Carmen, JV (Dispute Resolution)

TARLAC STATE UNIVERSITY
COLLEGE OF CRIMINAL JUSTICE EDUCATION

CRIMINOLOGY DEPARTMENT Page 1 of 24 | Criminology 6
Dispute Resolution and Crises/Incidents Management

JAN VINCENT S. CARMEN, MS CJ
DISPUTE RESOLUTION AND CRISES/INCIDENTS

MANAGEMENT
JAN VINCENT S. CARMEN, RCRIM, MS CJ, PHD CRIM (IP)
DISPUTE RESOLUTION AND CRISES/INCIDENTS MANAGEMENT

(Criminology 6)
1. What is a Conflict?
➢ A conflict is an activity which takes place when conscious beings (individuals or groups) wish to carry
out mutually inconsistent acts concerning their wants, needs or obligations. (Nicholson, M., 1992)
➢ Conflict may also refer to a natural disagreement or struggle between people which may be physical, or
between conflicting ideas. It can either be within one person, or they can involve several people or groups.
➢ It exists when they have incompatible goals and one or more believe that the behavior of the other
prevents them from their own goal achievement.
➢ The word “Conflict” comes from the Latin word “conflingere” which means to come together for a battle.
2. What are Conflict Theories?
Conflict theory states that tensions and conflicts arise when resources, status, and power are
unevenly distributed between groups in society and that these conflicts become the engine for social
change. In this context, power can be understood as control of material resources and accumulated
wealth, control of politics and the institutions that make up society, and one's social status relative to
others (determined not just by class but by race, gender, sexuality, culture, and religion, among other
things). (Crossman, 2019)
Conflict theory originated in the work of Karl Marx, who focused on the causes and consequences
of class conflict between the bourgeoisie (the owners of the means of production and the capitalists) and
the proletariat (the working class and the poor). Many social theorists have built on Marx's conflict
theory to bolster it, grow it, and refine it over the years. Many others have drawn on conflict theory to
develop other types of theory within the social sciences, including the following:
1. Feminist theory;
2. Critical race theory;
3. Postmodern theory and postcolonial theory;
4. Queer theory;
5. Post-structural theory, and
6. Theories of globalization and world systems.
So, while initially conflict theory described class conflicts specifically, it has lent itself over the years
to studies of how other kinds of conflicts, like those premised on race, gender, sexuality, religion,
culture, and nationality, among others, are a part of contemporary social structures, and how they
affect our lives.
3. What is Conflict Resolution?
➢ It can be defined as the informal or formal process that two or more parties use to find a peaceful solution
to their dispute.
➢ It may also refer to the way for two or more parties to find a peaceful solution among them. The
disagreement may be personal, financial, political or emotional.
4. What are the Conflict Resolution Strategies?
Kenneth Thomas and Ralph Kilmann (2015) developed five conflict resolution strategies Thomas
– Kilmann Instrument or more generally known as TKI Conflict Strategies that people use to handle
conflict, including avoiding, defeating, compromising, accommodating, and collaborating.

CRIMINOLOGY DEPARTMENT
“IF YOU ARE NOT WILLING TO LEARN, NO ONE CAN HELP YOU.
IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”
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Page 2 of 24 | Criminology 6

The Thomas-Kilmann Instrument is designed to measure a person’s behavior in conflict
situations. “Conflict situations” are those in which the concerns of two people appear to be incompatible.
In such conflict situations, an
individual’s behavior can be described along two
dimensions: (1) assertiveness, the
extent to which the person attempts to satisfy his
own concerns, and
(2) cooperativeness, the extent to which the
person attempts to satisfy the other person’s
concerns.
The following are the five (5) Conflict Resolution
Strategies:
a. Conflict Resolution Strategy #1: Avoiding
This is unassertive and uncooperative. The
person neither pursues his own concerns nor
those of the other individual. Thus, he
does not deal with the conflict. Avoiding might
take the form of diplomatically sidestepping an issue, postponing an issue until a better time, or
simply withdrawing from a threatening situation.
Avoiding is when people just ignore or withdraw from the conflict. They choose this method when
the discomfort of confrontation exceeds the potential reward of resolution of the conflict. While this
might seem easy to accommodate for the facilitator, people are not really contributing anything of
value to the conversation and may be withholding worthwhile ideas. When conflict is avoided,
nothing is resolved.
b. Conflict Resolution Strategy #2: Competing
This is assertive and uncooperative. An individual pursues his own concerns at the other person’s
expense. This is a power-oriented mode in which you use whatever power seems appropriate to win
your own position—your ability to argue, your rank, or economic sanctions. Competing means
“standing up for your rights,” defending a position which you believe is correct, or simply trying to
win. Competing is used by people who go into a conflict planning to win. Competing might work in
sports or war, but it’s rarely a good strategy for group problem solving.
c. Conflict Resolution Strategy #3: Accommodating
This is unassertive and cooperative—the complete opposite of competing. When accommodating,
the individual neglects his own concerns to satisfy the concerns of the other person; there is an
element of self-sacrifice in this mode. Accommodating might take the form of selfless generosity or
charity, obeying another person’s order when you would prefer not to, or yielding to another’s point
of view.
Also, accommodating is a strategy where one party gives in to the wishes or demands of another.
They are being cooperative but not assertive. This may appear to be a gracious way to give in when
one figures out s/he has been wrong about an argument. It is less helpful when one party
accommodates another merely to preserve harmony or to avoid disruption. Like avoidance, it can
result in unresolved issues. Too much accommodation can result in groups where the most
assertive parties commandeer the process and take control of most conversations.
d. Conflict Resolution Strategy #4: Collaborating
It is both assertive and cooperative—the complete opposite of avoiding. Collaborating involves an
attempt to work with others to find some solution that fully satisfies their concerns. It means
digging into an issue to pinpoint the underlying needs and wants of the two individuals.
Collaborating between two persons might take the form of exploring a disagreement to learn from
each other’s insights or trying to find a creative solution to an interpersonal problem.
A group may learn to allow each participant to contribute with the possibility of co-creating a
shared solution that everyone can support.
e. Conflict Resolution Strategy #5: Compromising
It is moderate in both assertiveness and cooperativeness. The objective is to find some expedient,
mutually acceptable solution that partially satisfies both parties. It falls intermediate between
competing and accommodating. Compromising gives up more than competing but less than
accommodating. Likewise, it addresses an issue more directly than avoiding, but does not explore

