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 arbitrator’s inhibition or accept the arbitrator’s appointment

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 – VenueHow determined:• The venue, date and time of hearing:• Mutually agreed upon by the parties and arbitral tribunal• In case of disagreement, the arbitral tribunal’s decision shall prevail

Rule 13 – Arbitration ProceedingsGeneral 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 ProceedingsGeneral 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 tribunal’s 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 ProceedingsEvidence, 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 ProceedingsArbitrators/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 it’s own initiative

• Should not reject any document documentary evidence UNLESS completely irrelevant

Rule 13 – Arbitration ProceedingsArbitrators/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 ProceedingsParties:• 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 ProceedingsParties:• 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. pleadings• 2. evidence• 3. memoranda • 4. or draft decisions

Rule 13 – Arbitration ProceedingsHearing:• 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 tirunal’s 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 ProceedingsAward:• 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.