Dispute Resolution and

Crisis Management
DR. JOSE MELARTE G. GOOCO JR.
PAMANTASAN NG LUNGSOD NG MUNTINLUPA
Dispute Resolution
​ ispute resolution is the process of settling disagreements
D
or conflicts between different parties. It encompasses
various methods, such as mediation, arbitration, and
litigation, that can be used to resolve disputes without
resorting to violence or escalation. Dispute resolution is an
important requirement in international trade and is used to
resolve a wide range of conflicts, including those involving
consumers, businesses, family members, and governments.
Alternative Dispute Resolution
Alternative Dispute Resolution (ADR) refers to a range of processes
and techniques used to resolve disputes without formal litigation.
The most common types of ADR include mediation, arbitration,
conciliation, negotiation, and neutral evaluation.
​ DR methods are designed to provide faster, more cost-effective,
A
and more flexible alternatives to traditional court proceedings.
While the various ADR methods differ in their specific processes,
they all share the common goal of enabling parties to find mutually
agreeable solutions outside of the formal legal system.
Types of Alternative Dispute Resolution

•Mediation
• A neutral third-party mediator facilitates discussions between the parties
to help them reach a voluntary, non-binding agreement.
•Arbitration
• A neutral arbitrator or panel hears arguments and evidence from both
sides, then renders a binding decision.
•Conciliation
• A hybrid of mediation and arbitration, where a neutral conciliator provides
recommendations to help the parties reach a resolution.
•Negotiation
• The parties directly communicate and work together to find a
mutually agreeable solution.
•Neutral Evaluation
• A neutral third-party evaluates the merits of the case and
provides an assessment to help guide the parties towards
settlement.
Benefits of Alternative Dispute Resolution

ADR is generally faster, less costly, and more flexible than

traditional litigation.
•ADR allows the parties more control over the process and the
outcome, rather than having a decision imposed by a judge or
jury.
•Using ADR can help preserve important relationships between the
parties and minimize divisiveness.
•ADR processes, such as mediation, can enable more creative and
customized solutions to complex disputes
Understanding Conflict

Understanding Conflict
•​Conflict is a state of opposition, disagreement, or
incompatibility between two or more people, groups, or
interests.
•It can arise from a clash of ideas, values, actions, or desires,
and often involves a struggle for power, resources, or
position.
Conflict can take many forms, including:

• Interpersonal conflict between individuals

• Intragroup conflict within a single group
• Intergroup conflict between different groups
• Organizational conflict within or between organizations
• International conflict between nations or states
Types of Conflict

Constructive Conflict: Disagreements that can lead to positive outcomes,

such as improved understanding, creativity, and problem-solving.23
•Destructive Conflict: Disagreements that are harmful and unproductive,
often escalating into hostility, aggression, and damaged relationships.5
•Intrapersonal Conflict: Internal conflicts experienced by an individual, such
as conflicting desires or values.24
•Interpersonal Conflict: Conflicts between two or more individuals, often
stemming from differences in personalities, goals, or communication styles.
Causes of Conflict

Competing Interests: When individuals or groups have incompatible

goals, needs, or values.
•Poor Communication: Lack of clear or effective communication can
lead to misunderstandings and unresolved issues.
•Scarce Resources: Disputes over the allocation of limited resources,
such as money, time, or property.
•Structural Factors: Organizational policies, power dynamics, or
systemic inequalities that create the potential for conflict.
Conflict Theory of Karl Marx

Marxist conflict theory sees society as divided along lines of

economic class between the proletarian working class and the
bourgeois ruling class1.
•This theory views social and economic institutions as tools in the
struggle among groups or classes, used to maintain inequality
and the dominance of the ruling class1.
•Conflict theory posits that those with wealth and power try to
hold on to it by any means possible, chiefly by suppressing the
poor and powerless1
•A basic premise of conflict theory is that individuals and
groups within society will work to try to maximize their own
wealth and power1.
•Later versions of conflict theory look at other dimensions of
conflict among capitalist factions and among various social,
religious, and other types of groups1.
•Conflict theory assumes that the elite will set up systems of
laws, traditions, and other societal structures in order to
further support their own dominance while preventing
others from joining their ranks1.
•Marx theorized that, as the working class and poor were
subjected to worsening conditions, a collective
consciousness would raise more awareness about
inequality, and this would potentially result in revolt
Different Phases of Conflict
. Prelude to Conflict
•This is the initial stage where the potential for conflict exists, but
the conflict has not yet emerged or escalated.
•Key elements include differences in needs, values, and interests,
competition for scarce resources, power imbalances, and
communication breakdowns. ((9), (100), (102), (85), (233), (234))
•During this stage, the conflict is still latent and not openly
expressed.
 2. Triggering Event
•A specific incident or change in circumstances acts as a
catalyst, bringing the underlying tensions and differences to
the surface and causing the conflict to emerge. ((26), (30),
(87), (88))
•This triggering event leads the latent conflict to become
apparent and start to become active.
 3. Initiation Phase
•This is the stage where the conflict has already begun, with
heated arguments, abuses, and verbal disagreements. ((30),
(90))
•The parties become aware of the conflict and it starts to
unfold.
 4. Differentiation Phase
•In this stage, the parties voice out their differences against
each other and raise the reasons for the conflict. ((19), (35),
(91))
•The parties communicate to learn about each other's
positions, interests, and perspectives related to the issues in
the conflict. ((13), (15))
 5. Resolution Phase
•This is the stage where the parties explore various options
to resolve the conflict. ((92), (93))
•The goal is to find a mutually agreeable solution and settle
the dispute. ((14), (22))
Person's dimension during conflict
Assertiveness Dimension
Assertiveness represents the extent to which an individual
attempts to satisfy their own concerns during a conflict.2
Cooperativeness Dimension
Cooperativeness represents the extent to which an
individual attempts to satisfy the concerns of the other
person in a conflict.
The Two Dimensions Define Five Conflict Styles
The two dimensions of assertiveness and cooperativeness define five distinct conflict-
handling styles: Competing, Accommodating, Avoiding, Collaborating, and
Compromising.