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it in as much depth as collaborating. In some situations, compromising might mean splitting the
difference between the two positions, exchanging concessions, or seeking a quick middle-ground
solution.
The concept of this is that everyone gives up a little bit of what they want, and no one gets
everything they want. The perception of the best outcome when working by compromise is that
which “splits the difference.” Compromise is perceived as being fair, even if no one is particularly
happy with the outcome.
SALIENT FEATURES OF RA 9285 OTHER WISE KNOWN AS THE ALTERNATIVE DISPUTE RESOLUTION
ACT OF 2004
1. What is Republic Act No. 9285?
This Act is known as the "Alternative Dispute Resolution Act of 2004."
2. What is the policy of the State regarding Alternative Dispute Resolution (ADR)?
It is hereby declared the policy of the State to actively promote party autonomy in the resolution
of disputes or the freedom of the party to make their own arrangements to resolve their disputes.
Towards this end, the State shall encourage and actively promote the use of Alternative Dispute
Resolution (ADR) as an important means to achieve speedy and impartial justice and declog court
dockets. As such, the State shall provide means for the use of ADR as an efficient tool and an alternative
procedure for the resolution of appropriate cases. Likewise, the State shall enlist active private sector
participation in the settlement of disputes through ADR.
3. Does RA 9285 limits the power of the Supreme Court to adopt any ADR System?
No. This Act shall be without prejudice to the adoption by the Supreme Court of any ADR system,
such as mediation, conciliation, arbitration, or any combination thereof as a means of achieving speedy
and efficient means of resolving cases pending before all courts in the Philippines which shall be
governed by such rules as the Supreme Court may approve from time to time. (Sec. 2, RA 9285)
4. What is Alternative Dispute Resolution?
Alternative Dispute Resolution System means any process or procedure used to resolve a dispute
or controversy, other than by adjudication of a presiding judge of a court or an officer of a government
agency, as defined under RA 9285, in which a neutral third party participates to assist in the resolution
of issues, which includes arbitration, mediation, conciliation, early neutral evaluation, mini-trial, or any
combination thereof. (Sec. 3, par. a, RA 9285)
5. What is Arbitration?
Arbitration means a voluntary dispute resolution process in which one or more arbitrators,
appointed in accordance with the agreement of the parties, or rules promulgated pursuant to RA 9285,
resolve a dispute by rendering an award. (Sec. 3, par. d, RA 9285)
Note: Award means any partial or final decision by an arbitrator in resolving the issue or controversy.
6. Who is an Arbitrator?
Arbitrator means the person appointed to render an award, alone or with others, in a dispute
that is the subject of an arbitration agreement. (Sec. 3, par. e, RA 9285)
Arbitration Process or also known as the Private Dispute Resolution Process
• It is a procedure in which a dispute is submitted, by agreement of the parties to one or more arbitrators.
Litigation Process
• Refers to an action of resolving a dispute by filing or answering a complaint through the public court
system. Typically settled by agreement between parties, but may also be heard and decided by a jury or
judge in court.
Arbitration vs. Litigation

Litigation Arbitration
- means taking a dispute to court. Both - on the other hand, is a private process
sides present their case before a judge in which both parties agree that an
or jury, who will then render a arbitrator (a neutral third party) will
decision. render a binding decision.

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- refers to an action of resolving a - also known as the Private Dispute
dispute by filing or answering a Resolution Process - is a procedure in
complaint through the public court which a dispute is submitted, by
system. Typically settled by agreement agreement of the parties to one or
between parties, but may also be more arbitrators.
heard and decided by a jury or judge
in court.
7. What is Early Neutral Evaluation?

