside or resist enforcement. - The court may set aside or refuse the
enforcement of the arbitral award only if:
a. 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 it or, failing any indication
thereof, under Philippine law; or
(ii) The party making the application to set aside or resist enforcement was not given proper
notice of the appointment of an arbitrator or of the arbitral proceedings or was otherwise
unable to present his case; or
(iii) The award deals with a 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; provided that, if the decisions on matters submitted to
arbitration can be separated from those not so submitted, only that part of the award
which contains decisions on matters not submitted to arbitration may be set aside or only
that part of the award which contains decisions on matters submitted to arbitration may
be enforced; or
(iv) 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 Philippine law from which the parties cannot derogate, or, failing such agreement, was
not in accordance with Philippine law;
b. The court finds that:
(i) The subject-matter of the dispute is not capable of settlement by arbitration under the law
of the Philippines; or
(ii) The recognition or enforcement of the award would be contrary to public policy. In
deciding the petition, the Court shall disregard any other ground to set aside or enforce
the arbitral award other than those enumerated above. The petition to set-aside or a
pleading resisting the enforcement of an arbitral award on the ground that a party was a
minor or an incompetent shall be filed only on behalf of the minor or incompetent and
shall allege that (a) the other party to arbitration had knowingly entered into a
submission or agreement with such minor or incompetent, or (b) the submission to

92
 arbitration was made by a guardian or guardian ad litem who was not authorized to do so
by a competent court.

Rule 12.5. Exclusive recourse against arbitral award. - Recourse to a court against an arbitral
award shall be made only through a petition to set aside the arbitral award and on grounds
prescribed by the law that governs international commercial arbitration. Any other recourse from
the arbitral award, such as by appeal or petition for review or petition for certiorari or otherwise,
shall be dismissed by the court.

Rule 12.6. Form. - The application to recognize and enforce or set aside an arbitral award,
whether made through a petition to recognize and enforce or to set aside or as a petition to set
aside the award in opposition thereto, or through a petition to set aside or petition to recognize and
enforce in opposition thereto, shall be verified by a person who has personal knowledge of the
facts stated therein. When a petition to recognize and enforce an arbitral award is pending, the
application to set it aside, if not yet time-barred, shall be made through a petition to set aside the
same award in the same proceedings. When a timely petition to set aside an arbitral award is filed,
the opposing party may file a petition for recognition and enforcement of the same award in
opposition thereto.

Rule 12.7. Contents of petition. –

(A) Petition to recognize and enforce. - The petition to recognize and enforce or petition to set
aside in opposition thereto, or petition to set aside or petition to recognize and enforce in
opposition thereto, shall state the following:
(a) The addresses of record, or any change thereof, of the parties to arbitration;
(b) A statement that the arbitration agreement or submission exists;
(c) The names of the arbitrators and proof of their appointment;
(d) A statement that an arbitral award was issued and when the petitioner received it; and
(e) The relief sought. Apart from other submissions, the petitioner shall attach to the petition
the following:
a. An authentic copy of the arbitration agreement;
b. An authentic copy of the arbitral award;
c. A verification and certification against forum shopping executed by the applicant in
accordance with Sections 4 and 5 of Rule 7 of the Rules of Court; and d. An authentic
copy or authentic copies of the appointment of an arbitral tribunal.
(B) Petition to set aside. - The petition to set aside or petition to set aside in opposition to a
petition to recognize and enforce an arbitral award in international commercial arbitration
shall have the same contents as a petition to recognize and enforce or petition to recognize
and enforce in opposition to a petition to set aside an arbitral award. In addition, the said
petitions should state the grounds relied upon to set it aside. Further, if the ground of the
petition to set aside is that the petitioner is a minor or found incompetent by a court, there
shall be attached to the petition certified copies of documents showing such fact. In addition,
the petitioner shall show that even if the submission or arbitration agreement was entered into
by a guardian or guardian ad litem, the latter was not authorized by a competent court to sign
such the submission or arbitration agreement. In either case, if another court was previously
requested to resolve and/or has resolved, on appeal, the arbitral tribunal’s preliminary
determination in favor of its own jurisdiction, the petitioner shall apprise the court before
which the petition to recognize and enforce or set aside is pending of the status of the appeal
or its resolution.

Rule 12.8. Notice. - Upon finding that the petition filed under this Rule is sufficient both in form
and in substance, the court shall cause notice and a copy of the petition to be delivered to the
93
respondent directing him to file an opposition thereto within fifteen (15) days from receipt of the
petition. In lieu of an opposition, the respondent may file a petition to set aside in opposition to a
petition to recognize and enforce, or a petition to recognize and enforce in opposition to a petition
to set aside. The petitioner may within fifteen (15) days from receipt of the petition to set aside in
opposition to a petition to recognize and enforce, or from receipt of the petition to recognize and
enforce in opposition to a petition to set aside, file a reply.

Rule 12.9. Submission of documents. - If the court finds that the issue between the parties is
mainly one of law, the parties may be required to submit briefs of legal arguments, not more than
fifteen (15) days from receipt of the order, sufficiently discussing the legal issues and the legal
basis for the relief prayed for by each of them. If the court finds from the petition or petition in
opposition thereto that there are issues of fact relating to the ground(s) relied upon for the court to
set aside, it shall require the parties within a period of not more than fifteen (15) days from receipt
of the order simultaneously to submit the affidavits of all of their witnesses and reply affidavits
within ten (10) days from receipt of the affidavits to be replied to. There shall be attached to the
affidavits or reply affidavits, all documents relied upon in support of the statements of fact in such
affidavits or reply affidavits.

Rule 12.10. Hearing. - If on the basis of the petition, the opposition, the affidavits and reply
affidavits of the parties, the court finds that there is a need to conduct an oral hearing, the court
shall set the case for hearing. This case shall have preference over other cases before the court,
except criminal cases. During the hearing, the affidavits of witnesses shall take the place of their
direct testimonies and they shall immediately be subject to cross-examination thereon. The court
shall have full control over the proceedings in order to ensure that the case is heard without undue
delay.

Rule 12.11. Suspension of proceedings to set aside. - The court when asked to set aside an
arbitral award may, where appropriate and upon request by a party, suspend the proceedings for a
period of time determined by it 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. The court, in referring the case back to the arbitral tribunal may not
direct it to revise its award in a particular way, or to revise its findings of fact or conclusions of
law or otherwise encroach upon the independence of an arbitral tribunal in the making of a final
award. The court when asked to set aside an arbitral award may also, when the preliminary ruling
of an arbitral tribunal affirming its jurisdiction to act on the matter before it had been appealed by
the party aggrieved by such preliminary ruling to the court, suspend the proceedings to set aside to
await the ruling of the court on such pending appeal or, in the alternative, consolidate the
proceedings to set aside with the earlier appeal.

Rule 12.12. Presumption in favor of confirmation. - It is presumed that an arbitral award was
made and released in due course and is subject to enforcement by the court, unless the adverse
party is able to establish a ground for setting aside or not enforcing an arbitral award.

Rule 12.13. Judgment of the court. - Unless a ground to set aside an arbitral award under Rule
12.4 above is fully established, the court shall dismiss the petition. If, in the same proceedings,
there is a petition to recognize and enforce the arbitral award filed in opposition to the petition to
set aside, the court shall recognize and enforce the award. In resolving the petition or petition in
opposition thereto in accordance with the Special ADR Rules, the court shall either set aside or
enforce the arbitral award. The court shall not disturb the arbitral tribunal’s determination of facts
and/or interpretation of law.

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 Rule 12.14. Costs. - Unless otherwise agreed upon by the parties in writing, at the time the case is
submitted to the court for decision, the party praying for recognition and enforcement or setting
aside of an arbitral award shall submit a statement under oath confirming the costs he has incurred
only in the proceedings for such recognition and enforcement or setting aside. The costs shall
include the attorney’s fees the party has paid or is committed to pay to his counsel of record. The
prevailing party shall be entitled to an award of costs, which shall include reasonable attorney’s
fees of the prevailing party against the unsuccessful party. The court shall determine the
reasonableness of the claim for attorney’s fees.
L.9) FOREIGN AWARDS

Autea Handbook (Chapter 10)

a.) Recognition and Enforcement

b.) Refusal of Recognition and Enforcement of Foreign Awards

1958 New York Convention

Article I
1. This Convention shall apply to the recognition and enforcement of arbitral awards made in the
territory of a State other than the State where the recognition and enforcement of such awards
are sought, and arising out of differences between persons, whether physical or legal. It shall
also apply to arbitral awards not considered as domestic awards in the State where their
recognition and enforcement are sought.
2. The term “arbitral awards” shall include not only awards made by arbitrators appointed for
each case but also those made by permanent arbitral bodies to which the parties have
submitted.
3. When signing, ratifying or acceding to this Convention, or notifying extension under article X
hereof, any State may on the basis of reciprocity declare that it will apply the Convention to
the recognition and enforcement of awards made only in the territory of another Contracting
State. It may also declare that it will apply the Convention only to differences arising out of
legal relationships, whether contractual or not, which are considered as commercial under the
national law of the State making such declaration.

Article III
Each Contracting State shall recognize arbitral awards as binding and enforce them in accordance
with the rules of procedure of the territory where the award is relied upon, under the conditions
laid down in the following articles. There shall not be imposed substantially more onerous
conditions or higher fees or charges on the recognition or enforcement of arbitral awards to which
this Convention applies than are imposed on the recognition or enforcement of domestic arbitral
awards.

Article IV
1. To obtain the recognition and enforcement mentioned in the preceding article, the party
applying for recognition and enforcement shall, at the time of the application, supply:
(a) The duly authenticated original award or a duly certified copy thereof;
(b) The original agreement referred to in article II or a duly certified copy thereof.
2. If the said award or agreement is not made in an official language of the country in which the
award is relied upon, the party applying for recognition and enforcement of the award shall
produce a translation of these documents into such language. The translation shall be certified
by an official or sworn translator or by a diplomatic or consular agent.

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Article V
1. Recognition and enforcement of the award may be refused, at the request of the party against
whom it is invoked, only if that party furnishes to the competent authority where the
recognition and enforcement is sought, proof that:
(a) The parties to the agreement referred to in article II were, 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 the arbitrator or of the arbitration proceedings or was otherwise unable to
present his case; or
(c) The award deals with a difference not contemplated by or not . falling within the terms
of the submission to arbitration, or it 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, 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 authority or the arbitral procedure as 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 took place; or
(e) The award has not yet become binding on the parties, or has been set aside or suspended
by a competent authority of the country in which, or under the law of which, that award
was made.
2. Recognition and enforcement of an arbitral award may also be refused if the competent
authority in the country where recognition and enforcement is sought finds that:
(a) The subject matter of the difference is not capable of settlement by arbitration under the
law of that country; or
(b) The recognition or enforcement of the award would be contrary to the public policy of
that country.

Article VI
If an application for the setting aside or suspension of the award has been made to a competent
authority referred to in article V (1) (e), the authority before which the award is sought to be relied
upon may, if it considers it proper, adjourn the decision on the enforcement of the award and may
also, on the application of the party claiming enforcement of the award, order the other party to
give suitable security.

Article VII
1. The provisions of the present Convention shall not affect the validity of multilateral or
bilateral agreements concerning the recognition and enforcement of arbitral awards entered
into by the Contracting States nor deprive any interested party of any right he may have to
avail himself of an arbitral award in the manner and to the extent allowed by the law or the
treaties of the country where such award is sought to be relied upon.
2. The Geneva Protocol on Arbitration Clauses of 1923 and the Geneva Convention on the
Execution of Foreign Arbitral Awards of 1927 shall cease to have effect between Contracting
States on their becoming bound and to the extent that they become bound, by this
Convention.