Competing Style
The competing style is characterized by high assertiveness and low
cooperativeness, where the individual tries to satisfy their own
needs without considering the other person's concerns.2
Accommodating Style
The accommodating style is the opposite of competing, where the
individual puts aside their own needs to satisfy the needs of the
other person. This style is characterized by low assertiveness and
high cooperativeness.
Avoiding Style
The avoiding style is characterized by low assertiveness and low
cooperativeness, where the individual makes no attempt to satisfy
their own needs or the needs of the other person.
Collaborating Style
The collaborating style is characterized by high assertiveness and
high cooperativeness, where the individual attempts to work with
the other person to find a mutually acceptable solution that
satisfies the needs of all parties.
Compromising Style
The compromising style is characterized by moderate
assertiveness and moderate cooperativeness, where
the individual tries to find a middle ground or "split
the difference" to reach an agreement.
Methods of dispute resolution
Litigation
L​ itigation is the traditional method of dispute resolution, where parties
take their case to court and a judge or jury determines the outcome.
Litigation is an adversarial process where one side wins and the other
loses.
The purpose of litigation is to determine the truth and assign liability.
Litigation can be appropriate for disputes where the key issue is
determining facts and identifying a winner and loser.
Alternative Dispute Resolution (ADR)
ADR refers to methods of resolving disputes outside of the court
system, such as mediation, arbitration, and collaborative law.
ADR methods are generally faster, more confidential, and more flexible
than litigation.
ADR allows parties to have more control over the process and the
outcome.
ADR is well-suited for disputes where the goal is to find a mutually
acceptable resolution, rather than determining a winner and loser.
Collaborative Law
Collaborative law is a structured ADR method where parties agree to
resolve their dispute without going to court.
In collaborative law, the parties and their attorneys agree to work
together to reach a settlement.
If the collaborative process breaks down, the attorneys must withdraw
and the parties must find new lawyers for any court proceedings.
Collaborative law is well-suited for highly emotional disputes such as
divorce, business dissolutions, and wrongful discharge claims.
 Negotiation
•Negotiation is a private, efficient, and cost-effective way to resolve
disputes.3
•It is a process where the disputants communicate with each other,
directly or indirectly, about the issues in disagreement in order to
reach a settlement.3
•Through negotiation, the disputants have maximum control over
the outcome and can fashion a settlement that meets their
individual needs.
Restorative Justice
​ estorative justice is an approach to dispute resolution that
R
focuses on repairing the harm caused by a wrongful act, rather
than just punishing the offender.
It brings together the victim, offender, and community members
to collectively identify and address the harms, needs, and
obligations in order to heal and put things right.
The key goals of restorative justice are accountability, empathy,
and restoring relationships.
•Restorative justice-informed negotiation emphasizes
the needs and perspectives of all stakeholders,
including the victim, offender, and broader
community.16
•This approach can lead to more transformative and
durable outcomes compared to traditional
adversarial negotiations.
Restorative justice is a philosophy and process Retributive Justice and its Underlying
that focuses on repairing the harm caused by Philosophy
criminal behavior through cooperative means Retributive justice, on the other hand, is based
involving all stakeholders. The key principles of on the principle that punishment should be
restorative justice include: proportional to the severity of the crime
• Focusing on the harm caused rather than committed. The core idea is that offenders
just the rules that were broken deserve to be punished, and this punishment
• Inclusion of victims, offenders, and the helps restore balance and serve justice. Within
community in the justice process the criminal justice system, retributive justice
• Offenders taking responsibility for their manifests through mechanisms like mandatory
actions minimum sentencing, "three strikes" laws, and
• Using restitution as a means of restoring an emphasis on incarceration as the primary
both parties response to crime.
• Reintegrating offenders back into the The aim is to ensure offenders pay for their
community crimes through loss of freedom or other
• The goal of restorative justice is to heal penalties.
fractured relationships and prevent future
harm, rather than solely punishing
offenders.
Key Differences Between Restorative and Retributive Justice
The fundamental difference between the two approaches lies in
their underlying goals and philosophies:
​ estorative justice focuses on repairing harm and restoring
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relationships, while retributive justice emphasizes punishment and
retribution.
Restorative justice empowers victims, offenders, and the community
to collectively address the harm, whereas retributive justice gives
power to the state to determine blame and impose sentences.
Restorative justice measures success by the degree of healing,
accountability, and restoration achieved, while retributive justice
uses the severity of punishment as the metric.
References
Cornell Law School, n.d., Dispute Resolution.
https://www.law.cornell.edu/wex/dispute_resolution
Cornell Law School, n.d., Alternative Dispute Resolution.
https://www.law.cornell.edu/wex/alternative_dispute_resolution
https://www.dictionary.com/browse/conflict
https://www.merriam-webster.com/dictionary/conflict
https://www.oxfordlearnersdictionaries.com/us/definition/english/conflict_1
https://www.britannica.com/dictionary/conflict
https://dictionary.cambridge.org/us/dictionary/english/conflict
https://www.vocabulary.com/dictionary/conflict
https://www.oxfordlearnersdictionaries.com/us/definition/english/conflict_2
https://www.ldoceonline.com/dictionary/conflict
https://www.masterclass.com/articles/what-is-conflict-in-literature-6-different-types-of-literary-
conflict-and-how-to-create-conflict-in-writing
https://courses.lumenlearning.com/wm-organizationalbehavior/chapter/types-of-conflict/
https://prowritingaid.com/art/1366/what-are-the-7-types-of-conflict-in-literature.aspx
https://liberalarts.oregonstate.edu/wlf/what-conflict
https://study.com/learn/lesson/what-is-conflict-sources-types.html
Olivia Guy-Evans. 2024. Karl Marx Sociologist: Contributions And Theory.
https://www.simplypsychology.org/sociological-theories-of-karl-marx.html
Adam Hayes. 2024. Conflict Theory Definition, Founder, and Examples.
https://www.investopedia.com/terms/c/conflict-theory.asp
https://www.linkedin.com/pulse/nine-phases-conflict-mervyn-malamed/
https://fogartyfellows.org/wp-content/uploads/2015/01/6EKilmann.pdf
https://www.leadershipsuccess.co/conflict-management/conflict-styles
https://www.leadershipsuccess.co/conflict-management/conflict-styles
https://www.findlaw.com/hirealawyer/choosing-the-right-lawyer/mediation-and-collaborative-l
aw.html
https://www.pon.harvard.edu/daily/dispute-resolution/what-are-the-three-basic-types-of-dispu
te-resolution-what-to-know-about-mediation-arbitration-and-litigation/
https://lawlibguides.luc.edu/c.php?g=610820&p=4239806
https://www.dwt.com/blogs/family-business-resource-center/2022/03/alternative-dispute-resol
ution-methods
https://www.law.cornell.edu/wex/alternative_dispute_resolution
https://friearndt.com/general/alternative-dispute-resolution-adr-negotiation/
https://callforjustice.org/restorative-vs-retributive-justice/
https://getlegalbuddies.com/blog/restorative-justice-vs-retributive-justice-philosophies-of-punis
hment/
 ALTERNATIVE DISPUTE RESOLUTION SYSTEM IN THE
PHILIPPINES (Republic Act No. 9285)

Mediation is defined as a voluntary process in which a mediator facilitates communication

and negotiation to assist the parties in reaching a voluntary agreement regarding a dispute.
Conciliation is also described as a voluntary process facilitated by a mediator to assist the
disputing parties in communication and negotiation in order to reach a voluntary agreement.
Arbitration, on the other hand, is a voluntary dispute resolution process in which one or
more arbitrators appointed by the parties resolve the dispute by rendering an award.
Early Neutral Evaluation is an ADR process wherein parties and their lawyers are brought
together early in the pre-trial phase to present summaries of their cases and to receive a
non- binding assessment by an experienced neutral person, with expertise in the subject
matter or substance of the dispute.
 Mediation-Arbitration or Med-Arb is a two-step dispute resolution
process involving mediation and then followed by arbitration.
 Mini-trial is a structured dispute resolution method in which the merits
of a case are argued before a panel comprising of senior decision-
makers, with or without the presence of a neutral third person, before
which the parties seek a negotiated settlement.
 Court-Annexed Mediation means any mediation process conducted
under the auspices of the court and in accordance with Supreme
Court approved guidelines, after such court has acquired jurisdiction
of the dispute.
Exception to the Application of the ADR Act

The provisions of the ADR Act shall not apply to the

resolution or settlement of the following:

 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;
 the civil status of persons;
 the validity of marriage;
 any ground for legal separation;
the jurisdiction of courts;
future legitime;
criminal liability;
those disputes which by law cannot be
compromised; and
disputes referred to court-annexed mediation.
Agencies uses ADR
1. Katarungang Pambaranggay,
2. The Cooperative Development Authority,
3. The Philippine Construction Industry Arbitration
Commission,
4. The Department Of Agrarian Reform Adjudication
Board,
5. The Philippine Dispute Resolution Center, Inc.
6. The National Conciliation And Mediation Board.
7. The National Labor Relation Commission
8. Bureau Of Labor Commission
9. The Commission On Settlement Of Land Problems
10. The Insurance Commission
11. The Bureau Of Trade And Regulation And Consumer Protection
12. The Court-annexed Mediation Project
Differences between International and

Domestic Arbitration under RA 9285

•International commercial arbitration in the Philippines

is primarily governed by the 1985 UNCITRAL Model
Law, while domestic arbitration is primarily governed
by Republic Act No. 876 (Arbitration Law)1.
•Domestic arbitration is commenced by the serving of a
demand for arbitration by either party upon the other,
while international arbitration is commenced by
sending a request for the referral of a dispute to
arbitration
•In international arbitration, there is no mechanism
available for a court to order parties to proceed to
arbitration in accordance with an arbitration
agreement, unlike in domestic arbitration where
the court can refer parties to arbitration2.
•The time period to file a petition to set aside or
recognize and enforce an international commercial
arbitral award is different from that of a domestic
arbitral award
•The grounds to set aside or resist enforcement of an
international commercial arbitral award are based on the
Model Law, while the grounds to vacate a domestic arbitral
award are based on RA 876(Arbitration Law) and the Special
ADR Rules.
•A domestic arbitral award, when confirmed, shall be
enforced in the same manner as final and executory
decisions of the Regional Trial Court, while a foreign arbitral
award shall be recognized and enforced in accordance with
the New York Convention and the ADR Rules.
 THE OFFICE FOR ALTERNATIVE
DISPUTE RESOLUTION (OADR)
•To act as appointing authority of mediators and arbitrators when the parties agree in writing that it
shall be empowered to do so.
•To conduct seminars, symposia, conferences and other public fora and publish proceedings of said
activities and relevant materials/information that would promote, develop and expand the use of ADR.
•To establish an ADR library or resource center where ADR laws, rules and regulations, jurisprudence,
books, articles and other information about ADR in the Philippines and elsewhere may be stored and
accessed.
•To establish a training program for ADR providers/practitioners, both in the public and private sectors;
and to undertake periodic and continuing training programs for arbitration and mediation and charge
fees on participants. It may do so in conjunction with or in cooperation with the IBP, private ADR
organizations, and local and foreign government offices and agencies and international organizations.
•To certify those who have successfully completed the regular
professional training programs provided by the OADR.
•To charge fees for services rendered such as, among others, for
training and certifications of ADR providers.
•To accept donations, grants and other assistance from local and
foreign sources.
•To exercise such other powers as may be necessary and proper to
carry into effect the provisions of the ADR Act.
 Divisions of the OADR

The OADR has following staff and service divisions:

 Secretariat – which shall provide necessary support and
discharge such other functions and duties as may be directed
by the Executive Director.
 Public Information and Promotion Division – which shall be
charged with the dissemination of information, the promotion
of the importance and public acceptance of mediation,
conciliation, arbitration or any combination thereof and other
ADR forms as a means of achieving speedy and efficient
means of resolving all disputes and to help in the promotion,
development and expansion of the use of ADR.
Training Division – which shall be charged with the
formulation of effective standards for the training of ADR
practitioners; conduct of trainings in accordance with
such standards; issuance of certifications of training to
ADR practitioners and ADR service providers who have
undergone the professional training provided by the
OADR; and the coordination of the development,
implementation, monitoring and evaluation of
government and private sector ADR programs.
Records and Library Division – which shall
be charged with the establishment and
maintenance of a central repository of ADR
laws, rules and regulations, jurisprudence,
books, articles, and other information about
ADR in the Philippines and elsewhere.
THE ADVISORY COUNCIL