This means an ADR process wherein parties and their lawyers are brought together early in a
pre-trial phase to present summaries of their cases and receive a nonbinding assessment by an
experienced, neutral person, with expertise in the subject in the substance of the dispute. (Sec. 3, par.
n, RA 9285)
8. What is Mediation?
Mediation means a voluntary process in which a mediator, selected by the disputing parties,
facilitates communication and negotiation, and assist the parties in reaching a voluntary agreement
regarding a dispute. (Sec. 3, par. q, RA 9285)
9. Who is a Mediator?
Mediator means a person who conducts mediation. (Sec. 3, par. r, RA 9285)
10. What is Mediation Party?
This means a person who participates in a mediation and whose consent is necessary to resolve
the dispute. (Sec. 3, par. s, RA 9285)
11. What is Mediation-Arbitration?

"Mediation-Arbitration" or Med-Arb is a step dispute resolution process involving both mediation
and arbitration. (Sec. 3, par. t, RA 9285)
Comparison
Process Third Party Involvement Decision

Negotiation None Both Parties
Mediation Mediator Both Parties
Arbitration Arbitrator Arbitrator
12. What is Mini-trial?
This means a structured dispute resolution method in which the merits of a case are argued
before a panel comprising senior decision makers with or without the presence of a neutral third person
after which the parties seek a negotiated settlement (Sec. 3, par. u, RA 9285)
13. How arbitration, mediation and conciliation are different from each other?
Arbitration, mediation and conciliation are the main Alternative Dispute Resolution Mechanism
which is generally adopted by the people to resolve their disputes in an informal manner. They try to
reach a solution by settlement or negotiation with the assistance of a third neutral party and have turned
out to be an effective alternative to the litigation process.
Arbitration is a process where the parties submit their case to a neutral third party who on the
basis of discussion determine the dispute and comes to a solution.
Mediation and conciliation both are an informal process. Whereas, arbitration is more formal as
compared to them. In mediation, the mediator generally sets out alternatives for the parties to reach out
an agreement. The main advantage of the mediation is that the settlement is made by the parties
themselves rather than a third party. It is not legally binding on the parties. In addition, the basic motive
of mediation is to provide opportunities to parties to negotiate and come to a final solution catering the
needs of both sides.
Dispute resolution through conciliation involves the assistance of a neutral third party who plays
an advisory role in reaching an agreement. The process adopted by all the three are different but, the
main purpose is to resolve the dispute in a way where the interest of the parties is balanced.
14. What is ADR Provider?
"ADR Provider" means institutions or persons accredited as mediator, conciliator, arbitrator,
neutral evaluator, or any person exercising similar functions in any Alternative Dispute Resolution

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system. This is without prejudice to the rights of the parties to choose nonaccredited individuals to act
as mediator, conciliator, arbitrator, or neutral evaluator of their dispute. (Sec. 3, par. b, RA 9285)
15. What is the liability of ADR providers/Practitioners?
The ADR provides /practitioners shall have the same civil liability for acts done in the
performance of their official duties as that of public officers as provided in Section 38 (1), Chapter 9,
Book 1 of the Administrative Code of 1987, upon a clear showing of bad faith, malice or gross negligence.
(Article 1.5, IRR, RA 9285)
16. What are the cases wherein Republic Act No. 9285 does not apply?
The provisions of RA 92856 shall not apply to resolution or settlement of the following:
a. 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;
b. The civil status of persons;
c. The validity of a marriage;
d. Any ground for legal separation;
e. The jurisdiction of courts;
f. Future legitime;
g. Criminal liability;
h. Those which by law cannot be compromised; and
i. Those disputes referred to court-annexed mediation. (Article 1.3, IRR, RA 9285)
17. What is the Office for Alternative Dispute Resolution?
The Office for Alternative Dispute Resolution (OADR) is as an agency attached to the Department
of Justice. It shall have a Secretariat and shall be headed by an Executive Director, who shall be
appointed by the President of the Philippines, taking into consideration the recommendation of the
Secretary of Justice. (Article 2.1., IRR, RA 9285)
18. What are the powers of the OADR?
The OADR shall have the following powers:
a. To act as appointing authority of mediators and arbitrators when the parties agree in writing
that it shall be empowered to do so;
b. 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;
c. To establish an ADR library or resource center where ADR laws, rules and regulation,
jurisprudence, books, articles and other information about ADR in the Philippines and elsewhere
may be stored and accessed;
d. To establish training programs 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;
e. To certify those who have successfully completed the regular professional training programs
provided by the OADR;
f. To charge for services rendered such as, among others, for training and certifications of ADR
providers;
g. To accept donations, grants and other assistance from local and foreign sources; and
h. To exercise such other powers as may be necessary and proper to carry into effect the provisions
of the ADR Act. (Art. 2.2., IRR, RA 9285)
19. What are the functions of OADR?
The OADR shall have the following functions:
a. To promote, develop and expand the use of ADR in the private and public sectors through
information, education and communication;
b. To monitor, study and evaluate the use of ADR by the private and public sectors for purposes of,
among others, policy formulation;
c. To recommend to Congress needful statutory changes to develop, strengthen and improve ADR
practices in accordance with international professional standards;