RA 9285
SEC. 42. Application of the New York Convention. - The New York Convention shall govern the
recognition and enforcement of arbitral awards covered by the said Convention.
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The recognition and enforcement of such arbitral awards shall be filled with regional trial court in
accordance with the rules of procedure to be promulgated by the Supreme Court. Said procedural
rules shall provide that the party relying on the award or applying for its enforcement shall file
with the court the original or authenticated copy of the award and the arbitration agreement. If the
award or agreement is not made in any of the official languages, the party shall supply a duly
certified translation thereof into any of such languages.
The applicant shall establish that the country in which foreign arbitration award was made is a
party to the New York Convention.
If the application for rejection or suspension of enforcement of an award has been made, the
regional trial court may, if it considers it proper, vacate its decision and may also, on the
application of the party claiming recognition or enforcement of the award, order the party to
provide appropriate security.
SEC. 43. Recognition and Enforcement of Foreign Arbitral Awards Not Covered by the New
York Convention. - 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, grounds of comity and reciprocity, recognize and enforce a non-
convention award as a convention award.
SEC. 44. Foreign Arbitral Award Not Foreign Judgment. - 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 a judgment of a foreign court.
A foreign arbitral award, when confirmed by the regional trial court, shall be enforced as a foreign
arbitral award and not as a judgment of a foreign court.
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.
SEC. 45. Rejection of a Foreign Arbitral Award. - A party to a foreign arbitration proceeding
may oppose an application for recognition and enforcement of the arbitral award in accordance
with the procedural rules to be promulgated by the Supreme Court only on those grounds
enumerated under Article V of the New York Convention. Any other ground raised shall be
disregarded by the regional trial court.

IRR of RA 9285
Article 4.35. Recognition and Enforcement.
(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.
(i) 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
(ii) 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 copy of the award and the original arbitration
agreement or a duly authenticated copy thereof. If the award or agreement is not made in an
97
 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 4.36. Grounds for Refusing Recognition or Enforcement.

A. 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 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, 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. 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 of comity and reciprocity and
may be treated as a convention award. If not so treated and if no comity or reciprocity

98
 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 4.37. Appeal from Court Decision on Arbitral Awards. 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.
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.
Any stipulation by the parties that the arbitral tribunal’s award or decision shall be final, and
therefore not appealable, is valid. Such stipulation carries with it a waiver of the right to
appeal from an arbitral award but without prejudice to judicial review by way of certiorari
under Rule 65 of the Rules of Court.

Special ADR Rules (Rule 13)

Rule 13.1. Who may request recognition and enforcement. - Any party to a foreign
arbitration may petition the court to recognize and enforce a foreign arbitral award.

Rule 13.2. When to petition. - At any time after receipt of a foreign arbitral award, any party
to arbitration may petition the proper Regional Trial Court to recognize and enforce such
award.

Rule 13.3. Venue. - The petition to recognize and enforce a foreign arbitral award shall be
filed, at the option of the petitioner, with the Regional Trial Court (a) where the assets to be
attached or levied upon is located, (b) where the act to be enjoined is being performed, (c) in
the principal place of business in the Philippines of any of the parties, (d) if any of the parties
is an individual, where any of those individuals resides, or (e) in the National Capital Judicial
Region.

Rule 13.4. Governing law and grounds to refuse recognition and enforcement. - The
recognition and enforcement of a foreign arbitral award shall be governed by the 1958 New
York Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the "New
York Convention") and this Rule. The court may, upon grounds of comity and reciprocity,
recognize and enforce a foreign arbitral award made in a country that is not a signatory to the
New York Convention as if it were a Convention Award.

99
A Philippine court shall not set aside a foreign arbitral award but may refuse it recognition
and enforcement on any or all of the following grounds:
a. The party making the application to refuse recognition and enforcement of the award
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 it or, failing
any indication thereof, under the law of the country where the award was made; or
(ii) The party making the application was not given proper notice of the appointment of
an arbitrator or of the arbitral proceedings or was otherwise unable to present his
case; or
(iii) The award deals with a 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; provided that, if the decisions on matters submitted
to arbitration can be separated from those not so submitted, only that part of the
award which contains decisions on matters not submitted to arbitration may be set
aside; or
(iv) 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 arbitration took place; or
(v) The award has not yet become binding on the parties or has been set aside or
suspended by a court of the country in which that award was made; or
b. The court finds that:
(i) The subject-matter of the dispute is not capable of settlement or resolution by
arbitration under Philippine law; or
(ii) The recognition or enforcement of the award would be contrary to public policy.
The court shall disregard any ground for opposing the recognition and enforcement of a
foreign arbitral award other than those enumerated above.
Rule 13.5. Contents of petition. - The petition shall state the following:
a. The addresses of the parties to arbitration;
b. In the absence of any indication in the award, the country where the arbitral award was
made and whether such country is a signatory to the New York Convention; and
c. The relief sought.
Apart from other submissions, the petition shall have attached to it the following:
a. An authentic copy of the arbitration agreement; and
b. An authentic copy of the arbitral award. If the foreign arbitral award or agreement to
arbitrate or submission is not made in English, the petitioner shall also attach to the
petition a translation of these documents into English. The translation shall be certified
by an official or sworn translator or by a diplomatic or consular agent.

Rule 13.6. Notice and opposition. - Upon finding that the petition filed under this Rule is
sufficient both in form and in substance, the court shall cause notice and a copy of the petition
to be delivered to the respondent allowing him to file an opposition thereto within thirty (30)
days from receipt of the notice and petition.

Rule 13.7. Opposition. - The opposition shall be verified by a person who has personal
knowledge of the facts stated therein.

Rule 13.8. Submissions. - If the court finds that the issue between the parties is mainly one of
law, the parties may be required to submit briefs of legal arguments, not more than thirty (30)
days from receipt of the order, sufficiently discussing the legal issues and the legal bases for
100
the relief prayed for by each other. If, from a review of the petition or opposition, there are
issues of fact relating to the ground/s relied upon for the court to refuse enforcement, the
court shall, motu proprio or upon request of any party, require the parties to simultaneously
submit the affidavits of all of their witnesses within a period of not less than fifteen (15) days
nor more than thirty (30) days from receipt of the order. The court may, upon the request of
any party, allow the submission of reply affidavits within a period of not less than fifteen (15)
days nor more than thirty (30) days from receipt of the order granting said request. There
shall be attached to the affidavits or reply affidavits all documents relied upon in support of
the statements of fact in such affidavits or reply affidavits.

Rule 13.9. Hearing. - The court shall set the case for hearing if on the basis of the foregoing
submissions there is a need to do so. The court shall give due priority to hearings on petitions
under this Rule. During the hearing, the affidavits of witnesses shall take the place of their
direct testimonies and they shall immediately be subject to cross-examination. The court shall
have full control over the proceedings in order to ensure that the case is heard without undue
delay.

Rule 13.10. Adjournment/deferment of decision on enforcement of award. - The court

before which a petition to recognize and enforce a foreign arbitral award is pending, may
adjourn or defer rendering a decision thereon if, in the meantime, an application for the
setting aside or suspension of the award has been made with a competent authority in the
country where the award was made. Upon application of the petitioner, the court may also
require the other party to give suitable security.

Rule 13.11. Court action. - It is presumed that a foreign arbitral award was made and
released in due course of arbitration and is subject to enforcement by the court. The court
shall recognize and enforce a foreign arbitral award unless a ground to refuse recognition or
enforcement of the foreign arbitral award under this rule is fully established. The decision of
the court recognizing and enforcing a foreign arbitral award is immediately executory. In
resolving the petition for recognition and enforcement of a foreign arbitral award in
accordance with these Special ADR Rules, the court shall either [a] recognize and/or enforce
or [b] refuse to recognize and enforce the arbitral award. The court shall not disturb the
arbitral tribunal’s determination of facts and/or interpretation of law.

Rule 13.12. Recognition and enforcement of non-convention award. - The court shall, only
upon grounds provided by these Special ADR Rules, recognize and enforce a foreign arbitral
award made in a country not a signatory to the New York Convention when such country
extends comity and reciprocity to awards made in the Philippines. If that country does not
extend comity and reciprocity to awards made in the Philippines, the court may nevertheless
treat such award as a foreign judgment enforceable as such under Rule 39, Section 48, of the
Rules of Court.

Rule 20.1. Filing fee in petitions or counter-petitions to confirm or enforce, vacate or set
aside arbitral award or for the enforcement of a mediated settlement agreement. - The filing
fee for filing a petition to confirm or enforce, vacate or set aside an arbitral award in a
domestic arbitration or in an international commercial arbitration, or enforce a mediated
settlement agreement shall be as follows:
PhP 10,000.00 - if the award does not exceed PhP 1,000,000.00
PhP 20,000.00 - if the award does not exceed PhP 20,000,000.00
PhP 30,000.00 - if the award does not exceed PhP 50,000,000.00
PhP 40,000.00 - if the award does not exceed PhP 100,000,000.00
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 PhP 50,000.00 - if the award exceeds PhP 100,000,000.00
The minimal filing fee payable in "all other actions not involving property" shall be paid by
the petitioner seeking to enforce foreign arbitral awards under the New York Convention in
the Philippines.

L.10) SPECIAL PROCEEDINGS

RA 9285
SEC. 47. Venue and Jurisdiction. - Proceedings for recognition and enforcement of an
arbitration agreement or for vacation, setting aside, correction or modification of an arbitral
award, and any application with a court for arbitration assistance and supervision shall be
deemed as special proceedings and shall be filled with the regional trial court (i) where
arbitration proceedings are conducted; (ii) where the asset to be attached or levied upon, or the
act to be enjoined is located; (iii) where any of the parties to the dispute resides or has his place
of business; or (iv) in the National Judicial Capital Region, at the option of the applicant.
RA 876
Section 22. Arbitration deemed a special proceeding. - 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.

Special ADR Rules

Rule 1.2. Nature of the proceedings. - All proceedings under the Special ADR Rules are special
proceedings.
Rule 20.1 – (Pls. see above)

L.11) SUMMARY PROCEEDINGS

Special ADR Rules

Rule 1.3. Summary proceedings in certain cases. - The proceedings in the following instances
are summary in nature and shall be governed by this provision:
a. Judicial Relief Involving the Issue of Existence, Validity or Enforceability of the Arbitration
Agreement;
b. Referral to ADR;
c. Interim Measures of Protection;
d. Appointment of Arbitrator;
e. Challenge to Appointment of Arbitrator;
f. Termination of Mandate of Arbitrator;
g. Assistance in Taking Evidence;
h. Confidentiality/Protective Orders; and
i. Deposit and Enforcement of Mediated Settlement Agreements.
(A) Service and filing of petition in summary proceedings. - The petitioner shall serve, either by
personal service or courier, a copy of the petition upon the respondent before the filing
thereof. Proof of service shall be attached to the petition filed in court. For personal service,
proof of service of the petition consists of the affidavit of the person who effected service,
stating the time, place and manner of the service on the respondent. For service by courier,

102
 proof of service consists of the signed courier proof of delivery. If service is refused or has
failed, the affidavit or delivery receipt must state the circumstances of the attempted service
and refusal or failure thereof.
(B) Notice. - Except for cases involving Referral to ADR and Confidentiality/Protective Orders
made through motions, the court shall, if it finds the petition sufficient in form and
substance, send notice to the parties directing them to appear at a particular time and date
for the hearing thereof which shall be set no later than five (5) days from the lapse of the
period for filing the opposition or comment. The notice to the respondent shall contain a
statement allowing him to file a comment or opposition to the petition within fifteen (15)
days from receipt of the notice. The motion filed pursuant to the rules on Referral to ADR
or Confidentiality/Protective Orders shall be set for hearing by the movant and contain a
notice of hearing that complies with the requirements under Rule 15 of the Rules of Court
on motions.
(C) Summary hearing. - In all cases, as far as practicable, the summary hearing shall be
conducted in one (1) day and only for purposes of clarifying facts. Except in cases involving
Referral to ADR or Confidentiality/Protective Orders made through motions, it shall be the
court that sets the petition for hearing within five (5) days from the lapse of the period for
filing the opposition or comment.
(D) Resolution. - The court shall resolve the matter within a period of thirty (30) days from the
day of the hearing.