Composition of the Advisory Council

 Mediation profession
 Arbitration profession
 ADR organizations
 IBP
 Academe
Role of the Advisory Council
The Advisory Council is responsible for advising the
Executive Director on policy, operational and other relevant
matters. The Council shall meet regularly, at least once every two
(2) months, or upon call by the Executive Director.
The MEDIATION Process

Mediation is a voluntary process in which a mediator, selected by the

disputing parties, facilitates communication and negotiation, and assists
the parties in reaching a voluntary agreement regarding a dispute. The
following are important terms to consider:
o Ad hoc Mediation means any mediation other than institutional or
court-annexed.
o Institutional Mediation means any mediation administered by, and
conducted under the rules of, a mediation institution.
o Court-Annexed Mediation means any mediation process conducted
under the auspices of the court and in accordance with Supreme
Court approved guidelines, after such court has acquired jurisdiction
of the dispute.
o Court-Referred Mediation means mediation ordered by a
court to be conducted in accordance with the agreement of
the parties when an action is prematurely commenced in
violation of such agreement.
o Certified Mediator means a mediator certified by the
Office for ADR as having successfully completed its regular
professional training program.
o Mediation Party means a person who participates in a
mediation and whose consent is necessary to resolve the
dispute.
oMediator means a person who
conducts mediation.
oNon-Party Participant means a
person, other than a party or
mediator, who participates in a
mediation proceeding as a witness,
resource person or expert.
o Selection of a Mediator
The parties have the freedom to select their
mediator. The parties may request the OADR to provide
them with a list or roster or the resumes of its certified
mediators. The OADR may be requested to inform the
mediator of his/her selection.
o Replacement of Mediator
If the mediator selected is unable to act as such for
any reason, the parties may, upon being informed of
such fact, select another mediator.
o Refusal or Withdrawal of Mediator- A mediator may refuse from
acting as such, withdraw or may be compelled to withdraw, from
the mediation proceedings under the following circumstances:
 If any of the parties so requests the mediator to withdraw.
 The mediator does not have the qualifications, training and
experience to enable him/her to meet the reasonable
expectations of the parties.
 Where the mediator’s impartiality is in question.
 If continuation of the process would violate any ethical
standards.
If the safety of any of the parties would be
jeopardized.
If the mediator is unable to provide effective
services.
In case of conflict of interest.
In any of the following instances, if the mediator
is satisfied that:
a. one or more of the parties is/are not acting in
good faith;
b. the parties’ agreement would be illegal or
involve the commission of a crime;
c. continuing the dispute resolution would give rise
to an appearance of impropriety;
d. continuing with the process would cause
significant harm to a nonparticipating person or to
the public, or;
e. continuing discussions would not be in the best
interest of the parties, their minor children or the
dispute resolution process.
THE ETHICAL CONDUCT OF MEDIATOR

A. COMPETENCE
B. IMPARTIALITY
C. CONFIDENTIALITY
D. CONSENT AND SELF-
DETERMINATION
Separation of Mediation from Counseling and Legal Advice

a. Except in evaluative mediation or when the parties so request, a

mediator shall:
 refrain from giving legal or technical advice and otherwise
engaging in counseling or advocacy; and
 abstain from expressing his/her personal opinion on the rights
and duties of the parties and the merits of any proposal made.
b. Where appropriate and where either or both parties are not
represented by counsel, a mediator shall:
 recommend that the parties seek outside professional advice to
help them make informed decision and to understand the
implications of any proposal; and
 suggest that the parties seek independent legal
and/or technical advice before a settlement
agreement is signed.
c. Without the consent of all parties, and for a
reasonable time under the particular circumstance, a
mediator who also practices another profession shall
not establish a professional relationship in that other
profession with one of the parties, or any person or
entity, in a substantially and factually related matter.
 Charging of Fees
a. A mediator shall fully disclose and explain to the
parties the basis of cost, fees and charges.
b.The mediator who withdraws from the mediation
shall return to the parties any unearned fee and
unused deposit.
c. A mediator shall not enter into a fee agreement
which is contingent upon the results of the
mediation or the amount of the settlement.
Promotion of Respect and Control of Abuse of Process
The mediator shall encourage mutual respect between the
parties, and shall take reasonable steps, subject to the principle
of self-determination, to limit
abuses of the mediation process.

Solicitation or Acceptance of any Gift

No mediator or any member of a mediator’s immediate family
or his/her agent shall request, solicit, receive or accept any gift or
any type of compensation other than the agreed fee and expenses
in connection with any matter coming before the mediator.
ROLE OF PARTIES AND THEIR COUNSELS

Designation of Counselor any Person to

Assist Mediation
A party may designate a lawyer or any other
person to provide assistance in the mediation. A
waiver of this right shall be made in writing by
the party waiving it. A waiver of participation or
legal representation may be rescinded at any
time.
 The Role of the Counsel
The lawyer shall view his/her role in mediation as a
collaborator with the other lawyer in working together
toward the common goal of helping their clients resolve
their differences to their mutual advantage.
The lawyer shall encourage and assist his/her client to
actively participate in positive discussions and
cooperate in crafting an agreement to resolve their
dispute.
The lawyer must assist his/her client to
comprehend and appreciate the mediation
process and its benefits, as well as the client’s
greater personal responsibility for the success
of mediation in resolving the dispute.
In preparing for participation in mediation, the
lawyer shall confer and discuss with his/her
client the following:
The mediation process as essentially a
negotiation between the parties assisted by
their respective lawyers, and facilitated by a
mediator, stressing its difference from litigation,
its advantages and benefits, the client’s
heightened role in mediation and responsibility
for its success and explaining the role of the
lawyer in mediation proceedings.
 - The substance of the upcoming mediation,
such as:
The substantive issues involved in the dispute
and their prioritization in terms of importance to
his/her client’s real interests and needs.
The study of the other party’s position in relation
to the issues with a view to understanding the
underlying interests, fears, concerns and needs.
The information or facts to be gathered or
sought from the other side or to be exchanged
that are necessary for informed decision-making.
The possible options for settlement but stressing
the need to be open-minded about other
possibilities.
The best, worst and most likely alternatives to a
non-negotiated settlement.
Other Matters which the Counsel shall do to Assist Mediation

The lawyer:
 shall give support to the mediator so that his/ her client
will fully understand the rules and processes of mediation;
 shall impress upon his/her client the importance of
speaking for himself/herself and taking responsibility for
making decisions during the negotiations within the
mediation process;
 may ask for a recess in order to give advice or
suggestions to his/her client in private, if he/she perceives
that his/her client is unable to bargain effectively;
shall assist his/her client and the mediator put in
writing the terms of the settlement agreement that
the parties have entered into. The lawyers shall see
to it that the terms of the settlement agreement are
not contrary to law, morals, good customs, public
order or public policy.
CONDUCT OF MEDIATION

The following articles shall be considered in

the Conduct of Mediation
a. The mediator shall not make untruthful or
exaggerated claims about the dispute resolution
process, its costs and benefits, its outcome or the
mediator’s qualifications and abilities during the
entire mediation process.
B. The mediator shall help the parties reach a
satisfactory resolution of their dispute but has no
authority to impose a settlement on the parties.
C. The parties shall personally appear for
mediation and may be assisted by a lawyer. A
party may be represented by an agent who must
have full authority to negotiate and settle the
dispute.
D. The mediation process shall, in general,
consist of the following stages:
opening statement of the mediator;
individual narration by the parties;
exchange by the parties;
summary of issues;
generation and evaluation of options; and
closure
E. The mediation proceeding shall be
held in private. Persons, other than
the parties, their representatives and
the mediator, may attend only with the
consent of all the parties.
F. The mediation shall be closed:
by the execution of a settlement agreement by
the parties;
by the withdrawal of any party from
mediation; and
by the written declaration of the mediator that
any further effort at mediation would not be
helpful.
PLACE OF MEDIATION

Agreement of Parties on the Place of

Mediation
The parties are free to agree on the
place of mediation. Failing such an
agreement, the place of mediation
shall be any place convenient and
appropriate to all parties.
Agreement to Submit a Dispute to Mediation by an
Institution
An agreement to submit a dispute to mediation by an
institution shall include an agreement to be bound by the
internal mediation and administrative policies of such
institution. Further, an agreement to submit a dispute to
mediation under institutional mediation rules shall be
deemed to include an agreement to have such rules govern
the mediation of the dispute and for the mediator, the
parties, their respective counsels and non-party
participants to abide by such rules.
Operative Principles to Guide Mediation

