Alternative dispute resolution (ADR) techniques are used to resolve disputes without formal litigation. Common ADR techniques described in the document include negotiation, conciliation, mediation, early neutral evaluation, arbitration, med-arb, expert determination, case presentation, conferencing, facilitation, fact finding, independent expert appraisal, multi-door courthouse/multi-door centre, rent-a-judge, and adjudication. The document provides definitions and descriptions of these various dispute resolution processes and how they are used to settle disputes between parties.

1. ALTERNATIVE DISPUTE
RESOLUTION
its
Processes
AND
The Katarungan Pambarangay

2. Alternative Dispute Resolution (ADR)
• is a catch-all phrase used by many writers to describe the growing array of techniques that can be
used to resolve disputes without the formal judgment obtained through adjudication.
Other “A” words used by various writers and commentators for the “A” in ADR have
included “appropriate”, “additional”, and “assisted”. ADR mechanisms usually involve
the use of impartial interveners who are referred to as “third parties” or as “neutrals”.
Some writers define alternatives dispute resolution more broadly to mean finding
better ways to resolve disputes, including those that have not reached – and may
never reach – the courts or other official forums.
Other writers place emphasis specifically on the need to alleviate the burden on
courts.
ADR is also often described as a kind of social movement that embraces such
goals as alleviating court congestion, enhancing access to justice, and
strengthening the capacity of communities and neighborhoods to resolve conflicts
before they reach the courts.

3. Negotiation
• is a process in which two or more parties try to resolve differences, solve problems,
and reach agreement.
• The objective of any negotiation is to have many interests met as possible in an
agreement that is durable.
PRINCIPLED NEGOTIATION
Principled negotiation is a comprehensive mutual gains approach to reaching
agreement based on 4 key principles:
• Separate people from the problem
• Focus on needs and interests not positions
• Base outcomes on objective standards
• Create options for mutual gains (Win/Win) Fisher "Getting to Yes"

4. Conciliation (R.A. 9285) (used in Katarungang Pambarangay)
• is akin to mediation but usually is used in agencies which administer rights granted
under legislation, and in tribunals or courts under regulations and rules. Often it is not
a voluntary process for the responding party, who can be coerced into the process
once a complaint has been made.
• The conciliator usually has to ensure the terms of settlement enforce the terms of the
legislation protecting the rights that are alleged to have been infringed. In other words,
the conciliator acts as an advocate for the terms of the legislation under which he/she
works.
• The conciliator need not bring the parties together but may engage in shuttle
negotiation between the parties. Often tribunals established to resolve disputes in a
particular industry will conciliate prior to imposing a decision on the parties.

5. Mediation (R.A. 9285) (used in Katarungang Pambarangay)
• is a structured negotiation process in which a neutral third party, the
mediator, who is independent of the parties, assists them to agree on their
own solution to their dispute by assisting them systematically to isolate the
issues in dispute, to develop options to assist the parties to the dispute to
achieve their own resolution of the dispute in an agreement which
accommodates the interests of all the disputants as much as possible.
• The mediator brings the parties together and may only suggest options for
settlement if requested to do so, but does not impose terms of settlement on
the parties.
• Mediation is increasingly becoming compulsory in the courts prior to pre-trial.
The mediator is often an officer of the court allocated to the dispute, rather
than one chosen by the parties. While mediators may, under certain
circumstances, make suggestions to the parties about potential resolutions,
they are not empowered to render decisions.

6. Early neutral evaluation (ENE) [R.A. 9285]
• a process of evaluation of a dispute in which the evaluator seeks
to identify and reduce the issues of fact and laws that are in
dispute.
• The evaluator’s role includes assessing the relative strengths and
weaknesses of each party’s case and offering an opinion as to the
likely outcome of the proceedings, including any likely findings
of liability or the award of compensation.

7. Arbitration (R.A. 9285) (used in Katarungang Pambarangay)
• is widely used in commercial and personal injury disputes. It involves the
submission of a dispute to a third party who renders a decision after hearing
arguments and reviewing the evidence.
• Originally it was less rigidly structured and less complex and often can be
concluded more quickly than formal court proceedings. However, the
tendency has been for formal arbitration to become more akin to private
judging. As a consequence formal arbitration is often as formal, costly and
lengthy as court proceedings.
• In its most common form, the parties select their arbitrator/s and are bound
by that person or panel’s decision, either by prior agreement or by statute.

8. Alternative dispute resolution techniques involving the use of
neutrals are often divided into two categories:
(1) settlement negotiated by the disputant and
(2) settlements mandated by a third party.
A more recent development has been the merging of the two.
If the parties are unable to resolve their differences voluntarily, the
third party is authorized to dictate the terms of the settlements.