Rule 1.9. No summons. - In cases covered by the Special ADR Rules, a court acquires authority
to act on the petition or motion upon proof of jurisdictional facts, i.e., that the respondent was
furnished a copy of the petition and the notice of hearing.
(A) Proof of service. - A proof of service of the petition and notice of hearing upon respondent
shall be made in writing by the server and shall set forth the manner, place and date of
service.
(B) Burden of proof. - The burden of showing that a copy of the petition and the notice of
hearing were served on the respondent rests on the petitioner. The technical rules on service
of summons do not apply to the proceedings under the Special ADR Rules. In instances
where the respondent, whether a natural or a juridical person, was not personally served with
a copy of the petition and notice of hearing in the proceedings contemplated in the first
paragraph of Rule 1.3 (B), or the motion in proceedings contemplated in the second
paragraph of Rule 1.3 (B), the method of service resorted to must be such as to reasonably
ensure receipt thereof by the respondent to satisfy the requirement of due process.
(NOTE: No summons required)

a.) Non-Summary

Special ADR Rules

Rule 1.8. Service and filing of pleadings, motions and other papers in non-summary
proceedings. - The initiatory pleadings shall be filed directly with the court. The court will
then cause the initiatory pleading to be served upon the respondent by personal service or
courier. Where an action is already pending, pleadings, motions and other papers shall be
filed and/or served by the concerned party by personal service or courier. Where courier
services are not available, resort to registered mail is allowed. (A) Proof of filing. - The
filing of a pleading shall be proved by its existence in the record of the case. If it is not in
the record, but is claimed to have been filed personally, the filing shall be proved by the
written or stamped acknowledgment of its filing by the clerk of court on a copy of the same;
if filed by courier, by the proof of delivery from the courier company. (B) Proof of service.
- Proof of personal service shall consist of a written admission by the party served, or the
103
 official return of the server, or the affidavit of the party serving, containing a full statement
of the date, place and manner of service. If the service is by courier, proof thereof shall
consist of an affidavit of the proper person, stating facts showing that the document was
deposited with the courier company in a sealed envelope, plainly addressed to the party at
his office, if known, otherwise at his residence, with postage fully pre-paid, and with
instructions to the courier to immediately provide proof of delivery. (C) Filing and service
by electronic means and proof thereof. - Filing and service of pleadings by electronic
transmission may be allowed by agreement of the parties approved by the court. If the filing
or service of a pleading or motion was done by electronic transmission, proof of filing and
service shall be made in accordance with the Rules on Electronic Evidence.

b.) No-Summons

Special ADR Rules, Rule 1.9. No summons. - (Pls. see above)

L.12) CORRECTION AND INTERPRETATION OF AWARDS

1985 Model Law

Article 33. Correction of interpretation of award; additional award
1. Within thirty days of receipt of the award, unless another period of time has been agreed
upon by the parties:
(a) a party, with notice to the other party, may request the arbitral tribunal to correct in the
award any errors in computation, any clerical or typographical errors or any errors of
similar nature;
(b) if so agreed by the parties, a party, 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 correction or give
the interpretation within thirty days of receipt of the request. The interpretation shall
form part of the award.
2. The arbitral tribunal may correct any error of the type referred to in paragraph (1) (a) of this
article on its own initiative within thirty days of the day of the award.
3. Unless otherwise agreed by the parties, a party, with notice to the other party, may request,
within thirty 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
days.
4. The arbitral tribunal may extend, if necessary, the period of time within which it shall make
a correction, interpretation or an additional award under paragraph (1) or (3) of this article.
5. The provisions of article 31 shall apply to a correction or interpretation of the award or to an
additional award.

RA 876
Section 25. Grounds for modifying or correcting 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

104
 (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.

IRR of RA 9285
Article 4.33. 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:
(i) 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;
(ii) A party may, if 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 5.33. 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. (i) 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 (ii) 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.
(b) 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 the date of the award.
(c) 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.
(d) 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.
(e) 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.

M.) LEGAL REPRESENTATION IN ARBITRATION PROCEEDINGS

105
RA 9285
SEC. 22. Legal Representation in International Arbitration. - In international arbitration
conducted in the Philippines, a party may be presented by any person of his 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 appears.

RA 876
Section 12. Procedure by arbitrators. - 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.
IRR of RA 9285
Article 4.40. Legal Representation in International Commercial Arbitration. 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 5.41. Legal Representation in Domestic Arbitration.

(a) In domestic arbitration conducted in the Philippines, a party may be represented by any
person of his/her/its 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

106
 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.

N.) INTERPRETATION
RA 9285
SEC. 25. Interpretation of the Act. - In interpreting the Act, the court shall have due regard to
the policy of the law in favor of arbitration. Where action is commenced by or against multiple
parties, one or more of whom are 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.

2006 Model Law

Article 2 A. International origin and general principles
(1) In the interpretation of this Law, regard is to be had to its international origin and to the need
to promote uniformity in its application and the observance of good faith.
(2) Questions concerning matters governed by this Law which are not expressly settled in it are
to be settled in conformity with the general principles on which this Law is based.

IRR of RA 9285
Article 4.2. Rules of Interpretation.
(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 its interpretation. 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.
Special ADR Rules
Rule 1.13. Spirit and intent of the Special ADR Rules. – In situations where no specific rule is
provided under the Special ADR Rules, the court shall resolve such matter summarily and be
guided by the spirit and intent of the Special ADR Rules and the ADR Laws.

107
 Rule 2.1. General policies. - It is the policy of the State to actively promote the use of various
modes of ADR and to respect party autonomy or the freedom of the parties to make their own
arrangements in the resolution of disputes with the greatest cooperation of and the least
intervention from the courts. To this end, the objectives of the Special ADR Rules are to
encourage and promote the use of ADR, particularly arbitration and mediation, as an important
means to achieve speedy and efficient resolution of disputes, impartial justice, curb a litigious
culture and to de-clog court dockets.

O.) ROLE OF COURTS

PIArb Handbook (Chapter 16)

IRR of RA 9285
Rule 4.6. No reconsideration, appeal or certiorari. - An order referring the dispute to arbitration
shall be immediately executory and shall not be subject to a motion for reconsideration, appeal or
petition for certiorari. An order denying the request to refer the dispute to arbitration shall not be
subject to an appeal, but may be the subject of a motion for reconsideration and/or a petition for
certiorari.
Special ADR Rules
Rule 3.1. When judicial relief is available. - The judicial relief provided in Rule 3, whether
resorted to before or after commencement of arbitration, shall apply only when the place of
arbitration is in the Philippines.

O.1) ROLE OF COURTS (Prior to Arbitration)

a.) Issue of Existence, validity and Enforceability of the Arbitration Agreement
1985 Model Law
Article 8. Arbitration agreement and substantive claim before court
(1) A court before which an action is brought in a matter which is the subject of an
arbitration agreement shall, if a party so requests not later than when submitting his
first statement on the substance of the dispute, refer the parties to arbitration unless it
finds that the agreement is real and void, inoperative or incapable of being performed.

Special ADR Rules

Rule 3.2. Who may file petition. - Any party to an arbitration agreement may petition the
appropriate court to determine any question concerning the existence, validity and
enforceability of such arbitration agreement serving a copy thereof on the respondent in
accordance with Rule 1.4 (A).

Rule 3.8. Court action. - In resolving the petition, the court must exercise judicial restraint
in accordance with the policy set forth in Rule 2.4, deferring to the competence or
jurisdiction of the arbitral tribunal to rule on its competence or jurisdiction.

Rule 3.11. Relief against court action. - Where there is a prima facie determination
upholding the arbitration agreement. - A prima facie determination by the court upholding
the existence, validity or enforceability of an arbitration agreement shall not be subject to a
motion for reconsideration, appeal or certiorari.
Such prima facie determination will not, however, prejudice the right of any party to raise
the issue of the existence, validity and enforceability of the arbitration agreement before the
108
 arbitral tribunal or the court in an action to vacate or set aside the arbitral award. In the latter
case, the court’s review of the arbitral tribunal’s ruling upholding the existence, validity or
enforceability of the arbitration agreement shall no longer be limited to a mere prima facie
determination of such issue or issues as prescribed in this Rule, but shall be a full review of
such issue or issues with due regard, however, to the standard for review for arbitral awards
prescribed in these Special ADR Rules.

b.) Referral to Arbitration

1985 Model Law

Article 8. Arbitration agreement and substantive claim before court
1. A court before which an action is brought in a matter which is the subject of an
arbitration agreement shall, if a party so requests not later than when submitting his
first statement on the substance of the dispute, refer the parties to arbitration unless it
finds that the agreement is real and void, inoperative or incapable of being performed.
2. Where an action referred to in paragraph (1) 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.

1958 New York Convention

Article II
3. The court of a Contracting State, when seized of an action in a matter in respect of
which the parties have made an agreement within the meaning of this article, shall, at
the request of one of the parties, refer the parties to arbitration, unless it finds that the
said agreement is null and void, inoperative or incapable of being performed.

RA 9285
SEC. 24. Referral to Arbitration. - A court before which an action is brought in a matter
which is the subject matter of an arbitration agreement shall, if at least one party so requests
not later that the pre-trial conference, or upon the request of 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.

c.) Temporary Orders of Protection

Special ADR Rules

Rule 5.7. Dispensing with prior notice in certain cases. - Prior notice to the other party
may be dispensed with when the petitioner alleges in the petition that there is an urgent need
to either (a) preserve property, (b) prevent the respondent from disposing of, or concealing,
the property, or (c) prevent the relief prayed for from becoming illusory because of prior
notice, and the court finds that the reason/s given by the petitioner are meritorious.

Rule 5.9. Court action. - After hearing the petition, the court shall balance the relative
interests of the parties and inconveniences that may be caused, and on that basis resolve the
matter within thirty (30) days from (a) submission of the opposition, or (b) upon lapse of the
period to file the same, or (c) from termination of the hearing that the court may set only if
there is a need for clarification or further argument.

109
 If the other parties fail to file their opposition on or before the day of the hearing, the court
shall motu proprio render judgment only on the basis of the allegations in the petition that
are substantiated by supporting documents and limited to what is prayed for therein.
In cases where, based solely on the petition, the court finds that there is an urgent need to
either (a) preserve property, (b) prevent the respondent from disposing of, or concealing, the
property, or (c) prevent the relief prayed for from becoming illusory because of prior notice,
it shall issue an immediately executory temporary order of protection and require the
petitioner, within five (5) days from receipt of that order, to post a bond to answer for any
damage that respondent may suffer as a result of its order. The ex-parte temporary order of
protection shall be valid only for a period of twenty (20) days from the service on the party
required to comply with the order. Within that period, the court shall:
a. Furnish the respondent a copy of the petition and a notice requiring him to comment
thereon on or before the day the petition will be heard; and
b. Notify the parties that the petition shall be heard on a day specified in the notice, which
must not be beyond the twenty (20) day period of the effectivity of the ex-parte order.
The respondent has the option of having the temporary order of protection lifted by posting
an appropriate counter-bond as determined by the court.
If the respondent requests the court for an extension of the period to file his opposition or
comment or to reset the hearing to a later date, and such request is granted, the court shall
extend the period of validity of the ex-parte temporary order of protection for no more than
twenty days from expiration of the original period.
After notice and hearing, the court may either grant or deny the petition for an interim
measure of protection. The order granting or denying any application for interim measure of
protection in aid of arbitration must indicate that it is issued without prejudice to subsequent
grant, modification, amendment, revision or revocation by an arbitral tribunal.