The mediation shall be guided by the

following operative principles:
A. A settlement agreement following successful mediation
shall be prepared by the parties with the assistance of
their respective counsels, if any, and by the mediator. The
parties and their respective counsels shall endeavor to
make the terms and condition of the settlement
agreement complete and to make adequate provisions
for the contingency of breach to avoid conflicting
interpretations of the agreement.
B. The parties and their respective
counsels, if any, shall sign the settlement
agreement. The mediator shall certify
that he/she explained the contents of the
settlement agreement to the parties in a
language known to them.
C. If the parties agree, the settlement agreement may be jointly
deposited by the parties or deposited by one party with prior notice
to the other party/ies with the Clerk of Court of the Regional Trial
Court (a) where the principal place of business in the Philippines of
any of the parties is located; (b) if any of the parties is an
individual, where any of those individuals resides; or (c) in the
National Capital Judicial Region. Where there is a need to enforce the
settlement agreement, a petition may be filed by any of the parties
with the same court, in which case, the court shall proceed
summarily to hear the petition, in accordance with the Special ADR
Rules.
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
Republic Act No. 876, otherwise known as “The Arbitration
Law”, notwithstanding the provisions of Executive Order
No. 1008, s. 1985, otherwise known as the “Construction
Industry Arbitration Law” for mediated disputes outside of
the Construction Industry Arbitration Commission.
CONFIDENTIALITY OF INFORMATION

Confidentiality of Information
Information obtained through mediation proceedings
shall be subject to the following principles and
guidelines:
1. Information obtained through mediation shall be
privileged and confidential.
2. A party, mediator, or non-party participant may refuse
to disclose and may prevent any other person from
disclosing a confidential information.
3. 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 in a mediation.
4. 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:
the parties to the dispute;
the mediator or mediators;
the counsel for the parties;
the non-party participants;
 any person hired or engaged in connection with the
mediation as secretary, stenographer, clerk or
assistant; and
 any other person who obtains or possesses
confidential information by reason of his/ her
profession.
5. The protections of the ADR Act shall
continue to apply even if a mediator is found
to have failed to act impartially.
6. A mediator may not be called to testify to
provide confidential information gathered in
mediation. A mediator who is wrongfully
subpoenaed shall be reimbursed the full cost of
his/her attorney’s fees and related expenses.
 Waiver of Confidentiality
A. A privilege arising from the confidentiality of
information may be waived in a record or orally during
a proceeding by the mediator and the mediation
parties.
B. With the consent of the mediation parties, a privilege
arising from the confidentiality of information may
likewise be waived by a non- party participant if the
information is provided by such non-party participant.
C. A person who discloses confidential information shall
be precluded from asserting the privilege under
Confidentiality of Information to bar disclosure of the
rest of the information necessary to a complete
understanding of the previously disclosed information.
If a person suffers loss or damage as a result of the
disclosure of the confidential information, he/she shall
be entitled to damages in a judicial proceeding against
the person who made the disclosure
D. A person who discloses or makes a
representation about a mediation is precluded
from asserting the privilege mentioned in
Confidentiality of Information to the extent that
the communication prejudices another person in
the proceeding and it is necessary for the person
prejudiced to respond to the representation or
disclosure.
Exceptions to the Privilege of Confidentiality of Information
There is no privilege against disclosure in the following instances:
in an agreement evidenced by a record authenticated
by all parties to the agreement;
available to the public or made during a session of a
mediation which is open, or is required by law to be
open, to the public
a threat or statement of a plan to inflict
bodily injury or commit a crime of violence;
 intentionally used to plan a crime, attempt to commit,
or commit a crime, or conceal an ongoing crime or
criminal activity;
 sought or offered to prove or disprove abuse, neglect,
abandonment or exploitation in a proceeding in
which a public agency is protecting the interest of an
individual protected by law; but this exception does
not apply where a child protection matter is referred
to mediation by a court or where a public agency
participates in the child protection mediation;
sought or offered to prove or disprove a claim
or complaint of professional misconduct or
malpractice filed against a mediator in a
proceeding; or
sought or offered to prove or disprove a claim
or complaint of professional misconduct or
malpractice filed against a party, nonparty
participant, or representative of a party based
on conduct occurring during a mediation.
2. If a court or administrative agency finds, after a
hearing in camera, that the party seeking discovery
of the proponent of the evidence has shown that
the evidence is not otherwise available, that there
is a need for the evidence that substantially
outweighs the interest in protecting confidentiality,
and the mediation communication is sought or
offered in:
a. a court proceeding involving a crime or felony; or
b. a proceeding to prove a claim or defense that under the
law is sufficient to reform or avoid a liability on a
contract arising out of the mediation.
c. A mediator may not be compelled to provide
evidence of a mediation communication or testify in
such proceeding.
d. If a mediation communication is not privileged under
an exception in paragraph (a) or (b), only the portion of
the communication necessary for the application of the
exception for non- disclosure may be admitted. The
admission of a particular evidence for the limited
purpose of an exception does not render that evidence,
or any other mediation communication, admissible
for any other purpose.
 Non-Reporting or Communication by Mediator
A mediator may not make a report, assessment,
evaluation, recommendation, finding or other
communication regarding a mediation to a court
or agency or other authority that may make a
ruling on a dispute that is the subject of a
mediation, except:
to state that the mediation occurred or has
terminated, or where a settlement was reached; or
as permitted to be disclosed under the provisions
on the Exceptions to the Privilege of
Confidentiality of Information.
The parties may, by an agreement in writing,
stipulate that the settlement agreement shall be
sealed and not disclosed to any third party
including the court. Such stipulation, however,
shall not apply to a proceeding to enforce or set
aside the settlement agreement.
 FEES AND COST OF MEDIATION
Fees and Cost of Ad hoc Mediation
In ad hoc mediation, the parties are free
to make their own arrangement as to
mediation cost and fees. In default thereof,
the schedule of cost and fees to be approved
by the OADR shall be followed.
INTERNATIONAL COMMERCIAL ARBITRATION

Scope of Application
The rule applies to international commercial
arbitration, subject to any agreement in force between the
Philippines and other state or states and only if the
place or seat of arbitration is the Philippines and in
default of any agreement of the parties on the applicable
rules and 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.
 Rules of Interpretation
A. International commercial arbitration shall be governed by
the Model Law on International Commercial Arbitration.
B. In interpreting the rule, 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 preperatories 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 the rule, 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 the rule, except the those 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 these rule 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.
 Receipt of Written Communications
A. Unless otherwise agreed by the parties:
 any written communication is deemed to have been
received if it is delivered to the addressee personally or at
his/her place of business, habitual residence or mailing
address; if none of these can be found after making a
reasonable inquiry, a written communication is deemed to
have been received if it is sent to the addressee’s last
known place of business, habitual residence or mailing
address by registered letter or any other means which
provides a record of the attempt to deliver it;
 the communication is deemed to have
been received on the day it is so
delivered.
B. The provisions of the Rule do not apply
to communications in court proceedings,
which shall be governed by the Rules of
Court.
Waiver of Right to Object
A party who knows that any provision of the rule
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.
Extent of Court Intervention
In matters governed by the rule, 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.
ARBITRATION AGREEMENT

Definition and Form of Arbitration Agreement

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.
 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 not later than 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.
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.
 Composition of Arbitral
Tribunal
Number of Arbitrators
The parties are free to determine
the number of arbitrators. Failing such
determination, the number of
arbitrators shall be three (3).
 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.
C. Failing such agreement:
 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 a 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 (30) days
of their appointment, the appointment shall be made,
upon request of a party, by the appointing authority;
•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 by the parties,
a party fails to act as required under such
procedure, or
the parties, or two arbitrators, are unable
to reach an agreement expected of them
under such procedure, or
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 shall be
immediately 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,
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 or
independence. An arbitrator, from the time of his/her
appointment and throughout the arbitral proceedings
shall, without delay, disclose any such circumstance to the
parties unless they have already been informed of them by
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.
 Challenge Procedure
A. The parties are free to agree on a procedure for challenging
an arbitrator, subject to the provisions of the rule.
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, 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 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.
 Failure or Impossibility to Act
A. If an arbitrator becomes dejure 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 motion for reconsideration or appeal.
B. If 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.
Appointment of Substitute Arbitrator
Where the mandate of an arbitrator terminates
under the provisions on Challenge Procedure and
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 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 that were applicable to the
appointment of the arbitrator being replaced.
 Jurisdiction of Arbitral Tribunal
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
a 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 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 continue the arbitral proceedings
and make an award.
 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. 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 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:
 Any party may request that interim or provisional
relief be granted against the adverse party.
 Such relief may be granted:
- To prevent irreparable loss or injury.
- To provide security for the performance of an
obligation.
- To produce or preserve evidence.
- To compel any other appropriate acts or omissions.
 The order granting provisional relief may be
conditioned upon the provision of security or any act
or omission specified in the order.
 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.
 The order either granting or denying an application
for interim relief shall be binding upon the parties.
 Either party may apply with the court for assistance
in implementing or enforcing an interim measure
ordered by an arbitral tribunal.
 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.
 Conduct of Arbitral Proceedings
Equal Treatment of Parties
The parties shall be treated with
equality and each party shall be given a
full opportunity of presenting his/ her
case.
 Determination of Rules of Procedure
A.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,
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.
 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), 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.
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.
 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. This agreement, 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.
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 or determined by the
arbitral tribunal in accordance with paragraph (a).
 Statements 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/its 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.
B. Unless otherwise agreed by the parties,
either party may amend or supplement
his/her 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.
 Hearing and Written Proceedings
A.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.
B. 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.
C. All statements, documents or other information
supplied to the arbitral tribunal by one party shall be
communicated to the other party. Also, an expert
report or evidentiary document on which the arbitral
tribunal may rely in making its decision shall be
communicated to the parties.
 Default of a Party
Unless otherwise agreed by the parties, if,
without showing sufficient cause,
 the claimant fails to communicate his
statement of claim in accordance with the
provisions of Statement of Claim and
Defense, the arbitral tribunal shall
terminate the proceedings;
 the respondent fails to communicate his/her/ its
statement of defense in accordance with the
provisions of 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;
 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.
 Expert Appointed by the Arbitral Tribunal
Unless otherwise agreed by the parties, the arbitral
tribunal,
 may appoint one or more experts to report to it on
specific issues to be determined by the arbitral
tribunal; or
 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/her inspection.
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/her
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.
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.
 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 to 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.
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.
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 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.
 Form and Contents of Award
 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.
 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 the provisions of Place of
Arbitration.
 The award shall state its date and the place of
arbitration. The award shall be deemed to have been
made at that place.
 After the award is made, a copy signed by the
arbitrators shall be delivered to each party.
 Termination of Proceedings
The arbitral proceedings are terminated by the
final award or by an order of the arbitral tribunal.
The arbitral tribunal shall issue an order for the
termination of the arbitral proceedings when:
 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;
The parties agree on the termination of the
proceedings;
The arbitral tribunal finds that the continuation
of the proceedings has for any other reason
become unnecessary or impossible.
 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:
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;
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
on its own initiative within thirty (30) days 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 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.
E. The arbitral tribunal may extend, if
necessary, the period of time within which
it shall make a correction, interpretation or
an additional award.
F. The provisions of Form and Contents of
Award shall apply to a correction or
interpretation of the award or to an
additional award.
AMICABLE SETTLEMENT OF DISPUTES
KATARUNGANG PAMBARANGAY