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d. To make studies on and provide linkages for the development, implementation, monitoring and
evaluation of government and private ADR programs and secure information about their
respective administrative rules/procedures, problems encountered and how they were resolved;
e. To compile and publish a list or roster of ADR providers/practitioners, who have undergone
training by the OADR, or by such training providers/institutions recognized or certified by the
OADR as performing functions in any ADR system. The list or roster shall include the addresses,
contact numbers, e-mail addresses, ADR service/s rendered (e.g. arbitration, mediation) and
experience in ADR of the ADR providers/practitioners;
f. To compile a list or roster of foreign or international ADR providers/practitioners. The list or
roster shall include the addresses, contact numbers, e-mail addresses, ADR service/s rendered
(e.g. arbitration, mediation) and experience in ADR of the ADR providers/practitioners; and
g. To perform such other functions as may be assigned to it. (Art. 2.3., IRR, RA 9285)
20. State the Divisions of OADR.
The OADR shall have the following staff and service divisions, among others:
a. Secretariat – shall provide necessary support and discharge such other functions and duties as
may be directed by the Executive Director.
b. Public information and Promotion Division – 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.
c. Training Division – shall be charged with the formulation of effective standards for the training
of ADR practitioners; conduct of training 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.
d. Records and Library Division – 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. (Art. 2.4., IRR, RA 9285)
21. What is Advisory Council? State its composition.
There is also created an Advisory Council composed of a representative from each of the following:
a. Mediation profession;
b. Arbitration profession;
c. ADR organizations;
d. IBP; and
e. Academe.
The members of the Council, who shall be appointed by the Secretary of Justice upon the
recommendation of the OADR Executive Director, shall choose a Chairman from among themselves.
(Art. 2.5., IRR, RA 9285)
22. What is the role of the Advisory Council?
The Advisory Council shall advise 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. (Art. 2.6., IRR, RA 9285)
MEDIATION
Terms and Applicable in Mediation:
1. Ad hoc Mediation means any mediation other than institutional or court-annexed.
2. Institutional Mediation means any mediation process conducted under the rules of a mediation
institution.
3. Court-Annexed Mediation means 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.
4. 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.

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5. Certified Mediator means a mediator certified by the Office for ADR as having successfully completed
its regular professional training program.
6. Mediation means a voluntary process in which a mediator, selected by the disputing party voluntary
agreement regarding a dispute.
7. Mediation Party means a person who participates in a mediation and whose consent is necessary to
resolve the dispute.
8. Mediator means a person who conducts mediation.
9. Non-Party Participant means a person, other than a party or mediator, who participates in a
mediation proceeding as a witness, resource person or expert. (Rule 2, par. B, IRR, RA 9285)
23. What is the State policy on Mediation?
In applying and construing the provisions of these Rules, consideration must be given to the
need to promote candor of parties and mediators through confidentiality of the mediation process, the
policy of fostering prompt, economical and amicable resolution of disputes in accordance with principles
of integrity of determination by the parties and the policy that the decision-making authority in the
mediation process rests with the parties.
A party may petition a court before which an action is prematurely brought in a matter which is
the subject of a mediation agreement, if at least one party so requests, not later than the pre-trial
conference or upon the request of both parties thereafter, to refer the parties to mediation in accordance
with the agreement of the parties. (Article 3.2., IRR, RA 9285)
SELECTION OF A MEDIATOR
24. Do parties have the right to select a Mediator?
Yes. The parties have the freedom to select a mediator. The parties may request the Office for
Alternative Dispute Resolution (OADR) to provide them list or roster or the resumes of its certified
mediators. The OADR may be requested to inform the mediator of his/her selection. (Article 3.3., IRR,
RA 9285)
25. Is it required that a Mediator has special qualifications by background or profession?
As a Rule, ADR act does not require that a mediator shall have special qualifications by
background or profession unless the special qualifications of a mediator are required in the mediation
agreement or by the mediation parties. (Sec. 13, RA 9285)
26. May a party waive his right to participate in Mediation?
Yes, except as otherwise provided in RA 9285, a party may designate a lawyer or any other person
to provide assistance in the mediation. A lawyer of this right shall be made in writing by the party waiving
it. A waiver of participation or legal representation may be rescinded any time. (Sec. 14, RA 9285)
Note: Rescind means to revoke or cancel.
27. When a Mediator be replaced?

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. (Article 3.4., IRR, RA 9285)
28. What are the grounds wherein a Mediator may refuse or withdraw such?
A mediator may refuse from acting as such, withdraw or may be compelled to withdraw from
mediator proceedings under the following circumstances:
a. If any of the parties so requests the mediator to withdraw;
b. The mediator does not have the qualifications, training and experience to enable him/her to meet
the reasonable expectations of the parties;
c. Where the mediator's impartially is in question;
d. If continuation of the process would violate any ethical standards;
e. If the safety of any of the parties would be jeopardized;
f. If the mediator is unable to provide effective services;
g. In case of conflict of interest; and
h. In any of the following instances, if the mediator is satisfied that:
1. One or more of the parties is/are not acting in good faith;
2. The parties' agreement would be illegal or involve the commission of a crime;
3. Continuing the dispute resolution would give rise to an appearance of impropriety;
4. Continuing with the process would cause significant harm to a non-participating person or
to the public; or