O.2) ROLE OF COURTS (During Arbitration)

a.) Judicial Relief from Tribunal’s Determination of Jurisdiction

Special ADR Rules

Rule 3.12. Who may file petition. - Any party to arbitration may petition the appropriate
court for judicial relief from the ruling of the arbitral tribunal on a preliminary question
upholding or declining its jurisdiction. Should the ruling of the arbitral tribunal declining its
jurisdiction be reversed by the court, the parties shall be free to replace the arbitrators or any
one of them in accordance with the rules that were applicable for the appointment of
arbitrator sought to be replaced.

Rule 3.20. Where no petition is allowed. - Where the arbitral tribunal defers its ruling on
preliminary question regarding its jurisdiction until its final award, the aggrieved party
cannot seek judicial relief to question the deferral and must await the final arbitral award
before seeking appropriate judicial recourse. A ruling by the arbitral tribunal deferring
resolution on the issue of its jurisdiction until final award, shall not be subject to a motion
for reconsideration, appeal or a petition for certiorari.

b.) Appointment of Arbitrators

Special ADR Rules

(Rule 6: Appointment of Arbitrators)
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Rule 6.1. When the court may act as Appointing Authority. - The court shall act as
Appointing Authority only in the following instances:
a. Where any of the parties in an institutional arbitration failed or refused to appoint an
arbitrator or when the parties have failed to reach an agreement on the sole arbitrator
(in an arbitration before a sole arbitrator) or when the two designated arbitrators have
failed to reach an agreement on the third or presiding arbitrator (in an arbitration before
a panel of three arbitrators), and the institution under whose rules arbitration is to be
conducted fails or is unable to perform its duty as appointing authority within a
reasonable time from receipt of the request for appointment;
b. In all instances where arbitration is ad hoc and the parties failed to provide a method
for appointing or replacing an arbitrator, or substitute arbitrator, or the method agreed
upon is ineffective, and the National President of the Integrated Bar of the Philippines
(IBP) or his duly authorized representative fails or refuses to act within such period as
may be allowed under the pertinent rules of the IBP or within such period as may be
agreed upon by the parties, or in the absence thereof, within thirty (30) days from
receipt of such request for appointment;
c. Where the parties agreed that their dispute shall be resolved by three arbitrators but no
method of appointing those arbitrators has been agreed upon, each party shall appoint
one arbitrator and the two arbitrators thus appointed shall appoint a third arbitrator. If a
party fails to appoint his 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 a reasonable time from their appointment, the appointment shall be made by the
Appointing Authority. If the latter fails or refuses to act or appoint an arbitrator within
a reasonable time from receipt of the request to do so, any party or the appointed
arbitrator/s may request the court to appoint an arbitrator or the third arbitrator as the
case may be.

Rule 6.2. Who may request for appointment. - Any party to an arbitration may request the
court to act as an Appointing Authority in the instances specified in Rule 6.1 above.

Rule 6.3. Venue. - The petition for appointment of arbitrator may be filed, at the option of
the petitioner, in the Regional Trial Court (a) where the principal place of business of any of
the parties is located, (b) if any of the parties are individuals, where those individuals reside,
or (c) in the National Capital Region.

Rule 6.4. Contents of the petition. -The petition shall state the following:
a. The general nature of the dispute;
b. If the parties agreed on an appointment procedure, a description of that procedure with
reference to the agreement where such may be found;
c. The number of arbitrators agreed upon or the absence of any agreement as to the
number of arbitrators;
d. The special qualifications that the arbitrator/s must possess, if any, that were agreed
upon by the parties;
e. The fact that the Appointing Authority, without justifiable cause, has failed or refused
to act as such within the time prescribed or in the absence thereof, within a reasonable
time, from the date a request is made; and
f. The petitioner is not the cause of the delay in, or failure of, the appointment of the
arbitrator. Apart from other submissions, the petitioner must attach to the petition (a) an
authentic copy of the arbitration agreement, and (b) proof that the Appointing
Authority has been notified of the filing of the petition for appointment with the court.

111
 Rule 6.5. Comment/Opposition. - The comment/opposition must be filed within fifteen (15)
days from service of the petition.

Rule 6.6. Submission of list of arbitrators. - The court may, at its option, also require each
party to submit a list of not less than three (3) proposed arbitrators together with their
curriculum vitae.

Rule 6.7. Court action. - After hearing, if the court finds merit in the petition, it shall
appoint an arbitrator; otherwise, it shall dismiss the petition. In making the appointment,
the court shall have regard to such considerations as are likely to secure the appointment of
an independent and impartial arbitrator. At any time after the petition is filed and before the
court makes an appointment, it shall also dismiss the petition upon being informed that the
Appointing Authority has already made the appointment.

Rule 6.8. Forum shopping prohibited. - When there is a pending petition in another court
to declare the arbitration agreement inexistent, invalid, unenforceable, on account of which
the respondent failed or refused to participate in the selection and appointment of a sole
arbitrator or to appoint a party-nominated arbitrator, the petition filed under this rule shall
be dismissed.

Rule 6.9. Relief against court action. - If the court appoints an arbitrator, the order
appointing an arbitrator shall be immediately executory and shall not be the subject of a
motion for reconsideration, appeal or certiorari. An order of the court denying the petition
for appointment of an arbitrator may, however, be the subject of a motion for
reconsideration, appeal or certiorari.

c.) Challenge of Arbitrators

Special ADR Rules
(Rule 7: Challenge to Appointment of Arbitrator)
Rule 7.1. Who may challenge. - Any of the parties to an arbitration may challenge an
arbitrator.

Rule 7.2. When challenge may be raised in court. - When an arbitrator is challenged before
the arbitral tribunal under the procedure agreed upon by the parties or under the procedure
provided for in Article 13 (2) of the Model Law and the challenge is not successful, the
aggrieved party may request the Appointing Authority to rule on the challenge, and it is
only when such Appointing Authority fails or refuses to act on the challenge within such
period as may be allowed under the applicable rule or in the absence thereof, within thirty
(30) days from receipt of the request, that the aggrieved party may renew the challenge in
court.

Rule 7.3. Venue. - The challenge shall be filed with the Regional Trial Court (a) where the
principal place of business of any of the parties is located, (b) if any of the parties are
individuals, where those individuals reside, or (c) in the National Capital Region.

Rule 7.4. Grounds. - An arbitrator may be challenged on any of the grounds for challenge
provided for in Republic Act No. 9285 and its implementing rules, Republic Act No. 876 or
the Model Law. The nationality or professional qualification of an arbitrator is not a ground
to challenge an arbitrator unless the parties have specified in their arbitration agreement a
nationality and/or professional qualification for appointment as arbitrator.
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Rule 7.5. Contents of the petition. - The petition shall state the following:
a. The name/s of the arbitrator/s challenged and his/their address;
b. The grounds for the challenge;
c. The facts showing that the ground for the challenge has been expressly or impliedly
rejected by the challenged arbitrator/s; and
d. The facts showing that the Appointing Authority failed or refused to act on the
challenge.
The court shall dismiss the petition motu proprio unless it is clearly alleged therein that the
Appointing Authority charged with deciding the challenge, after the resolution of the
arbitral tribunal rejecting the challenge is raised or contested before such Appointing
Authority, failed or refused to act on the challenge within thirty (30) days from receipt of
the request or within such longer period as may apply or as may have been agreed upon by
the parties.

Rule 7.6. Comment/Opposition. - The challenged arbitrator or other parties may file a
comment or opposition within fifteen (15) days from service of the petition.

Rule 7.7. Court action. - After hearing, the court shall remove the challenged arbitrator if it
finds merit in the petition; otherwise, it shall dismiss the petition.
The court shall allow the challenged arbitrator who subsequently agrees to accept the
challenge to withdraw as arbitrator.
The court shall accept the challenge and remove the arbitrator in the following cases:
a. The party or parties who named and appointed the challenged arbitrator agree to the
challenge and withdraw the appointment.
b. The other arbitrators in the arbitral tribunal agree to the removal of the challenged
arbitrator; and
c. The challenged arbitrator fails or refuses to submit his comment on the petition or the
brief of legal arguments as directed by the court, or in such comment or legal brief, he
fails to object to his removal following the challenge.
The court shall decide the challenge on the basis of evidence submitted by the parties.
The court will decide the challenge on the basis of the evidence submitted by the parties in
the following instances:
a. The other arbitrators in the arbitral tribunal agree to the removal of the challenged
arbitrator; and
b. If the challenged arbitrator fails or refuses to submit his comment on the petition or the
brief of legal arguments as directed by the court, or in such comment or brief of legal
arguments, he fails to object to his removal following the challenge.

Rule 7.8. No motion for reconsideration, appeal or certiorari. - Any order of the court
resolving the petition shall be immediately executory and shall not be the subject of a
motion for reconsideration, appeal, or certiorari.

Rule 7.9. Reimbursement of expenses and reasonable compensation to challenged

arbitrator. - Unless the bad faith of the challenged arbitrator is established with reasonable
certainty by concealing or failing to disclose a ground for his disqualification, the
challenged arbitrator shall be entitled to reimbursement of all reasonable expenses he may
have incurred in attending to the arbitration and to a reasonable compensation for his work
on the arbitration. Such expenses include, but shall not be limited to, transportation and
hotel expenses, if any. A reasonable compensation shall be paid to the challenged arbitrator
113
 on the basis of the length of time he has devoted to the arbitration and taking into
consideration his stature and reputation as an arbitrator. The request for reimbursement of
expenses and for payment of a reasonable compensation shall be filed in the same case and
in the court where the petition to replace the challenged arbitrator was filed. The court, in
determining the amount of the award to the challenged arbitrator, shall receive evidence of
expenses to be reimbursed, which may consist of air tickets, hotel bills and expenses, and
inland transportation. The court shall direct the challenging party to pay the amount of the
award to the court for the account of the challenged arbitrator, in default of which the court
may issue a writ of execution to enforce the award.

d.) Court Assistance in Taking Evidence

Special ADR Rules

(Rule 9: Assistance in Taking Evidence)

Rule 9.1. Who may request assistance. - Any party to an arbitration, whether domestic or
foreign, may request the court to provide assistance in taking evidence.

Rule 9.2. When assistance may be sought. - Assistance may be sought at any time during
the course of the arbitral proceedings when the need arises.

Rule 9.3. Venue. - A petition for assistance in taking evidence may, at the option of the
petitioner, be filed with Regional Trial Court where (a) arbitration proceedings are taking
place, (b) the witnesses reside or may be found, or (c) where the evidence may be found.

Rule 9.4. Ground. - The court may grant or execute the request for assistance in taking
evidence within its competence and according to the rules of evidence.

Rule 9.5. Type of assistance. - A party requiring assistance in the taking of evidence may
petition the court to direct any person, including a representative of a corporation,
association, partnership or other entity (other than a party to the ADR proceedings or its
officers) found in the Philippines, for any of the following:
a. To comply with a subpoena ad testificandum and/or subpoena duces tecum;
b. To appear as a witness before an officer for the taking of his deposition upon oral
examination or by written interrogatories;
c. To allow the physical examination of the condition of persons, or the inspection of
things or premises and, when appropriate, to allow the recording and/or documentation
of condition of persons, things or premises (i.e., photographs, video and other means of
recording/documentation);
d. To allow the examination and copying of documents; and
e. To perform any similar acts.

Rule 9.6. Contents of the petition. - The petition must state the following:
a. The fact that there is an ongoing arbitration proceeding even if such proceeding could
not continue due to some legal impediments;
b. The arbitral tribunal ordered the taking of evidence or the party desires to present
evidence to the arbitral tribunal;
c. Materiality or relevance of the evidence to be taken; and

114
 d. The names and addresses of the intended witness/es, place where the evidence may be
found, the place where the premises to be inspected are located or the place where the
acts required are to be done.