THE KATARUNGANG PAMBARANGAY

(Presidential Decree No. 1508 repealed by R.A. 7160)

Concept of Barangay and Lupong Tagapamayapa

Barangay refers not only to barrios which were declared
barangays by virtue of Presidential Decree No. 557 but also to
barangays otherwise known as citizens assemblies pursuant to
Presidential Decree No. 86.
Barangay Captain refers to the Barangay Captains of the
barrios which declared barangay by virtue of Presidential Decree
No. 557 and to the Chairmen of barangays otherwise known as
citizens assemblies pursuant to Presidential Decree No. 86.
The Lupong Tagapamayapa
The Lupong Tagapamayapa shall be composed of
the Punong barangay as Chairman and ten (10) to
twenty (20) members. The lupon shall be constituted
every three (3) years.
Any person actually residing or working in the
barangay, not otherwise expressly disqualified by law,
and possessing integrity, impartiality, independence of
mind, sense of fairness, and reputation for probity, may
be appointed as member of the lupon.
A notice to constitute the lupon, which shall
include the names of proposed members who have
expressed their willingness to serve, shall be
prepared by the punong barangay within the first
fifteen (15) days from the start of his term of office.
Such notice shall be posted in three (3)
conspicuous places in the barangay continuously
for a period of not less than three (3) weeks;
 The Punong barangay, taking into consideration any
opposition to the proposed appointment or any
recommendations for appointment as may have been
made within the period of posting, shall within ten (10)
days thereafter, appoint as members those whom he
determines to be suitable therefor. Appointments shall
be in writing, signed by the Punong barangay, and
attested to by the barangay secretary.
The list of appointed members shall be posted in
three (3) conspicuous places in the barangay for the
entire duration of their term of office; and
In barangays where majority of the inhabitants are
members of indigenous cultural communities, local
systems of settling disputes through their councils
of Datus or elders shall be recognized without
prejudice to the applicable provisions of the Code.
 Functions of the Lupon
 Exercise administrative supervision over the conciliation
panels provided herein;
 Meet regularly once a month to provide a forum for exchange
of ideas among its members and the public on matters
relevant to the amicable settlement of disputes, and to enable
various conciliation panel members to share with one another
their observations and experiences in effecting speedy
resolution of disputes; and
 Exercise such other powers and perform such other duties and
functions as may be prescribed by law or ordinance.
Oath and Term of Office
Upon appointment, each lupon member shall
take an oath of office before the Punong barangay.
He shall hold office until a new lupon is constituted
on the third year following his appointment unless
sooner terminated by resignation, transfer of
residence or place of work, or withdrawal of
appointment by the Punong barangay with the
concurrence of the majority of all the members of
the lupon.
Vacancies
Should a vacancy occur in the lupon
for any cause, the Punong barangay
shall immediately appoint a qualified
person who shall hold office only for
the unexpired portion of the term.
Secretary of the Lupon and the Pangkat ng
Tagapagkasundo
The Barangay Secretary shall concurrently serve
as the secretary of the lupon. He/She shall record
the results of mediation proceedings before the
Punong barangay and shall submit a report thereon
to the proper city or municipal courts. He/She shall
also receive and keep the records of proceedings
submitted to him by the various conciliation panels.
 Pangkat ng Tagapagkasundo is a
constituted body for each dispute brought before
the lupon which serves as a conciliation panel
consisting of three (3) members who shall be
chosen by the parties to the dispute from the list
of members of the lupon. Should the parties fail
to agree on the pangkat membership, the same
shall be determined by lots drawn by the lupon
chairman.
The three (3) members constituting the pangkat shall
elect from among themselves the chairman and the
secretary. The secretary shall prepare the minutes of the
pangkat proceedings and submit a copy duly attested to by
the chairman to the lupon secretary and to the proper city
or municipal court. He shall issue and cause to be served
notices to the parties concerned. The lupon secretary shall
issue certified true copies of any public record in his
custody that is not by law otherwise declared confidential.
Vacancies in the Pangkat
Any vacancy in the Pangkat shall be chosen
by the parties to the dispute from among the
other lupon members. Should the parties fail to
agree on a common choice, the vacancy shall be
filled by lot to be drawn by the lupon chairman.
Character of Office and Service of Lupon
Members
The lupon members, while in the
performance of their official duties or on
the occasion thereof, shall be deemed as
persons in authority, as defined in the
Revised Penal Code.
 The Lupon or Pangkat members shall serve without
compensation, except as provided under the Code. The
Department of the Interior and Local Government shall
provide for a system of granting economic or other incentives
to the lupon or pangkat members who adequately
demonstrate the ability to judiciously and expeditiously
resolve cases referred to them. While in the performance of
their duties, the lupon or pangkat members, whether in public
or private employment, shall be deemed to be on official time,
and shall not suffer from any diminution in compensation or
allowance from said employment by reason thereof.
Legal Advice on Matters Involving Questions of Law
The provincial, city legal officer or
prosecutor or the municipal legal officer shall
render legal advice on matters involving
questions of law to the punong barangay or any
lupon or pangkat member whenever necessary in
the exercise of his functions in the administration
of the katarungang pambarangay.
The Subject Matter for Amicable Settlement
The lupon of each barangay shall have
authority to bring together the parties actually
residing in the same city or municipality for
amicable settlement of all disputes except:
a. Where one party is the government, or any
subdivision or instrumentality thereof;
b.Where one party is a public officer or employee,
and the dispute relates to the performance of his
official functions;
c. Offenses punishable by imprisonment exceeding
one (1) year or a fine exceeding Five thousand
pesos (P5,000.00);
d. Offenses where there is no private offended party;
e. Where the dispute involves real properties located
in different cities or municipalities unless the parties
thereto agree to submit their differences to amicable
settlement by an appropriate lupon;
f. Disputes involving parties who actually reside in
barangays of different cities or municipalities, except
where such barangay units adjoin each other, and the
parties thereto agree to submit their differences to
amicable settlement by an appropriate lupon;
g. Such other classes of disputes which the President
may determine in the interest of justice or upon the
recommendation of the Secretary of Justice.
The court in which non-criminal cases not falling
within the authority of the lupon under the Code
are filed may, at any time before trial, motu proprio
refer the case to the lupon concerned for amicable
settlement.
 Venue
a. Disputes between persons actually residing in the
same barangay shall be brought for amicable
settlement before the lupon of said barangay.
b.Those involving actual residents of different
barangays within the same city or municipality
shall be brought in the barangay where the
respondent or any of the respondents actually
resides, at the election of the complainant.
c. All disputes involving real property, or any interest
therein shall be brought in the barangay where the
real property or the larger portion thereof is situated.
d. Those arising at the workplace where the
contending parties are employed or at the institution
where such parties are enrolled for study, shall be
brought in the barangay where such workplace or
institution is located.
 Objections to venue shall be raised in the
mediation proceedings before the Punong
barangay; otherwise, the same shall be deemed
waived. Any legal question which may confront
the Punong barangay in resolving objections to
venue herein referred to may be submitted to
the Secretary of Justice or his duly designated
representative, whose ruling thereon shall be
binding.
 Procedure for Amicable Settlement
Initiation of proceeding
Upon payment of the appropriate filing fee,
any individual who has a cause of action against
another individual involving any matter within
the authority of the lupon may complain, orally
or in writing, to the lupon chairman of the
barangay.
Mediation by Lupon Chairman
Upon receipt of the complaint, the lupon chairman
shall, within the next working day, summon the
respondent(s), with notice to the complainant(s) for
them and their witnesses to appear before him for a
mediation of their conflicting interests. If he fails in his
mediation effort within fifteen (15) days from the first
meeting of the parties before him, he shall forthwith set
a date for the constitution of the pangkat in accordance
with the provisions of this Chapter.
Suspension of Prescriptive Period of Offenses
While the dispute is under mediation, conciliation, or
arbitration, the prescriptive periods for offenses and
cause of action under existing laws shall be interrupted
upon filing of the complaint with the punong barangay.
The prescriptive periods shall resume upon receipt by the
complainant of the complaint or the certificate of
repudiation or of the certification to file action issued by
the lupon or pangkat secretary: Provided, however, that
such interruption shall not exceed sixty (60) days from
the filing of the complaint with the punong barangay.
Issuance of Summons; Hearing; Grounds for
Disqualification
The pangkat shall convene not later than three (3) days
from its constitution, on the day and hour set by the lupon
chairman, to hear both parties and their witnesses,
simplify issues, and explore all possibilities for amicable
settlement.
For this purpose, the pangkat may issue summons for the
personal appearance of parties and witnesses before it. In
the event that a party moves to disqualify any member of
the pangkat by reason of relationship, bias, interest, or
any other similar grounds discovered after the
constitution of the pangkat, the matter shall be resolved
by the affirmative vote of the majority of the pangkat
whose decision shall be final. Should disqualification be
decided upon, the resulting vacancy shall be filled.
Period to arrive at a Settlement
The pangkat shall arrive at a settlement or
resolution of the dispute within fifteen (15) days
from the day it convenes in accordance with this
section. This period shall, at the discretion of the
pangkat, be extendible for another period which
shall not exceed fifteen (15) days, except in
clearly meritorious cases.
Form of Settlement
All amicable settlements shall be in writing,
in a language or dialect known to the parties,
signed by them, and attested to by the lupon
chairman or the pangkat chairman, as the case
may be. When the parties to the dispute do not
use the same language or dialect, the
settlement shall be written in the language
known to them.
 Conciliation
a.Pre-condition to Filing of Complaint in Court
No complaint, petition, action, or proceeding
involving any matter within the authority of the
lupon shall be filed or instituted directly in court
or any other government office for adjudication,
unless there has been a confrontation between the
parties before the lupon chairman or the pangkat,
and that no conciliation or settlement has been
reached as certified by the lupon secretary or
pangkat secretary as attested to by the lupon or
pangkat chairman or unless the settlement has
been repudiated by the parties thereto.
b. Where Parties May Go Directly to Court
The parties may go directly to court in the
following instances:
1.Where the accused is under detention;
2.Where a person has otherwise been deprived
of personal liberty calling for habeas corpus
proceedings;
3. Where actions are coupled with
provisional remedies such as preliminary
injunction, attachment, delivery of
personal property and support pendente
lite; and
4. Where the action may otherwise be
barred by the statute of limitations.
c. Conciliation Among Members of
Indigenous Cultural Communities
The customs and traditions of
indigenous cultural communities
shall be applied in settling disputes
between members of the cultural
communities.
 Arbitration
 The parties may, at any stage of the proceedings, agree
in writing that they shall abide by the arbitration award
of the lupon chairman or the pangkat. Such agreement
to arbitrate may be repudiated within five (5) days from
the date thereof for the same grounds and in accordance
with the procedure hereinafter prescribed. The
arbitration award shall be made after the lapse of the
period for repudiation and within ten (10) days
thereafter.
The arbitration award shall be in writing in
a language or dialect known to the parties.
When the parties to the dispute do not use
the same language or dialect, the award shall
be written in the language or dialect known
to them.
Exceptions on the Proceedings Open to the Public
All proceedings for settlement shall be public
and informal: Provided, however, That the lupon
chairman or the pangkat chairman, as the case
may be, may motu proprio or upon request of a
party, exclude the public from the proceedings in
the interest of privacy, decency, or public morals.
Appearance of Parties in Person
In all katarungang pambarangay
proceedings, the parties must appear in
person without the assistance of counsel or
representative, except for minors and
incompetents who may be assisted by their
next-of-kin who are not lawyers.
Effect of Amicable Settlement and
Arbitration Award
The amicable settlement and arbitration
award shall have the force and effect of a final
judgment of a court upon the expiration of ten
(10) days from the date thereof, unless
repudiation of the settlement has been made or
a petition to nullify the award has been filed
before the proper city or municipal court.
However, this provision shall not apply to court
cases settled by the lupon under the last paragraph
of Section 408 of the Code, in which case the
compromise settlement agreed upon by the parties
before the lupon chairman or the pangkat
chairman shall be submitted to the court and upon
approval thereof, have the force and effect of a
judgment of said court.
Execution
The amicable settlement or arbitration
award may be enforced by execution by the
lupon within six (6) months from the date
of the settlement. After the lapse of such
time, the settlement may be enforced by
action in the appropriate city or municipal
court.
Repudiation
Any party to the dispute may, within ten (10)
days from the date of the settlement, repudiate
the same by filing with the lupon chairman a
statement to that effect sworn to before him,
where the consent is vitiated by fraud, violence, or
intimidation. Such repudiation shall be sufficient
basis for the issuance of the certification for
filing a complaint as hereinabove provided.
Transmittal of Settlement and Arbitration
Award to the Court
The secretary of the lupon shall transmit the
settlement or the arbitration award to the
appropriate city or municipal court within five (5)
days from the date of the award or from the lapse
of the ten-day period repudiating the settlement
and shall furnish copies thereof to each of the
parties to the settlement and the lupon chairman.
Crisis Management
DR. J0SE MEL ARTE G. GOOCO JR., RCRIM
PAMANTAS AN NG LUNGSOD NG MUNTINLUPA
Crisis is a period of disorganization, period of upset during
which people attempts at arriving at solution of problems. It is a
crucial or decisive point or situation; a turning point; an unstable
condition, as in political, social, or economic. It is a state provokes
when a person faces obstacles or hazards to an important life
goal.
The term Crisis is derived from the Greek word “krisis” which
means to separate; a turning point decision in a process of an
affair or a series of events.
The term Emergency is derived from the Latin word
“emergencia” which means dipping/plugging. A sudden
condition or a state of affairs calling for an immediate action.
TYPES OF CRISIS