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5. Continuing discussion would not be in the best interest of the parties, their minor children
or the dispute resolution process. (Article 3.5., IRR, RA 9285)
ETHICAL CONDUCT OF A MEDIATOR
29. Explain the following terms as Ethical Conduct of a Mediator:
1. Competence
It is not required that a mediator shall have special qualifications by background or
profession unless the special qualifications of a mediator shall:
a. maintain the continually upgrade his/her professional competence in mediation
skills;
b. ensure that his/her qualifications, training and experience are known to and accepted
by the parties; and
c. serve only when his/her qualifications, training and experience enable him/her to
meet the reasonable expectations of the parties and shall not hold himself/herself out
or give the impression that he/she does not have.
Upon the request of a mediation party, an individual who is requested to serve as

mediator shall disclose his/her qualifications to mediate a dispute. (Article 3.5., IRR, RA 9285)
2. Impartially
A mediator shall maintain impartiality.
a. Before accepting a mediation, an individual who is requested to serve as a mediator shall:
● make an inquiry that is reasonable under the circumstances to determine
whether there are known facts that a reasonable individual would consider
likely to affect the impartiality of the mediator, including a financial or
personal interest in the outcome of the mediation and any existing or past
relationship with a party of foreseeable participant in the mediation; and
● disclose to the mediation parties any such fact known or learned as soon as
practical before accepting a mediation.
b. If a mediator learns any fact described in paragraph (a) of this Article after accepting a mediation,
the mediator shall disclose it as soon as practicable to the mediation parties. (Article 3.7., IRR,
RA 9285)
3. Confidentiality
A mediator shall keep in utmost confidence all confidential information obtained in the
course of the mediation process.
a. A mediator shall discuss issues of confidentiality and the extent of confidentiality provided in any
private sessions or caucuses that the mediator holds with a party. (Article 3.8., IRR, RA 9285)
4. Consent and Self-Determination
a. A mediator shall make reasonable efforts to ensure that each party understands the nature and
character of the mediation proceeding including private caucuses, the issues, the available
options, the alternatives to non-settlement, and that each party is free and able to make whatever
choices he/she desires regarding participation in mediation generally and regarding specific
settlement options.
If a mediator believes that a party, who is not represented by counsel, is unable to
understand, or fully participate, the mediation proceedings for any reason, a mediator
may either:
● limit the scope of the mediation proceedings in a manner consistent with the
party's ability to participate, and/or recommend that the party obtain
appropriate assistance in order to continue with the process; or
● terminate the mediation proceedings.
b. A mediator shall recognize and put in mind that the primary responsibility of resolving a dispute
and the shaping of a voluntary and uncoerced settlement rests with the parties. (Article 3.9., IRR,
RA 9285)
5. 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

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● 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 implication 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 al 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. (Article 3.10., IRR, RA 9285)
6. Charging of Fees.
With respect to 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. (Article 3.11., IRR, RA 9285)
7. 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. (Article 3.12., IRR, RA 9285)
8. 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. (Article 3.13.,
IRR, RA 9285)
ROLE OF PARTIES AND THEIR COUNSELS IN MEDIATION

30. May a party designate a lawyer to assist him in Mediation?
Yes, except as otherwise provided by the ADR Act or by there Rules, 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. (Article 3.14., IRR, RA 9285)
31. Enumerate the Roles of a Counsel in Mediation proceedings.
a. The lawyer shall view his/her role in the 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.
b. 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.
c. 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.
d. 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 it its
difference from litigation, its advantages and benefits, the clients 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;
o The substantive issues involved in the dispute and their prioritization in terms of
importance to his/her client’s real interests and needs.
o The study of other party’s position in relation to the issues with a view to
understanding the underlying interests, fears, concerns and needs;

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o The information or facts to be gathered or sought from the other side or to be
exchanged that are necessary for informed decision-making;
o The possible options for settlement but stressing the need to be open-minded about
other possibilities; and
o The best, worst and most likely alternative to a non-negotiated settlement. (Article
3.15., IRR, RA 9285)
32. What other matters a Counsel must do to assist in the Mediation?
To assist in the Mediation, the lawyer:
a. shall give support to the mediator so that his/her client will fully understand the rules and
processes of mediation;
b. 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.;
c. 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; and
d. shall assist his/her client and the mediator put in writing the terms of the settlement
agreement that the parties have entered into. That 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. (Article 3.16., IRR, RA 9285)
CONDUCT OF MEDIATION
33. What are the articles to be considered in the conduct of Mediation?
The articles to be considered in the conduct of Mediation are the following:
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 held the parties reach a satisfactory resolution to 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 maybe
represented by an agent who must have full authority to negotiate and settle the dispute.
d. The mediation process shall, in general, consists 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. Person, other than the parties, their
representatives and 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. (Article 3.17., IRR, RA 9285)
34. Where is the place of Mediation?
The parties are free to agree on the place of mediation. Failing such agreement, the place of
mediation shall be any place convenient and appropriate to all parties. (Article 3.18., IRR, RA 9285)
ARBITRATION AGREEMENT
35. Explain the form of an Arbitration Agreement
The Arbitration agreement, as defined in Articles 1.6 A4, 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, 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