Rule 9.7. Comment/Opposition. - The comment/opposition must be filed within fifteen (15)
days from service of the petition.

Rule 9.8. Court action. - If the evidence sought is not privileged, and is material and
relevant, the court shall grant the assistance in taking evidence requested and shall order
petitioner to pay costs attendant to such assistance.

Rule 9.9. Relief against court action. - The order granting assistance in taking evidence
shall be immediately executory and not subject to reconsideration or appeal. If the court
declines to grant assistance in taking evidence, the petitioner may file a motion for
reconsideration or appeal.

Rule 9.10. Perpetuation of testimony before the arbitral tribunal is constituted. - At any
time before arbitration is commenced or before the arbitral tribunal is constituted, any
person who desires to perpetuate his testimony or that of another person may do so in
accordance with Rule 24 of the Rules of Court.

Rule 9.11. Consequence of disobedience. - The court may impose the appropriate sanction
on any person who disobeys its order to testify when required or perform any act required of
him.

e.) Issuance of Interim Measure of Protection

Special ADR Rules
(Rule 5: Interim Measure of Protection)

Rule 5.1. Who may ask for interim measures of protection. - A party to an arbitration
agreement may petition the court for interim measures of protection.

Rule 5.2. When to petition. - A petition for an interim measure of protection may be made
(a) before arbitration is commenced, (b) after arbitration is commenced, but before the
constitution of the arbitral tribunal, or (c) after the constitution of the arbitral tribunal and at
any time during arbitral proceedings but, at this stage, only to the extent that the arbitral
tribunal has no power to act or is unable to act effectively.

Rule 5.3. Venue. - A petition for an interim measure of protection may be filed with the
Regional Trial Court, which has jurisdiction over any of the following places:
a. Where the principal place of business of any of the parties to arbitration is located;
b. Where any of the parties who are individuals resides;
c. Where any of the acts sought to be enjoined are being performed, threatened to be
performed or not being performed; or
d. Where the real property subject of arbitration, or a portion thereof is situated.
Rule 5.4. Grounds. - The following grounds, while not limiting the reasons for the court to
grant an interim measure of protection, indicate the nature of the reasons that the court shall
consider in granting the relief:
a. The need to prevent irreparable loss or injury;

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b. The need to provide security for the performance of any obligation;
c. The need to produce or preserve evidence; or
d. The need to compel any other appropriate act or omission.

Rule 5.5. Contents of the petition. - The verified petition must state the following:
a. The fact that there is an arbitration agreement;
b. The fact that the arbitral tribunal has not been constituted, or if constituted, is unable to
act or would be unable to act effectively;
c. A detailed description of the appropriate relief sought;
d. The grounds relied on for the allowance of the petition.
Apart from other submissions, the petitioner must attach to his petition an authentic copy of
the arbitration agreement.

Rule 5.6. Type of interim measure of protection that a court may grant. - The following,
among others, are the interim measures of protection that a court may grant:
a. Preliminary injunction directed against a party to arbitration;
b. Preliminary attachment against property or garnishment of funds in the custody of a
bank or a third person;
c. Appointment of a receiver;
d. Detention, preservation, delivery or inspection of property; or,
e. Assistance in the enforcement of an interim measure of protection granted by the
arbitral tribunal, which the latter cannot enforce effectively.

Rule 5.7. Dispensing with prior notice in certain cases. - Prior notice to the other party
may be dispensed with when the petitioner alleges in the petition that there is an urgent need
to either (a) preserve property, (b) prevent the respondent from disposing of, or concealing,
the property, or (c) prevent the relief prayed for from becoming illusory because of prior
notice, and the court finds that the reason/s given by the petitioner are meritorious.

Rule 5.8. Comment/Opposition. - The comment/opposition must be filed within fifteen (15)
days from service of the petition. The opposition or comment should state the reasons why
the interim measure of protection should not be granted.

Rule 5.9. Court action. - After hearing the petition, the court shall balance the relative
interests of the parties and inconveniences that may be caused, and on that basis resolve the
matter within thirty (30) days from (a) submission of the opposition, or (b) upon lapse of the
period to file the same, or (c) from termination of the hearing that the court may set only if
there is a need for clarification or further argument.
If the other parties fail to file their opposition on or before the day of the hearing, the court
shall motu proprio render judgment only on the basis of the allegations in the petition that
are substantiated by supporting documents and limited to what is prayed for therein.
In cases where, based solely on the petition, the court finds that there is an urgent need to
either (a) preserve property, (b) prevent the respondent from disposing of, or concealing, the
property, or (c) prevent the relief prayed for from becoming illusory because of prior notice,
it shall issue an immediately executory temporary order of protection and require the
petitioner, within five (5) days from receipt of that order, to post a bond to answer for any
damage that respondent may suffer as a result of its order. The ex-parte temporary order of
protection shall be valid only for a period of twenty (20) days from the service on the party
required to comply with the order. Within that period, the court shall:

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a. Furnish the respondent a copy of the petition and a notice requiring him to comment
thereon on or before the day the petition will be heard; and
b. Notify the parties that the petition shall be heard on a day specified in the notice, which
must not be beyond the twenty (20) day period of the effectivity of the ex-parte order.
The respondent has the option of having the temporary order of protection lifted by posting
an appropriate counter-bond as determined by the court.
If the respondent requests the court for an extension of the period to file his opposition or
comment or to reset the hearing to a later date, and such request is granted, the court shall
extend the period of validity of the ex-parte temporary order of protection for no more than
twenty days from expiration of the original period.
After notice and hearing, the court may either grant or deny the petition for an interim
measure of protection. The order granting or denying any application for interim measure of
protection in aid of arbitration must indicate that it is issued without prejudice to subsequent
grant, modification, amendment, revision or revocation by an arbitral tribunal.

Rule 5.10. Relief against court action. - If respondent was given an opportunity to be heard
on a petition for an interim measure of protection, any order by the court shall be
immediately executory, but may be the subject of a motion for reconsideration and/or appeal
or, if warranted, a petition for certiorari.

Rule 5.11. Duty of the court to refer back. - The court shall not deny an application for
assistance in implementing or enforcing an interim measure of protection ordered by an
arbitral tribunal on any or all of the following grounds:
a. The arbitral tribunal granted the interim relief ex parte; or
b. The party opposing the application found new material evidence, which the arbitral
tribunal had not considered in granting in the application, and which, if considered,
may produce a different result; or
c. The measure of protection ordered by the arbitral tribunal amends, revokes, modifies or
is inconsistent with an earlier measure of protection issued by the court.
If it finds that there is sufficient merit in the opposition to the application based on letter (b)
above, the court shall refer the matter back to the arbitral tribunal for appropriate
determination.

Rule 5.12. Security. - The order granting an interim measure of protection may be
conditioned upon the provision of security, performance of an act, or omission thereof,
specified in the order. The Court may not change or increase or decrease the security
ordered by the arbitral tribunal.

Rule 5.13. Modification, amendment, revision or revocation of court’s previously issued

interim measure of protection. - Any court order granting or denying interim measure/s of
protection is issued without prejudice to subsequent grant, modification, amendment,
revision or revocation by the arbitral tribunal as may be warranted. An interim measure of
protection issued by the arbitral tribunal shall, upon its issuance be deemed to have ipso jure
modified, amended, revised or revoked an interim measure of protection previously issued
by the court to the extent that it is inconsistent with the subsequent interim measure of
protection issued by the arbitral tribunal.

Rule 5.14. Conflict or inconsistency between interim measure of protection issued by the
court and by the arbitral tribunal. - Any question involving a conflict or inconsistency
between an interim measure of protection issued by the court and by the arbitral tribunal
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 shall be immediately referred by the court to the arbitral tribunal which shall have the
authority to decide such question.

Rule 5.15. Court to defer action on petition for an interim measure of protection when
informed of constitution of the arbitral tribunal. - The court shall defer action on any
pending petition for an interim measure of protection filed by a party to an arbitration
agreement arising from or in connection with a dispute thereunder upon being informed that
an arbitral tribunal has been constituted pursuant to such agreement. The court may act upon
such petition only if it is established by the petitioner that the arbitral tribunal has no power
to act on any such interim measure of protection or is unable to act thereon effectively.
Rule 5.16. Court assistance should arbitral tribunal be unable to effectively enforce
interim measure of protection. - The court shall assist in the enforcement of an interim
measure of protection issued by the arbitral tribunal which it is unable to effectively
enforce.

f.) Confidentiality and Protective Orders

Special ADR Rules
(Rule 10: Confidentiality/Protective Orders)

Rule 10.1. Who may request confidentiality. - A party, counsel or witness who disclosed or
who was compelled to disclose information relative to the subject of ADR under
circumstances that would create a reasonable expectation, on behalf of the source, that the
information shall be kept confidential has the right to prevent such information from being
further disclosed without the express written consent of the source or the party who made
the disclosure.

Rule 10.2. When request made. - A party may request a protective order at any time there is
a need to enforce the confidentiality of the information obtained, or to be obtained, in ADR
proceedings.

Rule 10.3. Venue. - A petition for a protective order may be filed with the Regional Trial
Court where that order would be implemented. If there is a pending court proceeding in
which the information obtained in an ADR proceeding is required to be divulged or is being
divulged, the party seeking to enforce the confidentiality of the information may file a
motion with the court where the proceedings are pending to enjoin the confidential
information from being divulged or to suppress confidential information.

Rule 10.4. Grounds. - A protective order may be granted only if it is shown that the
applicant would be materially prejudiced by an unauthorized disclosure of the information
obtained, or to be obtained, during an ADR proceeding.

Rule 10.5. Contents of the motion or petition. - The petition or motion must state the
following:
a. That the information sought to be protected was obtained, or would be obtained, during
an ADR proceeding;
b. The applicant would be materially prejudiced by the disclosure of that information;
c. The person or persons who are being asked to divulge the confidential information
participated in an ADR proceedings; and
d. The time, date and place when the ADR proceedings took place.
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 Apart from the other submissions, the movant must set the motion for hearing and contain a
notice of hearing in accordance with Rule 15 of the Rules of Court.

Rule 10.6. Notice. - Notice of a request for a protective order made through a motion shall
be made to the opposing parties in accordance with Rule 15 of the Rules of Court.

Rule 10.7. Comment/Opposition. - The comment/opposition must be filed within fifteen

(15) days from service of the petition. The opposition or comment may be accompanied by
written proof that (a) the information is not confidential, (b) the information was not
obtained during an ADR proceeding, (c) there was a waiver of confidentiality, or (d) the
petitioner/movant is precluded from asserting confidentiality.

Rule 10.8. Court action. - If the court finds the petition or motion meritorious, it shall issue
an order enjoining a person or persons from divulging confidential information.
In resolving the petition or motion, the courts shall be guided by the following principles
applicable to all ADR proceedings: Confidential information shall not be subject to
discovery and shall be inadmissible in any adversarial proceeding, whether judicial or quasi-
judicial. 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 therein.
For mediation proceedings, the court shall be further guided by the following principles:
a. Information obtained through mediation shall be privileged and confidential.
b. A party, a mediator, or a nonparty participant may refuse to disclose and may prevent
any other person from disclosing a mediation communication.
c. In such an adversarial proceeding, the following persons involved or previously
involved in a mediation may not be compelled to disclose confidential information
obtained during the mediation: (1) the parties to the dispute; (2) the mediator or
mediators; (3) the counsel for the parties: (4) the nonparty participants; (5) any persons
hired or engaged in connection with the mediation as secretary, stenographer; clerk or
assistant; and (6) any other person who obtains or possesses confidential information
by reason of his/ her profession.
d. The protection of the ADR Laws shall continue to apply even if a mediator is found to
have failed to act impartially.
e. A mediator may not be called to testify to provide information gathered in mediation. A
mediator who is wrongfully subpoenaed shall be reimbursed the full cost of his
attorney fees and related expenses.