o MAN-MADE CRISIS - civil disturbances - strike, riot,

demonstration - revolt such as mutiny and insurrection -
revolution, border incident - war: conventional or nuclear –
crimes: kidnapping, hijacking, hostage-taking, etc.
o NATURAL CRISIS - fire, floods, earthquake, tidal waves
marine/air disaster, hazardous spills, power failure,
nuclear accidents water/food shortage/scarcity, drought-
volcanic eruption, epidemic, etc.
o INDIVIDUAL CRISIS – It refers to the feeling that
arises when a person faces unpleasant situation such
as frustrations and conflicts. This includes:
1.Physical Crisis – those that are related to health
problems or bodily sickness/sufferings.
2.Economics Crisis – the deprivation of the basic
necessities of life like food and material things.
3.Emotional Crisis – when an individual is affected by
negative feelings like emotional disturbances, fear, etc.
4. Social Crisis – the experiencing lack of interest,
confidence and social skills to relate meaningful, harmonious
relationship with others.
5. Moral Crisis – the person has an irrational or distorted
concept of what is right or wrong, lack of moral values and
integrity of the person.
6. Psychosexual Crisis – failure of the person to assume
one’s sex role and identity as a man or woman. The person
has an inappropriate sex objective, inadequate and distorted
expression of affection.
THE CONCEPT OF CRISIS MANAGEMENT
Crisis management is the proper
utilization of all available resources and the
formulation of policies and procedures to
effectively deal with progressive sequence
of events (crisis) and sudden or unforeseen
state (emergency).
THE CRISIS MANAGEMENT DOCTRINE
The crisis may start as basically police or special unit
matter but could develop in proportion and dimension
requiring further military operations. If the crisis situation
is brought about by natural calamities, then it is addressed
by the National Disaster Risk Reduction Management
Council or NDRRMC (Formerly known as National Disaster
Coordinating Councilor NDCC). The general idea is to
prevent the occurrence of a crisis, ensure a probability of
success in minimizing or neutralizing the perpetrator or to
return the situation into normalcy.
PHASES OF CRISIS MANAGEMENT