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arbitration agreement provided that the contracts is writing and the reference is such as to make that
clause part of the contract. (Article 4.7., IRR, RA 9285)
Composition of Arbitral Tribunal
36. How many Arbitrators must constitute an Arbitral Tribunal?
The parties are free to determine the number of arbitrators. Failing such determination, the
number of arbitrators shall be three (3). (Article 5.9., IRR, RA 9285)
Terms to Ponder:
1. ADR Provider means the Institutions or persons accredited as mediators, conciliators, arbitrators, neutral
evaluators or any person exercising similar functions in any Alternative dispute resolution system. This is
without prejudice to the rights of the parties to choose non-accredited individuals to act as mediator, conciliator,
arbitrator or neutral evaluator of their dispute.
2. Alternative Dispute Resolution System means any process or procedures used to resolve a dispute or
controversy, other than by adjudication of a presiding judge of a court or an officer of a government agency, as
defined in the ADR Act, in which neutral third person participates to assist in the resolution of issues, Including
arbitration, mediation, conciliation, early neutral evaluation, mini-trial or any combination thereof.
3. Arbitration means a voluntary dispute resolution process in which one or more arbitrators, appointed in
accordance with the agreement of the parties or these Rules, resolve a dispute by rendering an award.
4. Arbitration Agreement means agreement by the parties to submit to arbitration all or certain disputes
which have arisen or which may arise between them in respect of a defined legal relationship, whether
contractual or not. An arbitration agreement may be in the form of an arbitration clause in a contract or in the
form of a separate agreement.
5. Authenticate means to sign, execute, adopt a symbol or encrypt a record or establish the authenticity of a
record or term.
6. Award means any partial or final decision by an arbitrator in resolving the issue or controversy.
7. Confidential Information means any information, relative to the subject of mediation or arbitration,
expressly intended by the source not to disclosed, or obtained under circumstances that would create
reasonable expectation on behalf of the source that the information shall not be disclosed. It shall include:
(a) communication, oral or written, made in a dispute resolution proceeding, including any memoranda, notes
or work product of the neutral party or non-party participant;
(b) an oral or written statement made or which occurs during mediation or for purposes of considering,
conducting, participating, initiating, continuing or reconvening mediation or retaining a mediator; and
(c) pleadings, motions, manifestations, witness statements, reports filed or submitted in arbitration or for expert
evaluation.
8. Counsel means a lawyer duly admitted to the practice of law in the Philippines and in good standing who
represents a party in any ADR process.
9. Court means Regional Trial Court Except insofar as otherwise defined under Model Law.
10. Government Agency means any governmental entity, office or officer, other than a court that is vested by
law with quasi-judicial power or the power to resolve or adjudicate disputes involving the government, its
agencies and instrumentalities or private persons.
11. Model Law means the Model on International Commercial Arbitration adopted by the United Nations
Commission on International Trade Law on 21 June 1985.
12. Proceedings means judicial, administrative or other adjudicative process, including related pre-hearing or
post hearing motions, conferences and discovery.
13. Record means information written on a tangible medium or stored in an electronic or other similar medium,
retrievable in a perceivable form.
14. Roster means a list of persons qualified to provide ADR services as neutrals or to serve as arbitrators.
15. Special ADR Rules means the Special Rules of Court on Alternative Dispute Resolution issued by the
Supreme Court on September 1, 2009.
KATARUNGANG PAMBARANGAY
1. What is Katarungang Pambarangay?
➢ Katarungang Barangay (KP) is a system of justice administered at the barangay level for the purpose of
amicable settling disputes through mediation, conciliation or abitration among the family or barangay
without resorting to the courts.