Rule 10.9. Relief against court action. - The order enjoining a person or persons from
divulging confidential information shall be immediately executory and may not be enjoined
while the order is being questioned with the appellate courts. If the court declines to enjoin a
person or persons from divulging confidential information, the petitioner may file a motion
for reconsideration or appeal.

Rule 10.10. Consequence of disobedience. - Any person who disobeys the order of the
court to cease from divulging confidential information shall be imposed the proper sanction
by the court.

g.) Assistance in Enforcement of Interim Measures of Protection Issued by Tribunal

IRR of RA 9285

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Article 5.8. Arbitration Agreement and Interim Measures by Court.
(a) 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.
(b) 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.
(c) The following rules on interim or provisional relief shall be observed:
(i) Any party may request that interim or provisional relief be granted against the
adverse party.
(ii) Such relief may be granted:
(aa) To prevent irreparable loss or injury
(bb) To provide security for the performance of an obligation;
(cc) To produce or preserve evidence; or
(dd) To compel any other appropriate act or omissions.
(iii) The order granting provisional relief may be conditioned upon the provision of
security or any act or omission specified in the order.
(iv) 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.
(v) The order either grating or denying an application for interim relief shall be
binding upon the parties.
(vi) Either party may apply with the court for assistance in implementing or enforcing
an interim measure ordered by an arbitral tribunal.
(vii) 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.
(d) 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.
1985 Model Law
Article 9. Arbitration agreement and interim measures by court
It is not incompatible with an arbitration agreement for a party to request, before or during
arbitral proceedings, from a court an interim measure of protection and for a court to grant
such measure.

RA 9285
SEC. 28. Grant of Interim Measure of Protection. -
a.) The following rules on interim or provisional relief shall be observed:
(6) Either party may apply with the Court for assistance in implementing or enforcing
an interim measure ordered by an arbitral tribunal.

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 SEC. 29. Further Authority for Arbitrator to Grant Interim Measure 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
Section 28, paragraph 2. 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
measures ordered by an arbitral tribunal.

Special ADR Rules

Rule 5.2. When to petition. - A petition for an interim measure of protection may be made
(a) before arbitration is commenced, (b) after arbitration is commenced, but before the
constitution of the arbitral tribunal, or (c) after the constitution of the arbitral tribunal and at
any time during arbitral proceedings but, at this stage, only to the extent that the arbitral
tribunal has no power to act or is unable to act effectively.

Rule 5.11. Duty of the court to refer back. - The court shall not deny an application for
assistance in implementing or enforcing an interim measure of protection ordered by an
arbitral tribunal on any or all of the following grounds:
a. The arbitral tribunal granted the interim relief ex parte; or
b. The party opposing the application found new material evidence, which the arbitral
tribunal had not considered in granting in the application, and which, if considered,
may produce a different result; or
c. The measure of protection ordered by the arbitral tribunal amends, revokes, modifies or
is inconsistent with an earlier measure of protection issued by the court.
If it finds that there is sufficient merit in the opposition to the application based on letter (b)
above, the court shall refer the matter back to the arbitral tribunal for appropriate
determination.

Rule 5.12. Security. - The order granting an interim measure of protection may be
conditioned upon the provision of security, performance of an act, or omission thereof,
specified in the order. The Court may not change or increase or decrease the security
ordered by the arbitral tribunal.

Rule 5.16. Court assistance should arbitral tribunal be unable to effectively enforce
interim measure of protection. - The court shall assist in the enforcement of an interim
measure of protection issued by the arbitral tribunal which it is unable to effectively
enforce.
h.) Award of Damages for Failure to Comply with Interim Measure of Protection

IRR of RA 9285
Article 5.8. Arbitration Agreement and Interim Measures by Court.
(c) The following rules on interim or provisional relief shall be observed:
(vii) 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.

O.3) ROLE OF COURTS (After Arbitration)

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a.) Confirmation and Enforcement of Domestic Awards

RA 9285
SEC. 40. Confirmation of Award. - The confirmation of a domestic arbitral award shall be
governed by Section 23 of R.A. 876. A domestic arbitral award when confirmed shall be
enforced in the same manner as final and executory decisions of the Regional Trial Court.
The confirmation of a domestic award shall be made by the regional trial court in
accordance with the Rules of Procedure to be promulgated by the Supreme Court. A CIAC
arbitral award need not be confirmed by the regional trial court to be executory as provided
under E.O. No. 1008.
RA 876
Section 23. Confirmation of award. - 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.
IRR of RA 9285
Article 5.36. Confirmation of Award. The party moving for an order confirming,
modifying, correcting, or vacating an award, shall, at the time that such motion is filled with
the court for the entry of judgment thereon, also file the original or verified copy of the
award, the arbitration or settlement agreement, and such papers as may be required by the
Special ADR Rules.

Special ADR Rules

(Rule 11: Confirmation, Correction or Vacation of Award in Domestic Arbitration)
Rule 11.1. Who may request confirmation, correction or vacation. - Any party to a
domestic arbitration may petition the court to confirm, correct or vacate a domestic arbitral
award.
Rule 11.2. When to request confirmation, correction/modification or vacation. -
(A) Confirmation. - At any time after the lapse of thirty (30) days from receipt by the
petitioner of the arbitral award, he may petition the court to confirm that award.
(B) Correction/Modification. - Not later than thirty (30) days from receipt of the arbitral
award, a party may petition the court to correct/modify that award.
(C) Vacation. - Not later than thirty (30) days from receipt of the arbitral award, a party
may petition the court to vacate that award.
(D) A petition to vacate the arbitral award may be filed, in opposition to a petition to
confirm the arbitral award, not later than thirty (30) days from receipt of the award by
the petitioner. A petition to vacate the arbitral award filed beyond the reglementary
period shall be dismissed.
(E) A petition to confirm the arbitral award may be filed, in opposition to a petition to
vacate the arbitral award, at any time after the petition to vacate such arbitral award is
filed. The dismissal of the petition to vacate the arbitral award for having been filed
beyond the reglementary period shall not result in the dismissal of the petition for the
confirmation of such arbitral award.
(F) The filing of a petition to confirm an arbitral award shall not authorize the filing of a
belated petition to vacate or set aside such award in opposition thereto.
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(G) A petition to correct an arbitral award may be included as part of a petition to confirm
the arbitral award or as a petition to confirm that award.

Rule 11.3. Venue. - The petition for confirmation, correction/modification or vacation of a

domestic arbitral award may be filed with Regional Trial Court having jurisdiction over the
place in which one of the parties is doing business, where any of the parties reside or where
arbitration proceedings were conducted.

Rule 11.4. Grounds. –

(A) To vacate an arbitral award. - The arbitral award may be vacated on the following
grounds:
a. The arbitral award was procured through corruption, fraud or other undue means;
b. There was evident partiality or corruption in the arbitral tribunal or any of its
members;
c. 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 a hearing
upon sufficient cause shown or to hear evidence pertinent and material to the
controversy;
d. One or more of the arbitrators was disqualified to act as such under the law and
willfully refrained from disclosing such disqualification; or
e. 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
them was not made.
The award may also be vacated on any or all of the following grounds:
a. The arbitration agreement did not exist, or is invalid for any ground for the
revocation of a contract or is otherwise unenforceable; or
b. A party to arbitration is a minor or a person judicially declared to be incompetent.
The petition to vacate an arbitral award on the ground that the party to arbitration
is a minor or a person judicially declared to be incompetent shall be filed only on
behalf of the minor or incompetent and shall allege that (a) the other party to
arbitration had knowingly entered into a submission or agreement with such minor
or incompetent, or (b) the submission to arbitration was made by a guardian or
guardian ad litem who was not authorized to do so by a competent court. In
deciding the petition to vacate the arbitral award, the court shall disregard any
other ground than those enumerated above.
(B) To correct/modify an arbitral award. - The Court may correct/modify or order the
arbitral tribunal to correct/modify the arbitral award in the following cases:
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;
b. Where the arbitrators have awarded upon a matter not submitted to them, not
affecting the merits of the decision upon the matter submitted;
c. Where the arbitrators have omitted to resolve an issue submitted to them for
resolution; or
d. 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.

Rule 11.5. Form of petition. - An application to vacate an arbitral award shall be in the
form of a petition to vacate or as a petition to vacate in opposition to a petition to confirm
the same award.

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An application to correct/modify an arbitral award may be included in a petition to confirm
an arbitral award or in a petition to vacate in opposition to confirm the same award.
When a petition to confirm an arbitral award is pending before a court, the party seeking to
vacate or correct/modify said award may only apply for those reliefs through a petition to
vacate or correct/modify the award in opposition to the petition to confirm the award
provided that such petition to vacate or correct/modify is filed within thirty (30) days from
his receipt of the award. A petition to vacate or correct/modify an arbitral award filed in
another court or in a separate case before the same court shall be dismissed, upon
appropriate motion, as a violation of the rule against forum-shopping.
When a petition to vacate or correct/modify an arbitral award is pending before a court, the
party seeking to confirm said award may only apply for that relief through a petition to
confirm the same award in opposition to the petition to vacate or correct/modify the award.
A petition to confirm or correct/modify an arbitral award filed as separate proceeding in
another court or in a different case before the same court shall be dismissed, upon
appropriate motion, as a violation of the rule against forum shopping.
As an alternative to the dismissal of a second petition for confirmation, vacation or
correction/modification of an arbitral award filed in violation of the non-forum shopping
rule, the court or courts concerned may allow the consolidation of the two proceedings in
one court and in one case.
Where the petition to confirm the award and petition to vacate or correct/modify were
simultaneously filed by the parties in the same court or in different courts in the Philippines,
upon motion of either party, the court may order the consolidation of the two cases before
either court.
In all instances, the petition must be verified by a person who has knowledge of the
jurisdictional facts.

Rule 11.6. Contents of petition. - The petition must state the following:
a. The addresses of the parties and any change thereof;
b. The jurisdictional issues raised by a party during arbitration proceedings;
c. The grounds relied upon by the parties in seeking the vacation of the arbitral award
whether the petition is a petition for the vacation or setting aside of the arbitral award
or a petition in opposition to a petition to confirm the award; and
d. A statement of the date of receipt of the arbitral award and the circumstances under
which it was received by the petitioner.
Apart from other submissions, the petitioner must attach to the petition the following:
a. An authentic copy of the arbitration agreement;
b. An authentic copy of the arbitral award;
c. A certification against forum shopping executed by the applicant in accordance with
Section 5 of Rule 7 of the Rules of Court; and
d. An authentic copy or authentic copies of the appointment of an arbitral tribunal.

Rule 11.7. Notice. - Upon finding that the petition filed under this Rule is sufficient both in
form and in substance, the Court shall cause notice and a copy of the petition to be delivered
to the respondent allowing him to file a comment or opposition thereto within fifteen (15)
days from receipt of the petition. In lieu of an opposition, the respondent may file a petition
in opposition to the petition. The petitioner may within fifteen (15) days from receipt of the
petition in opposition thereto file a reply.