PRO-ACTIVE PHASE – is the stage of advance

planning, organization and coordination and
control in response to an anticipated future crisis
occurrence. This phase is designed to predict or
prevent probability or occurrence of the crisis
while at the same time prepares to handle them
when they occur.
1. PREDICTION - The first stage of anticipating future crisis
occurrences through the following;
o Update- Intelligence – involves the collection of information
from variety of sources as basis of actions and plan; those that are
related to crisis management contingency planning.
o Events – are those incidents that are already passed which
can facilitate analysis necessary for identification of probable
threat groups, targets and necessary for advance planning.
o Threat Analysis of Threat Groups
a. Political Terrorist – ideologically inspire
individuals who grouped together for a common
purpose usually for change of government or political
power. Ex. CPP/ NPA, SPT’s, etc.
b. Criminals – these are people who commit terrorist
acts for personal rather than ideological gains. Some of
the terrorist acts such as kidnapping are well planned,
other are not planned, but happens as a result of the
fast response time by LEAs to an ongoing crime. For
instance, a number of bank robberies have evolved into
unplanned hostage situation when policemen arrive in
response to an alarm robbery is in progress.
c. Mentally Deranged Individuals –
people commit terroristic acts during a
period of psychiatric disturbance. This
type is the most difficult terrorist to
deal with. Many of them are impulsive
and unpredictable.
2. PREVENTION - This pro-active phase considers counter
measures as part of the total system of operation. Such
counter measures involve the following;
o Operation Security – a counterintelligence measure
where all aspect of awareness and training must be
considered to prevent threat groups from learning the units
plans methods of operations. It also refers to measures taken
in conducting operations or activities in secure and effective
manner.
o Personal Security – it considers that all personnel are
susceptible to terrorist attack so the is a need for securing
them. All security measures designed to prevent unsuitable
individuals of DOUGHTFUL LOYALTY from gaining access to
classified matters or security facilities.
o Physical Security – encompasses protection of info,
material and people including perimeter installation. A
system of barrier placed between the potential intruder and
the material to be protected.
3. PREPARATION - this pro-active phase involves organizing
training and equipment personnel of the organization. In general,
military commanders and officers of the PNP must organize, train
and equip special reaction, security and negotiation elements and
provide their immediate activation when the need arises.
NCCM – National Committee on Crisis Management - serves as the
umbrella organization for crisis management. The primary concern is
the formulation of crisis management policies, integration of mil/pol
to public efforts towards the prevention and control of crisis.
The On-site Command Post (OSCP) shall establish
with in the crisis incident site. It is a post or unit
within a probable target to be headed by an on-scene
commander (OSC) whose responsibility is to take
charge of every happening of a crisis incident scene.
Composition of the OSCP

TACTICAL UNIT – composed of regular military or police placed

under the operational command of the OSC.
1. Reaction Element – Special action unit which are specially
organized, equipped and deployed in the region to hold special
operation in cases of crisis incident.
2. Security Element – military or police personnel task to
protect the area of perimeter security to prevent occurrence of
unnecessary incidents.
SUPPORT UNIT – It is a unit that provides the necessary
administrative, operational and logistic support of the OSC.
1. Intelligence Team – responsible for the collection and
processing of all information needed by the OSC.
2. Communication Team – responsible for insuring effective
communication between OSC and other units or sub-units.
3. Logistic Team – responsible for ensuring mess services,
supplies (clothing, equipment, transportation) and other logistic
services.
4. Medical Team – responsible for all medical supplies and
services in cases of crisis incidents.
5. Fire Fighting Team – responsible for all services related to
extinguishing fires intentionally set by perpetrators or during the
result of operations.
6. Administrative Personnel – personnel assigned to OSC to keep
written records of events, in coming or outgoing communications.
7. Legal/Investigation Team – services of investigation,
preservation of evidence, documents and legal advice to the OSC.
NEGOTIATION UNIT – It is headed by a chief
negotiator and composed of two or more members.
Their primary concern is to serve first life, prevent
destruction and pave the way for a peaceful
resolution of crisis situations.
B. THE REACTIVE PHASE
When a crisis occurs despite the pro-active effort, the
organization concerned must prepare to perform the
crisis management in accordance with their plan.
PERFORMANCE - It is the action stage, the
implementation of the crisis management
contingency plan.
1. The Initial Action – the stage taken by the Initial
Action Unit, which is composed of police and military
personnel immediately organized into team to
initially respond to take incident and begin the
containment effort. They are responsible for:
 maintain control of the situation
 report the matter to the RCAG through channels
 secure the scene by establishing
perimeter security
 evacuate by standers if possible
 prevent escape of perpetrator
 take maximum control
2. The Action Stage - The action stage starts as soon as the tactical,
support unit and the negotiation unit arrived and are deployed. The
OSC discusses the incident with his commander and staff and decides
on the plans and actions to be taken.
 Negotiation – chief negotiator undertakes negotiation as soon as
he has been properly briefed and received appropriate instruction
from the OSC. He shall keep the OSCP informed of the progress of
negotiations and shall take instructions only from the OSC. No further
negotiation shall be undertake when the tactical unit commander
initiates tactical operations.
 Tactical Action – the tactical commander makes a
complete estimate of the crisis situation and plans his
courses of action upon arrival at the scene while
negotiation is in progress. He shall maintain and
continuous contact with the OSCP. He shall take over
authority on reaction element throughout the tactical
operations. He shall take instructions only from the OSC
and coordinate all support requirements with the OSCP.
3. The Post Action Stage - This stage begins as
soon as the perpetrator surrendered, captured or
neutralized. OSC shall ensure that the following
are accomplished:
o Protection of the incident scene
o Investigation of the incident preservation of
evidence
o Documentation
o SS – witnesses, hostage, perpetrators and other key
participants of the incident.
o Recovered, documented, preserve evidence
o Pictorials, written reports
o Filing and prosecution of cases
o Damage Compensation and rehabilitation
He also initiates recommendation for the
compensation and provide assistance to civilian killed
and injured during tactical operations. He initiates
recommendation for the rehabilitation, construction
of damage or essential infrastructures. Training and re-
training of unit personnel special units and negotiators
shall continue with their training to improve their
proficiency and enhance their readiness.
PNP OPERATIONAL PROCEDURES ON HOSTAGE
SITUATION/BARRICADED SITUATIONS
(Rule No. 32)

The following steps shall be undertaken:

a. A Critical Incident Management Committee shall
be activated immediately; (PNP Standard Operating
Procedure No. ODO-2010-003 “Organization and
Procedures of Critical Incident Management
Committee and Critical Incident Management Task
Group)
b. Incident scene shall be secured and isolated;
c. Identify and secure the stronghold;
d. As much as possible, ensure the control of
communication lines, and cut-off all other lines as well as
electricity and water supply to allow for more bargaining;
e. Unauthorized persons shall not be allowed entry
and exit to the incident scene;
f. Witnesses’ names, addresses, and other information shall be recorded;
g. Witnesses shall be directed to a safe location;
h. Evacuate all victims/injured persons immediately when the opportunity
permits;
i. The arrest of the perpetrator shall be the last paramount concern; and
j. Conduct debriefing ng immediately after the
conclusion of the incident.
Ground Commander/On-Scene Commander
There shall be only one Ground Commander/On- Scene
Commander holding at least a senior rank and/or one (1)
with experience in hostage/crisis-situation or relative
training. Until such time that he officially designates a
spokesperson, he may issue appropriate press statements
and continue to perform the role of the spokesperson.
Negotiators/ Negotiation Team
Negotiators shall be designated by the Ground
Commander. No one shall be allowed to talk to the
hostage taker without clearance from the negotiator
or Ground Commander. The Negotiation Team is
directly under control and supervision of the On-
Scene Commander.
Negotiation team structure will be as follows:
a. Negotiation Team Leader (NTL)/coordinator;
b. Primary Negotiator;
c. Secondary Negotiator;
d. Intelligence liason/recorder; and
e. Board Negotiator.
Assault Team
An assault team shall be alerted for deployment in case the
negotiation fails. Members of the assault team shall wear
authorized and easily recognizable uniform during the
conduct of the operation.
Support Personnel
An ambulance with medical crew and a fi re truck shall be
detailed at the incident area.
Plans
The On-Scene Commander shall, upon the
assessment of the situation, prepare necessary plans
to include but not limited to:
a. Emergency Response Plan - depends on the threat
posed by the hostage-takers and need of the
Negotiation Team and On-Scene Commander.
b. Breakout Plan - possibility of breakout shall be
considered immediately upon drawing up negotiation
strategy. This should be considered as one of the
priority plans.
c. Delivery plan - in case the hostage-takers change
plans in the middle of the execution.
d. Surrender plan- should be drawn up in a way
that the hostages’ lives will not be jeopardized.
e. Hostage Reception/ Release - for security
reasons, released hostages should be contained and
isolated.
f. Collection plan - safety of the police personnel
involved is the priority consideration.
Coordination
Proper coordination with all participating elements shall be
done to consolidate efforts in solving the crisis.