9. Med-Arb (R.A. 9285)
• is a dispute resolution process that combines some of the features of both
mediation and arbitration.
• Most med-arb proceedings call for a third-party to first mediate as many
issues as possible and then, by permission of the parties, to arbitrate those
that remain.
• In some versions, the same neutral performs the two roles; in others, the role
is split between several neutrals. Other variations include the combination of
mediation and advisory arbitration and the use of a panel in which an
arbitrator is privy to non-confidential portions of the mediation proceedings.

10. Expert Determination
• occurs where an independent expert in the subject matter of the case is appointed to
investigate the dispute and to make a binding decision on the dispute. The writer
advises the expert to prepare a draft opinion and submit it to all parties. This turns the
process into a type of mediation on the draft opinion and gives responsibility back to
the parties if possible.
Case Presentation
• is a structured information exchange followed by a negotiation between senior
executives of companies in dispute. Representatives of the companies present brief
and concise summaries of their cases to the senior executives of the companies who
are present at the same time having authority to settle. Sometimes expert witnesses
also present their opinions. Then the senior executives, being more fully informed
about the dispute and the strengths and weaknesses of each company’s case, retire to
negotiate a settlement.
• The presentations usually last about half to one full day for each side. And
independent third party (often a retired judge) may chair the presentation session,
though this appears not commonly used. The independent third party may give an
expert appraisal prior to the senior executives retiring to negotiate. If the independent
third party is a judge, that appraisal can include advice on the likely outcome of the
dispute in a court.

11. Conferencing
• encompasses a number of process models which are being tested in criminal
justice jurisdictions. Some of the models encompass a mediation process
when the aim of the conference is to address community conflict issues.
Generally though, the philosophical basis is not win/win but a shift from
retributive justice to reparative justice or a focus on re-integrative shaming
rather than rehabilitative programs for re-socializing offenders e.g. Family
Group Conferences for juvenile offenders.
Facilitation
• is a collaborative process used to help a group of individuals or parties with
divergent views reach a goal or complete a task to the mutual satisfaction of
the participants.
• The facilitator functions as a neutral process expert and avoids making
substantive contributions. The facilitator’s task is to help the parties improve
the definition of issues and to increase the likelihood that a consensus will be
reached.

12. Fact Finding
• is a process used primarily, but by no means exclusively, in public sector collective
bargaining. A fact finder, drawing on both information provided by the parties and on
additional research, recommends a resolution of each outstanding issue.
• Fact Finding is typically a non-binding process that paves the way for further
negotiations and mediation.
Independent Expert Appraisal
• is where and independent expert on the subject area of the dispute, is appointed to
investigate and to deliver a non-binding opinion on the issue or issues.
• The independent expert acts in an inquisitorial manner and may see the parties
separately or together. The parties may then use the opinion as the basis of settlement
or, at least, as the basis for clarifying the issues between them. If the parties agree to
be bound by the opinion then the process is an expert determination.
• The issues the independent expert can investigate may be factual, a trade or industry
practice or custom, or legal.

13. “Multi-Door Court House”
(or “Multi-Door Centre”)
• is a conceptual innovation that would offer a variety of dispute resolution
services in one place using a single intake system that would screen clients and
cases.
• Under on model, a screening clerk would refer cases for mediation,
arbitration, fact-finding, or adjudication.
Rent-a-Judge
• is the popular name given to a procedure, presently authorized by legislation
in six USA states, in which the court can, on stipulation of the parties, refer a
pending lawsuit to a private neutral party for trial with the same effect as
thought he case were tried in the courtroom before a judge. The verdict can
be appealed through the regular court appellate system. It is sometimes
referred to as “private judging”.

14. Adjudication
• is the formal giving or pronouncing of a judgment and its entry as an official
record.
• More broadly, it is a conflict resolution process in which disputants, usually
through their lawyers, present arguments and evidence to a neutral third party
who, as judge and trier of fact, has the power to impose a binding decision.
• In general, adjudication also implies that judgment will be rendered according
to objective standards, rules or laws. Adjudication is provided by
government, through the Courts and bodies established to hear disputes and
give decisions.
Litigation
• is a process of disputing. It involves the carrying forth of any controversy
that must eventually be decided on the basis of evidence. To litigate means,
according to one legal dictionary, “to seek relief before a court”.

15. Dispute Resolution Processes Most Used
unstructed negotiation - direct
- assisted Partisan
intervener
Control with disputants
Consensual
informal
structured
assisted
negotiation
mediation
expert appraisal
(ENE)
conciliation
hybrid arbitration
Independent
intervener
structured
imposed
decision
expert determination
arbitration
adjudication control with intervener
adversarial
formal

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