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Rule 11.8. Hearing. - If the Court finds from the petition or petition in opposition thereto
that there are issues of fact, it shall require the parties, within a period of not more than
fifteen (15) days from receipt of the order, to simultaneously submit the affidavits of all of
their witnesses and reply affidavits within ten (10) days from receipt of the affidavits to be
replied to. There shall be attached to the affidavits or reply affidavits documents relied upon
in support of the statements of fact in such affidavits or reply affidavits.
If the petition or the petition in opposition thereto is one for vacation of an arbitral award,
the interested party in arbitration may oppose the petition or the petition in opposition
thereto for the reason that the grounds cited in the petition or the petition in opposition
thereto, assuming them to be true, do not affect the merits of the case and may be cured or
remedied. Moreover, the interested party may request the court to suspend the proceedings
for vacation for a period of time and to direct the arbitral tribunal to reopen and conduct a
new hearing and take such other action as will eliminate the grounds for vacation of the
award. The opposition shall be supported by a brief of legal arguments to show the
existence of a sufficient legal basis for the opposition.
If the ground of the petition to vacate an arbitral award is that the arbitration agreement did
not exist, is invalid or otherwise unenforceable, and an earlier petition for judicial relief
under Rule 3 had been filed, a copy of such petition and of the decision or final order of the
court shall be attached thereto. But if the ground was raised before the arbitral tribunal in a
motion to dismiss filed not later than the submission of its answer, and the arbitral tribunal
ruled in favor of its own jurisdiction as a preliminary question which was appealed by a
party to the Regional Trial Court, a copy of the order, ruling or preliminary award or
decision of the arbitral tribunal, the appeal therefrom to the Court and the order or decision
of the Court shall all be attached to the petition.
If the ground of the petition is that the petitioner is an infant or a person judicially declared
to be incompetent, there shall be attached to the petition certified copies of documents
showing such fact. In addition, the petitioner shall show that even if the submission or
arbitration agreement was entered into by a guardian or guardian ad litem, the latter was not
authorized by a competent court to sign such the submission or arbitration agreement.
If on the basis of the petition, the opposition, the affidavits and reply affidavits of the
parties, the court finds that there is a need to conduct an oral hearing, the court shall set the
case for hearing. This case shall have preference over other cases before the court, except
criminal cases. During the hearing, the affidavits of witnesses shall take the place of their
direct testimonies and they shall immediately be subject to cross-examination thereon. The
Court shall have full control over the proceedings in order to ensure that the case is heard
without undue delay.

Rule 11.9. Court action. - Unless a ground to vacate an arbitral award under Rule 11.5
above is fully established, the court shall confirm the award.
An arbitral award shall enjoy the presumption that it was made and released in due course of
arbitration and is subject to confirmation by the court.
In resolving the petition or petition in opposition thereto in accordance with these Special
ADR Rules, the court shall either confirm or vacate the arbitral award. The court shall not
disturb the arbitral tribunal’s determination of facts and/or interpretation of law.
In a petition to vacate an award or in petition to vacate an award in opposition to a petition
to confirm the award, the petitioner may simultaneously apply with the Court to refer the
case back to the same arbitral tribunal for the purpose of making a new or revised award or
to direct a new hearing, or in the appropriate case, order the new hearing before a new
arbitral tribunal, the members of which shall be chosen in the manner provided in the

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 arbitration agreement or submission, or the law. 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.
In referring the case back to the arbitral tribunal or to a new arbitral tribunal pursuant to
Rule 24 of Republic Act No. 876, the court may not direct it to revise its award in a
particular way, or to revise its findings of fact or conclusions of law or otherwise encroach
upon the independence of an arbitral tribunal in the making of a final award.

b.) Vacating Domestic Awards

RA 9285
SEC. 41. Vacation Award. - A party to a domestic arbitration may question the arbitral
award with the appropriate regional trial court in accordance with the rules of procedure to
be promulgated by the Supreme Court only on those grounds enumerated in Section 25 of
Republic Act No. 876. Any other ground raised against a domestic arbitral award shall be
disregarded by the regional trial court.

RA 876
Section 24. Grounds for vacating 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 willfully 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.

IRR of RA 9285
Article 5.34. Application for Setting Aside an Exclusive Recourse against Arbitral
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.
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 Article 5.35. Grounds to Vacate an Arbitral Award. 
(a) 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:
(i) The arbitral award was procured by corruption, fraud or other undue means; or
(ii) There was evident partially or corruption in the arbitral tribunal or any of its
members; or
(iii) 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
(iv) One or more of the arbitrators was disqualified to act as such under this Chapter
and willfully refrained from disclosing such disqualification; or
(v) 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.
(b) 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.
(c) 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 5.36 (Pls. see above [page 120])
Rule 11, Special ADR Rules (Pls. see above [pages 120-123])

c.) Recognition and Enforcement of ICA Awards

1985/2006 Model Law

Article 35. Recognition and enforcement
1. An arbitral award, irrespective of the country in which it was made, shall be recognized
as binding and, upon application in writing to the competent court, shall be enforced
subject to the provisions of this article and of article 36.
2. The party relying on an award or applying for its enforcement shall supply the duly
authenticated original award or a duly certified copy thereof, and the original
arbitration agreement referred to in article 7 or a duly certified copy thereof. If the
award or agreement is not made in an official language of this State, the party shall
supply a duly certified translation thereof into such language.

Article 35. Recognition and enforcement

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(1) An arbitral award, irrespective of the country in which it was made, shall be recognized
as binding and, upon application in writing to the competent court, shall be enforced
subject to the provisions of this article and of article 36.
(2) The party relying on an award or applying for its enforcement shall supply the original
award or a copy thereof. If the award is not made in an official language of this State,
the court may request the party to supply a translation thereof into such language.

Special ADR Rules

(Rule 12: Recognition and Enforcement or Setting Aside of an International Commercial

Arbitration Award)
Rule 12.1. Who may request recognition and enforcement or setting aside. - Any party to
an international commercial arbitration in the Philippines may petition the proper court to
recognize and enforce or set aside an arbitral award.

Rule 12.2. When to file petition. –

(A) Petition to recognize and enforce. - The petition for enforcement and recognition of an
arbitral award may be filed anytime from receipt of the award. If, however, a timely
petition to set aside an arbitral award is filed, the opposing party must file therein and in
opposition thereto the petition for recognition and enforcement of the same award
within the period for filing an opposition.
(B) Petition to set aside. - The petition to set aside an arbitral award may only be filed
within three (3) months from the time the petitioner receives a copy thereof. If a timely
request is made with the arbitral tribunal for correction, interpretation or additional
award, the three (3) month period shall be counted from the time the petitioner receives
the resolution by the arbitral tribunal of that request. A petition to set aside can no
longer be filed after the lapse of the three (3) month period. The dismissal of a petition
to set aside an arbitral award for being time-barred shall not automatically result in the
approval of the petition filed therein and in opposition thereto for recognition and
enforcement of the same award. Failure to file a petition to set aside shall preclude a
party from raising grounds to resist enforcement of the award.

Rule 12.3. Venue. - A petition to recognize and enforce or set aside an arbitral award may,
at the option of the petitioner, be filed with the Regional Trial Court: (a) where arbitration
proceedings were conducted; (b) where any of the assets to be attached or levied upon is
located; (c) where the act to be enjoined will be or is being performed; (d) where any of the
parties to arbitration resides or has its place of business; or (e) in the National Capital
Judicial Region.
Rule 12.4. Grounds to set aside or resist enforcement. - The court may set aside or refuse
the enforcement of the arbitral award only if:
a. 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 it or,
failing any indication thereof, under Philippine law; or
(ii) The party making the application to set aside or resist enforcement was not given
proper notice of the appointment of an arbitrator or of the arbitral proceedings or
was otherwise unable to present his case; or
(iii) The award deals with a 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; provided that, if the decisions on matters

128
 submitted to arbitration can be separated from those not so submitted, only that
part of the award which contains decisions on matters not submitted to arbitration
may be set aside or only that part of the award which contains decisions on matters
submitted to arbitration may be enforced; or
(iv) 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 Philippine law from which the parties cannot derogate,
or, failing such agreement, was not in accordance with Philippine law;
b. The court finds that:
(i) The subject-matter of the dispute is not capable of settlement by arbitration under
the law of the Philippines; or
(ii) The recognition or enforcement of the award would be contrary to public policy.
In deciding the petition, the Court shall disregard any other ground to set aside or
enforce the arbitral award other than those enumerated above.
The petition to set-aside or a pleading resisting the enforcement of an arbitral award on
the ground that a party was a minor or an incompetent shall be filed only on behalf of
the minor or incompetent and shall allege that (a) the other party to arbitration had
knowingly entered into a submission or agreement with such minor or incompetent, or
(b) the submission to arbitration was made by a guardian or guardian ad litem who was
not authorized to do so by a competent court.

Rule 12.5. Exclusive recourse against arbitral award. - Recourse to a court against an
arbitral award shall be made only through a petition to set aside the arbitral award and on
grounds prescribed by the law that governs international commercial arbitration. Any other
recourse from the arbitral award, such as by appeal or petition for review or petition for
certiorari or otherwise, shall be dismissed by the court.

Rule 12.6. Form. - The application to recognize and enforce or set aside an arbitral award,
whether made through a petition to recognize and enforce or to set aside or as a petition to
set aside the award in opposition thereto, or through a petition to set aside or petition to
recognize and enforce in opposition thereto, shall be verified by a person who has personal
knowledge of the facts stated therein. When a petition to recognize and enforce an arbitral
award is pending, the application to set it aside, if not yet time-barred, shall be made
through a petition to set aside the same award in the same proceedings. When a timely
petition to set aside an arbitral award is filed, the opposing party may file a petition for
recognition and enforcement of the same award in opposition thereto.

Rule 12.7. Contents of petition. –

(A) Petition to recognize and enforce. - The petition to recognize and enforce or petition to
set aside in opposition thereto, or petition to set aside or petition to recognize and
enforce in opposition thereto, shall state the following:
a. The addresses of record, or any change thereof, of the parties to arbitration;
b. A statement that the arbitration agreement or submission exists;
c. The names of the arbitrators and proof of their appointment;
d. A statement that an arbitral award was issued and when the petitioner received it;
and
e. The relief sought.
Apart from other submissions, the petitioner shall attach to the petition the following:
a. An authentic copy of the arbitration agreement;
b. An authentic copy of the arbitral award;

129
 c. A verification and certification against forum shopping executed by the applicant
in accordance with Sections 4 and 5 of Rule 7 of the Rules of Court; and
d. An authentic copy or authentic copies of the appointment of an arbitral tribunal.
(B) Petition to set aside. - The petition to set aside or petition to set aside in opposition to a
petition to recognize and enforce an arbitral award in international commercial
arbitration shall have the same contents as a petition to recognize and enforce or
petition to recognize and enforce in opposition to a petition to set aside an arbitral
award. In addition, the said petitions should state the grounds relied upon to set it aside.
Further, if the ground of the petition to set aside is that the petitioner is a minor or
found incompetent by a court, there shall be attached to the petition certified copies of
documents showing such fact. In addition, the petitioner shall show that even if the
submission or arbitration agreement was entered into by a guardian or guardian ad
litem, the latter was not authorized by a competent court to sign such the submission or
arbitration agreement.
In either case, if another court was previously requested to resolve and/or has resolved,
on appeal, the arbitral tribunal’s preliminary determination in favor of its own
jurisdiction, the petitioner shall apprise the court before which the petition to recognize
and enforce or set aside is pending of the status of the appeal or its resolution.

Rule 12.8. Notice. - Upon finding that the petition filed under this Rule is sufficient both in
form and in substance, the court shall cause notice and a copy of the petition to be delivered
to the respondent directing him to file an opposition thereto within fifteen (15) days from
receipt of the petition. In lieu of an opposition, the respondent may file a petition to set aside
in opposition to a petition to recognize and enforce, or a petition to recognize and enforce in
opposition to a petition to set aside.
The petitioner may within fifteen (15) days from receipt of the petition to set aside in
opposition to a petition to recognize and enforce, or from receipt of the petition to recognize
and enforce in opposition to a petition to set aside, file a reply.
Rule 12.9. Submission of documents. - If the court finds that the issue between the parties
is mainly one of law, the parties may be required to submit briefs of legal arguments, not
more than fifteen (15) days from receipt of the order, sufficiently discussing the legal issues
and the legal basis for the relief prayed for by each of them.
If the court finds from the petition or petition in opposition thereto that there are issues of
fact relating to the ground(s) relied upon for the court to set aside, it shall require the parties
within a period of not more than fifteen (15) days from receipt of the order simultaneously
to submit the affidavits of all of their witnesses and reply affidavits within ten (10) days
from receipt of the affidavits to be replied to. There shall be attached to the affidavits or
reply affidavits, all documents relied upon in support of the statements of fact in such
affidavits or reply affidavits.