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➢ The Katarungang Pambarangay or Barangay Justice System is a community-based dispute settlement
mechanism that is administered by the basic political unit of the country, the barangay.
➢ In addition, this law expanded the scope and powers of the Katarungang Pambarangay or the Barangay
Justice System designed not merely to decongest the courts of cases but to address inequalities in access
to justice, particularly experienced by marginalized communities.
➢ Under the Barangay Justice System, the main strategy for settling disputes is to provide a venue for the
disputing parties to search for a solution that is mutually acceptable. Hence, the primary role of the
system is not to decide disputes and impose a solution on the parties but to assist the parties in
discussing the possible amicable settlement of their disputes. The Punong Barangay and the community
conciliators (Lupon members) do not act as judges or adjudicators of disputes but as facilitators for the
disputing parties’ discussion of possible solutions. For this reason, the personal appearance and
participation of the disputing parties is necessary, while the non-appearance of the parties will have
corresponding sanctions. Also because of the need for the disputing parties’ personal participation in
the conciliation proceedings, disputes involving non-natural persons like corporations are not subject
to the conciliation proceedings of the Barangay Justice System.
2. What is PD 1508?
This refers to an Act Establishing a System of Amicably Settling Disputes at the Barangay Level.
3. What is RA 7160?
RA 7160 is otherwise known as the 1991 Local Government Code. This gives barangays the mandate
to enforce peace and order and provide support for the effective enforcement of human rights and justice.
Decentralization has facilitated the recognition of the Katarungang Pambarangay or Barangay Justice
System as an alternative venue for the resolution of disputes. The challenge facing local governments now
is to maximize and harness the katarungang pambarangay as one of the most valuable mechanisms
available in administering justice, advancing human rights protection and resolving and/or mediating
conflict at the barangay level through non-adversarial means.
In addition, this law expanded the scope and powers of the Katarungang Pambarangay or the
Barangay Justice System designed not merely to decongest the courts of cases but to address inequalities
in access to justice, particularly experienced by marginalized communities. The barangays, being the
basic political unit in the country, is in the most strategic position to facilitate resolution or mediation of
community and family disputes, alongside its mandate to deliver basic services.
4. What is Barangay?
➢ The barangay, as the basic political unit, serves as the primary planning and implementing unit of
government policies, plans, programs, projects, and activities in the community, and as a forum wherein
the collective views of the people may be expressed, crystallized, and considered, and where disputes
may be amicably settled. (Sec 384 of the Local Government Code)
5. State the manner of electing or appointing officials of Barangay.
The Barangay officials shall be elected or appointed in the following manner:
a. The Barangay Chairman shall be elected in an election called for that purpose; and
Under the Philippine Constitution, the term of office of elective local officials, except barangay
officials, which shall be determined by law, shall be three years and no such official shall serve for more than
three consecutive terms. (Sec 8, Art X of the Philippine Constitution)
The term of office of barangay chairmen and Sangguniang Barangay Members shall be five (5) years.
(Par c, Sec 1 of RA 8524)
b. he Barangay Secretary and Barangay Treasurer shall be appointed by the Punong Barangay with
concurrence of the majority of all the Sangguniang Barangay Members. Their appointment shall not be
subject to attestation by the Civil Service Commission; (Sec 394 & 395 of the Local Government Code)
6. Who is the Barangay Secretary of the lupon? What are his duties?
The Barangay Secretary shall concurrently serve as the secretary of the Lupon. His duties are the following:
a. He shall record the results of the mediation proceedings before the Punong Barangay and shall submit
a report thereon to the proper city or municipal courts;
b. He shall receive and keep the records of proceedings submitted to him by various conciliation panels;
and
c. He shall issue certified true copies of any public record in his custody that is not by law otherwise
declared confidential. (Sec 394 of the Local Government Code)
Note: The word “concurrently” means at the same time. (Aquino, 2005)
7. What is Lupong Tagapamayapa?

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Lupong Tagapamayapa (Lupon) is a body organized in every barangay composed of Punong Barangay
as the chairperson and not less than ten (10) and more than twenty from which the members of every
Pangkat shall be chosen.
8. Who has the authority to constitute the Lupon?
The Punong Barangay can appoint the lupon members. It is his/her exclusive prerogative — no need
for approval, confirmation or ratification of the sangguniang barangay.
Duties and Responsibilities of Barangay Secretary of the lupon
➢ The Barangay Secretary shall concurrently serve as the secretary of the Lupon. His duties are the
following:
a. He shall record the results of the mediation proceedings before the Punong Barangay and shall submit
a report thereon to the proper city or municipal courts;
b. He shall receive and keep the records of proceedings submitted to him by various conciliation panels;
and
c. He shall issue certified true copies of any public record in his custody that is not by law otherwise
declared confidential. (Sec 394 of the Local Government Code)
Lupong Tagapamayapa
➢ Lupong Tagapamayapa (Lupon) is a body organized in every barangay composed of
Punong Barangay as the chairperson and not less than ten (10) and more than twenty from
which the members of every Pangkat shall be chosen.
Authority to constitute the Lupon
➢ The Punong Barangay can appoint the lupon members. It is his/her exclusive prerogative — no
need for approval, confirmation or ratification of the sangguniang barangay.
Six (6) steps to constitute a Lupon
STEP 1: Determining the actual number of Lupon Members;
STEP 2: Preparing a notice to constitute the Lupon;
STEP 3: Posting the notice to constitute the Lupon;
STEP 4: Appointment of Lupon Members;
STEP 5: Oath taking of Lupon members;
STEP 6: Posting
Below are the Qualified and Disqualified to be Lupon Members:
Are the lupon members entitled to some compensation? Do they have benefits due to them?
➢ The Lupon members shall serve without any compensation. If the barangay has enough funds,
we can always give honoraria to Lupon members who have participated in the resolution of a particular
case. On the other hand, under Commission on Higher Education (CHED) order 62 series of 1997, two
daughters or sons of a Lupon member are qualified to become a state scholar in tertiary education to
any state colleges or universities.
The functions of the Lupong Tagapamayapa are the following:

