Rule 11 - Preliminary Conference and Terms of

Reference(TOR)
After appointment:

The arbitrator/arbitral tribunal shall:

Set the case for Preliminary Conference not later than 15 days
Notify parties:
To finalize TOR with a draft copy of such
To consider:
a. possibility of amicable settlement;
b. necessity or desirability of amendments to pleadings;
c. obtaining stipulations or admission of facts and/or documents to avoid
unnecessary proof;
d. limitation of the number of witnesses;
e. suggested formulation of issues by the parties;
f. application for interim relief, appointment of experts and necessity of site inspection;
and
g. such other matters as may aid in the just and speedy disposition of the case.

Rule 11 - Preliminary Conference and Terms of

Reference(TOR)
Terms of Reference(TOR):
Function of TOR:
Like a judicial pre-trial order
Controls the arbitration proceedings UNLESS corrected for manifest errors upon motion not later that
the date of hearing

Contents:
a) the full names of the parties, and their respective counsels, if any;
b) the addresses and contact numbers of the parties/counsels, to which notifications or communications
arising in the course of the arbitration may validly be made;
c) a summary of the parties' respective claims;
d) full statement of admitted facts and documents;
e) the issues to be resolved in question form;
f) the Arbitrators' full names;
g) the place where arbitration proceedings shall be held;
h) the breakdown, schedule of payments, and sharing of arbitration fees;
i) such other particulars as may be required by the Arbitral Tribunal for the proper and speedy
adjudication of the case.

Rule 11 - Preliminary Conference and Terms of

Reference(TOR)
Terms of Reference(TOR):

Finalized and signed not later than 5 days from

inception
Signed on every page by the parties and their
respective counsels and arbitral tribunal
Proceedings may proceed without the TOR, on the basis
of issues formulated by pleadings filed by the parties

Rule 11 - Preliminary Conference and Terms of

Reference(TOR)
Preliminary Conference:

Arbitrators:
Shall introduce themselves regarding their professional
training and experience
Disclose, in case an arbitrator failed to make a written
disclosure, circumstances likely to give rise to any justiciable
doubt as to:
A. impartiality or independence
B. financial or personal interest in the outcome of the arbitration
C. any existing or past relationships with any individual or corporate
party together with their respective relatives or principal
stockholders/officers or foreseeable participant
NOTE: Parties may ask clarificatory questions in order for them to
decide whether to move for an arbitrators inhibition or accept the

Rule 11 - Preliminary Conference and Terms of

Reference(TOR)
Preliminary Conference:

TOR
If there are no factual issues:
Case may be deemed submitted for decision without oral
hearing
On the basis of documentary evidence already submitted by
the parties

Rule 12 Venue
How determined:

The venue, date and time of hearing:

Mutually agreed upon by the parties and arbitral tribunal
In case of disagreement, the arbitral tribunals decision shall
prevail

Rule 13 Arbitration Proceedings

General considerations:

For purposes of conducting a hearing, two members of

an arbitral tribunal constitutes a quorum
The arbitral tribunal shall inform the parties of the rules
and procedures
The arbitral tribunal is not bound by:
1. technicalities
2. legal forms
3. technical rules of evidence

Rule 13 Arbitration Proceedings

General considerations:

Arbitration proceedings may proceed even in the absence of

a party:
1. if after due notice, a party fails to be present
2. if a party fails to obtain an adjournment
NOTE: an award should be based on evidence submitted and proven and no
award may based solely on the default of a party

Adjournments:
upon the arbitral tribunals own initiative or upon either parties request
it shall not be more than 5 working days, EXCEPT:
The proceedings are suspended, upon notice of the CIAC, due to payment defaults of any
or both of the parties.
NOTE: The proceedings shall resume upon notice of the CIAC of the compliance of
arbitration fees.

Rule 13 Arbitration Proceedings

Evidence, in general:

Parties may offer any evidence

How evidence is taken
In the presence of the arbitral tribunal and parties, EXCEPT
when the party:
1. is absent
2. waived his/her right to be present

Rule 13 Arbitration Proceedings

Arbitrators/Arbitral Tribunal:
Testimony:
May require any person to give testimony at any proceedings for arbitration
In lieu of a witness direct testimony, they may the require simultaneous
submission of affidavits of witnesses attaching thereto pertinent documents
supportive of their respective declarations
May ask clarificatory questions of the witnesses at any stage of the
proceedings

Documentary evidence:
May require any person, board, body, tribunal, or government office, agency
or instrumentality, or corporation to produce real or documentary evidences
necessary for the proper adjudication of the issues, UPON its own initiative
Should not reject any document documentary evidence UNLESS completely
irrelevant

Rule 13 Arbitration Proceedings

Arbitrators/Arbitral Tribunal:
Site inspection
May, motu proprio after notice to the parties, conduct a site
inspection of any building, place or premises, including any
work, material, implement, machinery, appliance or any object
therein.
May decide on the necessity of a site inspection, and may
consider whether a video or pictorial presentation may
suffice.

Summation
May direct the parties to make a brief oral summation at the end
of the oral hearing

Rule 13 Arbitration Proceedings

Parties:

Documentary evidence
May require any person, board, body, tribunal, or government office, agency or
instrumentality, or corporation to produce real or documentary evidences
necessary for the proper adjudication of the issues, UPON motion of either party
Documents not offered at hearing
May still be filed within 5 days from the termination of the hearing, if:
During hearing, parties agreed
NOTE: Both, shall have the right to examine it

Site inspection
May request the arbitral tribunal to conduct such, on motion of either party
In such case, the cost and expenses are equally shared by both parties,
UNLESS
The tribunal orders the party benefitted from such inspection to bear the expenses

Rule 13 Arbitration Proceedings

Parties:

Memoranda or draft decisions

If any or both of the parties so desire, written memoranda or draft decisions
may be submitted not later than ten (10) calendar days from:
1. the termination of the hearing
2. Or from the date of the filing of additional documents as previously agreed upon
NOTE: If both parties agree to submit memoranda or draft decisions, the filing shall be
simultaneous.

Award or decision on the pleadings

Instead of a formal hearing, the parties may agree to submit the issues for
resolution after the filing of:

1.
2.
3.
4.

pleadings
evidence
memoranda
or draft decisions

Rule 13 Arbitration Proceedings

Hearing:

Closing of hearing
A proceeding is considered closed and no further
pleadings/papers shall be filed nor accepted for filing, when:
After the submission of the draft decision/final memorandum of
arguments
And/or the lapse of the period given for the submission thereof

Re-opening of hearing
How: Upon motion of either party or the arbitral tirunals own
initiative
When: Anytime before an award is renedered
Effect: The effective date for the closing of the hearing shall
be the date of closing of the reopened hearing.

Rule 13 Arbitration Proceedings

Award:

Period to make a final award

Will start from the date of the:
1. termination of the hearing
2. filing of additional documents
3. submission date of memoranda, pleadings, documents or evidences

Time of award
When there is a TOR
within thirty (30) days from the time the case is submitted for resolution but not more
than six (6) months from the date of signing of the TOR

When there is no TOR

not more than six (6) months from the date of the last preliminary conference called
for the purpose of finalizing and/or signing of the TOR.

NOTE: There shall be no extensions of time unless approved by the CIAC.