Rule 12.10. Hearing. - If on the basis of the petition, the opposition, the affidavits and reply
affidavits of the parties, the court finds that there is a need to conduct an oral hearing, the
court shall set the case for hearing. This case shall have preference over other cases before
the court, except criminal cases. During the hearing, the affidavits of witnesses shall take
the place of their direct testimonies and they shall immediately be subject to cross-
examination thereon. The court shall have full control over the proceedings in order to
ensure that the case is heard without undue delay.

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 Rule 12.11. Suspension of proceedings to set aside. - The court when asked to set aside an
arbitral award may, where appropriate and upon request by a party, suspend the proceedings
for a period of time determined by it 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. The court, in referring the case back to the arbitral
tribunal may not direct it to revise its award in a particular way, or to revise its findings of
fact or conclusions of law or otherwise encroach upon the independence of an arbitral
tribunal in the making of a final award.
The court when asked to set aside an arbitral award may also, when the preliminary ruling
of an arbitral tribunal affirming its jurisdiction to act on the matter before it had been
appealed by the party aggrieved by such preliminary ruling to the court, suspend the
proceedings to set aside to await the ruling of the court on such pending appeal or, in the
alternative, consolidate the proceedings to set aside with the earlier appeal.
Rule 12.12. Presumption in favor of confirmation. - It is presumed that an arbitral award
was made and released in due course and is subject to enforcement by the court, unless the
adverse party is able to establish a ground for setting aside or not enforcing an arbitral
award.

Rule 12.13. Judgment of the court. - Unless a ground to set aside an arbitral award under
Rule 12.4 above is fully established, the court shall dismiss the petition. If, in the same
proceedings, there is a petition to recognize and enforce the arbitral award filed in
opposition to the petition to set aside, the court shall recognize and enforce the award. In
resolving the petition or petition in opposition thereto in accordance with the Special ADR
Rules, the court shall either set aside or enforce the arbitral award. The court shall not
disturb the arbitral tribunal’s determination of facts and/or interpretation of law.

Rule 12.14. Costs. - Unless otherwise agreed upon by the parties in writing, at the time the
case is submitted to the court for decision, the party praying for recognition and
enforcement or setting aside of an arbitral award shall submit a statement under oath
confirming the costs he has incurred only in the proceedings for such recognition and
enforcement or setting aside. The costs shall include the attorney’s fees the party has paid or
is committed to pay to his counsel of record.
The prevailing party shall be entitled to an award of costs, which shall include reasonable
attorney’s fees of the prevailing party against the unsuccessful party. The court shall
determine the reasonableness of the claim for attorney’s fees.

d.) Refusal of Recognition or Enforcement of ICA Awards

1985/2006 Model Law

Article 36. Grounds for refusing recognition or enforcement
1. Recognition or enforcement of an arbitral award, irrespective of the country in which it
was made, may be refused only:
(a) at the request of the party against whom it is invoked, if that party furnishes to the
competent court where recognition or enforcement is sought proof that:
(i) a party to the arbitration agreement referred to in article 7 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 country where the award was made; or

131
 (ii) the party against whom the award is invoked was not given proper notice of
the appointment of an arbitrator or of the arbitrator proceedings or was
otherwise unable to present his case; or
(iii) the award deals with a dispute not contemplated by or not falling within the
terms of the submission to arbitration, or it 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, that part of the award which contains decisions on matters
submitted to arbitration may be recognized and enforced; or
(iv) 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 took
place; or
(v) the award has not yet 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; or
(b) if the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration
under the law of this State; or
(ii) the recognition or enforcement of the award would be contrary to the public
policy of this State.
2. If an application for setting aside or suspension of an award has been made to a court
referred to in paragraph (1) (a) (v) of this article, the court where recognition or
enforcement is sought may, if it considers it proper, adjourn its decision and may also,
on the application of the party claiming recognition or enforcement of the award, order
the other party to provide appropriate security.
Article 36. Grounds for refusing recognition or enforcement
(1) Recognition or enforcement of an arbitral award, irrespective of the country in which it
was made, may be refused only:
(a) at the request of the party against whom it is invoked, if that party furnishes to the
competent court where recognition or enforcement is sought proof that:
(i) a party to the arbitration agreement referred to in article 7 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 country
where the award was made; or
(ii) 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
unable to present his case; or
(iii) the award deals with a dispute not contemplated by or not falling within the
terms of the submission to arbitration, or it 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, that part of the award which contains decisions on matters submitted
to arbitration may be recognized and enforced; or
(iv) 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 took place;
or
(v) the award has not yet 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; or
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 (b) if the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration
under the law of this State; or
(ii) the recognition or enforcement of the award would be contrary to the public
policy of this State.
(2) If an application for setting aside or suspension of an award has been made to a court
referred to in paragraph (1)(a)(v) of this article, the court where recognition or
enforcement is sought may, if it considers it proper, adjourn its decision and may also,
on the application of the party claiming recognition or enforcement of the award, order
the other party to provide appropriate security.

Special ADR Rules

Rule 12: Recognition and Enforcement or Setting Aside of an International Commercial
Arbitration Award (Pls. see above [pages 125-129])

e.) Setting Aside of ICA Awards (By Courts in the Seat of Arbitration)

1985/2006 Model Law

Article 34. Application for setting aside as exclusive recourse against arbitral award
1. Recourse to a court against an arbitral award may be made only by an application for
setting aside in accordance with paragraphs (2) and (3) of this article.
2. An arbitral award may be set aside by the court specified in article 6 only if:
(a) the party making the application furnishes proof that:
(i) a party to the arbitration agreement referred to in article 7 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 this State;
or
(ii) the party making the application was not given proper notice of the
appointment of an arbitrator or of the arbitral proceedings or was otherwise
unable to present his case; or
(iii) the award deals with a 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, provided that, if the decisions on
matters submitted to arbitration can be separated from those not so submitted,
only that part of the award which contains decisions on matters not submitted
to arbitration may be set aside; or
(iv) 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 this Law from which the parties cannot derogate,
or, failing such agreement, was not in accordance with this Law; or
(b) the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration
under the law of this State; or
(ii) the award is in conflict with the public policy of this State.
3. 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 that award or, if a
request had been made under article 33, from the date on which that request had been
disposed of by the arbitral tribunal.
4. 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
133
 or to take such other action as in the arbitral tribunal's opinion will eliminate the
grounds for setting aside.

Article 34. Application for setting aside as exclusive recourse against arbitral award
(1) Recourse to a court against an arbitral award may be made only by an application for
setting aside in accordance with paragraphs (2) and (3) of this article.
(2) An arbitral award may be set aside by the court specified in article 6 only if:
(a) the party making the application furnishes proof that:
(i) a party to the arbitration agreement referred to in article 7 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
this State; or
(ii) the party making the application was not given proper notice of the
appointment of an arbitrator or of the arbitral proceedings or was otherwise
unable to present his case; or
(iii) the award deals with a 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, provided that, if the
decisions on matters submitted to arbitration can be separated from those not
so submitted, only that part of the award which contains decisions on matters
not submitted to arbitration may be set aside; or
(iv) 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 this Law from which the parties cannot derogate,
or, failing such agreement, was not in accordance with this Law; or
(b) the court finds that:
(i) the subject-matter of the dispute is not capable of settlement by arbitration
under the law of this State; or
(ii) the award is in conflict with the public policy of this State.
(3) 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 33, from the date on which that request had been
disposed of by the arbitral tribunal.
(4) 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.

IRR of RA 9285
Article 4.34. Application for Setting Aside an Exclusive Recourse 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:
(i) the party making the application furnishes proof that:
(aa) 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

134
 (bb) the party making the application was not given proper notice of the
appointment of an arbitrator or of the arbitral proceedings or was otherwise
unable to present his case; or
(cc) 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
(dd) 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
(ii) the Court finds that:
(aa) the subject-matter of the dispute is not capable of settlement by arbitration
under the law of the Philippines; or
(bb) 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.

f.) Recognition and Enforcement of Foreign Awards

New York Convention

Article I
1. This Convention shall apply to the recognition and enforcement of arbitral awards
made in the territory of a State other than the State where the recognition and
enforcement of such awards are sought, and arising out of differences between persons,
whether physical or legal. It shall also apply to arbitral awards not considered as
domestic awards in the State where their recognition and enforcement are sought.
2. The term “arbitral awards” shall include not only awards made by arbitrators appointed
for each case but also those made by permanent arbitral bodies to which the parties
have submitted.
3. When signing, ratifying or acceding to this Convention, or notifying extension under
article X hereof, any State may on the basis of reciprocity, declare that it will apply the
Convention to the recognition and enforcement of awards made only in the territory of
another Contracting State. It may also declare that it will apply the Convention only to
differences arising out of legal relationships, whether contractual or not, which are
considered as commercial under the national law of the State making such declaration.
Article III

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Each Contracting State shall recognize arbitral awards as binding and enforce them in
accordance with the rules of procedure of the territory where the award is relied upon, under
the conditions laid down in the following articles. There shall not be imposed substantially
more onerous conditions or higher fees or charges on the recognition or enforcement of
arbitral awards to which this Convention applies than are imposed on the recognition or
enforcement of domestic arbitral awards.

Article IV
1. To obtain the recognition and enforcement mentioned in the preceding article, the party
applying for recognition and enforcement shall, at the time of the application, supply:
(a) The duly authenticated original award or a duly certified copy thereof;
(b) The original agreement referred to in article II or a duly certified copy thereof.
2. If the said award or agreement is not made in an official language of the country in
which the award is relied upon, the party applying for recognition and enforcement of
the award shall produce a translation of these documents into such language. The
translation shall be certified by an official or sworn translator or by a diplomatic or
consular agent.

1985/2006 Model Law

Article 35. Recognition and enforcement
1. An arbitral award, irrespective of the country in which it was made, shall be recognized
as binding and, upon application in writing to the competent court, shall be enforced
subject to the provisions of this article and of article 36.
2. The party relying on an award or applying for its enforcement shall supply the duly
authenticated original award or a duly certified copy thereof, and the original
arbitration agreement referred to in article 7 or a duly certified copy thereof. If the
award or agreement is not made in an official language of this State, the party shall
supply a duly certified translation thereof into such language.

IRR of RA 9285

Article 4.35. Recognition and Enforcement.

(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.
(i) 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
(ii) 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 copy of 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.
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 (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.

 CONVENTION AWARDS
 NON-CONVENTION AWARDS

g.) Refusal of Recognition and Enforcement of Foreign Awards (In Courts of Secondary
Jurisdiction)

New York Convention

Article V
1. Recognition and enforcement of the award may be refused, at the request of the party
against whom it is invoked, only if that party furnishes to the competent authority
where the recognition and enforcement is sought, proof that:
(a) The parties to the agreement referred to in article II were, 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 the arbitrator or of the arbitration proceedings or was otherwise
unable to present his case; or
(c) The award deals with a difference not contemplated by or not . falling within the
terms of the submission to arbitration, or it 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, 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 authority 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 took place; or
(e) The award has not yet become binding on the parties, or has been set aside or
suspended by a competent authority of the country in which, or under the law of
which, that award was made.
2. Recognition and enforcement of an arbitral award may also be refused if the competent
authority in the country where recognition and enforcement is sought finds that:
(a) The subject matter of the difference is not capable of settlement by arbitration
under the law of that country; or
(b) The recognition or enforcement of the award would be contrary to the public
policy of that country.

IRR of RA 9285

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Article 4.36. Grounds for Refusing Recognition or Enforcement.
A. 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 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, 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. 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 of comity 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

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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.

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