Safety of Hostage(s)
In negotiating for the release of a hostage, the safety of the
hostage shall always be paramount.
Guidelines during Negotiations
A. Situation must be stabilized first and contained
before the start of the negotiation;
B. All relevant tools and information that can strengthen a
negotiator’s position and create a favorable climate for a
successful negotiation must be prepared e.g. facts relevant
to the situation, financial and non-financial terms, issues
and concerns, etc;
C. Do not introduce outsiders (non-law enforcement
officers) into the negotiation process, unless their presence
is extremely necessary in the solution of the crisis. If so
introduced, they shall be properly advised on the do’s and
don’ts of hostage negotiations;
D. In case the negotiator breaks down or he/she finds
himself/herself in a deadlock, it is recommended to employ
the service of a mediator.
E. Police officers without proper training shall not
be allowed to participate in hostage negotiations.
F. Whatever the scale of an incident and the extent of
resources deployed, it is essential that proper liaison exist
between Tactical/Assault Team, Technical Support Team and the
Negotiation Team.
G. All activities on the scene, even the delivery of food to the
stronghold, must have tactical coordination with the
NTL/Coordinator.
Negotiation through Mediator
a. The mediator will act as a referee, helping the
negotiators resolve their differences.
b. The mediator must be well-versed about the issues in
order to be able to eventually recommend an effective
solution.
c. The main object is to reconcile the object of the
negotiator with that of the other party.
PNP OPERATIONAL PROCEDURES ON
BOMB THREAT AND BOMB INCIDENT EMERGENCY RESPONSE
PROCEDURES
(Rule No. 34)

Bomb
A bomb is a container filled with explosive, incendiary
material, smoke, gas, or other destructive substance, designed
to explode. It can appear obvious or concealed and can vary in
size, shape or sophistication and may not necessarily explode
such as in the case of incendiary and dirty bombs. It may be
referred to as Improvised Explosives Device (IED) or ordnance.
Bomb Threat
Bomb threat is either a written or verbal threat
communicated through electronic, oral or other means that
threatens to place or use an IED at a certain time, date, or
place against any specific person or place. The First
Responder (FR), the police investigator, and the police
detective must remember the following basic facts on bomb
threat:
a. A threat is considered only a threat
until something visible is found;
b. Determined bombers do not
frequently give warnings of a possible
explosion/incendiary attack;
c. Threats are an excellent way to disrupt
productivity without actually risking life, limb and/or
property; and d. The consequences of conviction for
“threatening” are not necessarily as serious as those
that could result from actual placement/initiation of
a bomb.
First Responder’s Procedure on Bomb Threat
The following are the guidelines for FRs during a bomb
threat:
a. Upon receipt of the information:
1. Treat all threats as serious until proven otherwise;
2. Determine the exact location of the
establishment under threat;
3. Assess or analyze the threat whether it is a long term
or a short-term threat;
4. Consider evacuation options as follows:
(a) Option 1 - Do Nothing
(b) Option2 - Search with partial evacuation
(c) Option 3 - Search and evacuation
(d) Option 4 - Evacuate immediately
5. Alert Explosives Ordnance Demolition Team
(EODT) for bomb search mission and emergency
readiness before going to the crime scene;
6. Proceed immediately to the scene; and
7. Notify Higher Headquarters of any
development.
b. Upon arrival at the scene:
1. Confirm the reported bomb threat and notify
EODT on the need to conduct a bomb sweep;
2. Conduct or cause a search for suspicious device/s
together with persons familiar with the location; and
3. Unless a bomb is found, personnel may not order an
evacuation of the affected area, but may inform the person
in-charge of the property of the need to evacuate. The
following procedures shall be followed during evacuation:
A. Evacuation and assembly point routes must be
searched to ensure that personnel
are not unnecessarily exposed to danger during the
evacuation;
B. Designate a “safe” assembly area, well away from the
threatened structure, out of line-of-sight of the building and
well clear of windows. A minimum distance of 150 meters is
recommended;
C. Never assemble personnel in front of or directly below
glassed areas;
D. Advise employees and visitors to take their personal
belongings to eliminate superfluous “suspicious objects”
and to reduce the number of items to be “checked out”;
E. Select safe and climatically acceptable assembly areas
where evacuees may wait for a considerable period;
F. Avoid car parks as assembly areas and be mindful of
the car bomb potential;
G. Install procedures to ensure that escape routes are
clear. Evacuation routes and assembly areas must be
searched before evacuation;
H. Install procedures to ensure windows and doors
are left open and lights left on; and
I. Include a procedure for machinery shutdown.
This can include plant and equipment, electronics,
computer equipment, securing files and
correspondence.
4. If a suspected device is discovered, cause the
evacuation of people in the affected area to a
distance of at least 300 meters away, and maintain
security for the protection of life and property:
A. Any discovered device shall be isolated;
B. Do not touch, tamper with or disarm
any suspected bomb or IED;
C. Report discovery of suspected device;
D. Do not permit radio transmission within the
premises/building;
E. Turn off all electricity and gas units within the
premises/building;
F. Secure the area and prevent people from
approaching;
G. Establish traffic control;
H. Summon ambulance and fire trucks to the
scene;
I. Await the arrival of bomb disposal team; and
J. Notify Higher Headquarters of the situation.
First Responder’s Procedure in Case of Actual
Bomb Explosion
The following are guidelines for FRs during
cases of actual bomb explosions:
Upon receipt of the report:
1. Identify exact location of the incident;
2. Alert EOD teams and direct them to proceed to the
area;
3. Notify Higher Headquarters of the situation;
4. Request assistance of medical personnel; and
5. Proceed to the scene immediately.
Upon arrival at the scene:
1. Cause immediate evacuation of the injured;
2. Direct occupants of the establishment to evacuate;
3. Maintain order and control crowd;
4. Notify Higher Headquarters of the situation;
5. Seal off location until EOD Team determines if a
secondary device exists;
6. Conduct rescue operations at the scene when
necessary;
7. Initiate immediate investigation if investigators have
not yet arrived and determine the following:
A. Time of detonation/explosion;
B. Time when the call for bomb threat was received; and
C. Type of device.
8. Submit incident report immediately; and
9. Avoid issuing “speculative” press releases or
statements.
PNP OPERATIONAL PROCEDURES ON
CIVIL DISTURBANCE MANAGEMENT OPERATIONS
(Rule No. 26)

General Guidelines
The PNP units tasked to maintain peace and order shall not interfere
with the holding of public assembly. To ensure public safety, a Civil
Disturbance Management (CDM) contingent under the command of a
Police Commissioned Officer (PCO) with the rank of Police Senior
Inspector or higher shall be detailed and stationed at least 100 meters
away from the place where the public assembly is being held. In the
absence of any permit from the LGU concerned, the PCO in command
should exert effort in persuading the demonstrators to disperse
peacefully and vacate the public place.
In lightning rallies or demonstrations, the Ground
Commander shall exhaust efforts through dialogue with the
leaders/organizers for voluntary dispersal. In case of failure,
orderly dispersal to include apprehension of those
responsible is resorted to.
Specific Guidelines
When assistance is requested by the leaders/ organizers, it
shall be imperative for the CDM contingent to perform their
duties while observing the rights of demonstrators. Further,
the members of the CDM contingent dealing with the
demonstrators shall be in prescribed uniform.
a. The CDM contingent shall not carry any kind of fi rearms
but may be equipped with baton or riot sticks, crash helmets
with visor, gas masks, boots or ankle-high shoes with shin
guards.
b. Tear gas, smoke grenades, water cannons, or any similar
anti-riot device shall not be used unless the public assembly
is attended by actual violence or serious threats of violence,
or deliberate destruction of property. Maximum tolerance
shall always be observed.
c. The organization and membership of CDM contingents, as well as their
deployment and employment, shall be in accordance with existing PNP rules
and regulations.
CDM Operational Tasks
a. Isolate the area;
b. Secure likely targets;
c. Control crowds;
d. Establish area control; and
e. Neutralize special threats.
CDM Operational Approaches
a. The commitment of a CDM contingent must be viewed
as a last resort. Their role, therefore, should never be
greater than what is necessary under the circumstances.
This does not mean though that the number of troops
employed should be minimized. Doubts concerning the
number of troops required should normally be resolved in
favor of deployment of large number since the presence of
such large number may prevent the development of
situations in which the use of excessive force would be
necessary. A large reserve of troops should be maintained
during civil disturbance operations.
b. In selecting an operational approach to a civil disturbance
situation, the Ground Commander and his personnel must
adhere to the “minimum necessary force” principle.
c. Efforts should be exerted to create the image of a
restrained and well-disciplined force, the sole purpose of which
is to assist in the restoration of law and order. Further, while
CDM contingent should be visible, any activity which might
excite rather than calm should be avoided when possible.
d. Consistent with the controlling principle “that he
must use the minimum necessary force to accomplish
his mission”, the Ground Commander shall equip the
CDM contingent only with rattan
stick/truncheon/baton, shield, Kevlar helmet and
handcuffs.
e. In situations requiring the use of baton/
truncheons should only target fleshy part of the body
such as arms, torso, legs, and thighs. Hitting
protesters with the baton or truncheon on the head,
face, neck, shoulders blades, elbows, fingers, groins,
knees, and ankles must be avoided since strikes to
these parts may cause serious to permanent injuries,
or even death.
f. Protesters that are arrested must be properly
restrained/handcuffed using scientific control methods; and
thereafter, brought safely to the police station for
processing. Arrested protesters must not be kicked,
punched, or dragged by hair or feet.
g. Whenever appropriate, deploy properly trained and
equipped female CDM personnel as front- liners.
Reference
Domingo, C. 2020. Dispute Resolution and
Crisis Management. ISBN: 978-621-418-130-8.
Wiseman’s Books Trading, Inc.