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a. Exercises administrative supervision over the conciliation panels provided under the law;
b. Meets regularly once a month to provide a forum for exchange of ideas among its members and the public
on matters relevant to 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
c. Exercises such other powers and perform such other duties and functions as may be prescribed by law
or ordinance. (Sec 402 of the Local Government Code)
Pangkat ng Tagapagkasundo.
➢ Pangkat ng Tagapagkasundo is a conciliation panel constituted for each dispute brought before the
Lupon. It is composed 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 Barangay Chairman. (Sec 404 of the Local Government Code)
Organization of Pangkat
➢ 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 courts.
He shall issue and caused to be served notices to the parties concerned. (Sec 404 of the Local
Government Code)
CASES UNDER THE KATARUNGANG PAMBARANGAY
- The following are the cases under the Katarungang Pambarangay:
1. Unlawful Use of Means of Publication and Unlawful Utterances (Art. 154);
2. Alarms and Scandals (Art. 155);
3. Using False Certificates (Art. 175);
4. Using Fictitious Names and Concealing True Names (Art. 178);
5. Illegal Use of Uniforms and Insignias (Art. 179);
6. Physical Injuries Inflicted in A Tumultuous Affray (Art. 252);
7. Giving Assistance to Consummated Suicide (Art. 253);
8. Responsibility of Participants in A Duel If Only Physical Injuries Are Inflicted or No Physical Injuries
Have Been Inflicted (Art. 260);
9. Less Serious Physical Injuries (Art. 265);
10. Slight Physical Injuries and Maltreatment (Art. 266);
11. Unlawful Arrest (Art. 269);
12. Inducing A Minor to Abandon His/Her Home (Art. 271);
13. Abandonment of A Person in Danger and Abandonment of One’s Own Victim (Art. 275);
14. Abandoning A Minor (A Child Under Seven [7] Years Old) (Art. 276);
15. Abandonment of A Minor by Persons Entrusted with His/Her Custody; Indifference of Parents (Art. 277);
16. Qualified Tresspass To Dwelling (Without the Use of Violence and Intimidation). (Art. 280);
17. Other Forms of Tresspass (Art. 281);
18. Light Threats (Art. 283);
19. Other Light Threats (Art. 285);
20. Grave Coercion (Art. 286);
21. Light Coercion (Art. 287);
22. Other Similar Coercions (Compulsory Purchase of Merchandise and Payment of Wages by Means of
Tokens). (Art. 288);
23. Formation, Maintenance and Prohibition of Combination of Capital or Labor Through Violence or Threats
(Art. 289);
24. Discovering Secrets Through Seizure and Correspondence (Art. 290);
25. Revealing Secrets with Abuse of Authority (Art. 291);
26. Theft (If the Value of The Property Stolen Does Not Exceed P50.00). (Art. 309);
27. Qualified Theft (If the Amount Does Not Exceed P500). (Art. 310);
28. Occupation of Real Property or Usurpation of Real Rights in Property (Art 312);
29. Altering Boundaries or Landmarks (Art. 313);
30. Swindling or Estafa (If the Amount Does Not Exceed P200.00). (Art. 315);
31. Other Forms of Swindling (Art. 316);
32. Swindling A Minor (Art. 317); gg. Other Deceits (Art. 318);
33. Removal, Sale or Pledge of Mortgaged Property (Art. 319);

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34. Special Cases of Malicious Mischief (If the Value of the Damaged Property Does Not Exceed P1,000.00).
(Art 328);
35. Other Mischiefs (If the Value of The Damaged Property Does Not Exceed P1,000.00). (Art. 329);
36. Simple Seduction (Art. 338);
37. Acts of Lasciviousness with The Consent of The Offended Party (Art 339);
38. Threatening to Publish and Offer to Prevent Such Publication for Compensation (Art. 356);
39. Prohibiting Publication of Acts Referred to In the Course of Official Proceedings (Art. 357); oo.
Incriminating Innocent Persons (Art. 363);
40. Intriguing Against Honor (Art. 364);
41. Issuing Checks Without Sufficient Funds (Bp 22); and
42. Fencing of Stolen Properties If the Property Involved Is Not More Than P50.00 (Pd 1612).
Rules to Be Considered in Determining the Venue in Settling Disputes
- The Rules in Determining Venue in Settling Disputes are the Following:
a. The 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; And
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.
Procedure to be followed for settlement of disputes at the barangay level
- The procedure to be followed in resolving disputes in the barangay level are the following:
a. The complainant complains orally or in writing to the Lupon Chairman of the barangay; If the
complaint is done orally, it is the duty of the Lupon Chairman to place it in writing.
b. Within the next working day from receipt of the complaint, the Lupon Chairman shall summon
the respondent, with notice to the complainant, for them and their witnesses to appear before
him for mediation;
c. If the Lupon Chairman fails in his mediation efforts within fifteen (15) days from the first meeting
of parties, he shall set a date for the constitution of the Pangkat ng Tagapagkasundo;
d. The Pangkat shall convene not later than three (3) days from its constitution to hear both parties
and their witnesses, simplify issues, and explore all possibilities for amicable settlement;
e. The Pangkat shall arrive at settlement or resolution of the dispute within fifteen (15) days, from
the day it convened; otherwise the Certification to File Action shall be issued. (Sec 410 of the
Local Government Code)
Issuances of Certification to File Action
- The Certification to File Action shall be issued by any of the following:
a. The Lupon Secretary and attested by the Lupon Chairman, certifying that a confrontation of the parties
has taken place and that a conciliation or settlement has been subsequently repudiated;
b. The Pangkat Secretary and attested by the Pangkat Chairman, certifying that:
c. Confrontation between the parties took place but no conciliation and/or settlement has been reached;
or
d. No confrontation took place before the Pangkat through no fault of the complainant.
e. The Punong Barangay, as requested by the proper party on the ground of failure of settlement where
the dispute involves members of the same indigenous cultural community, which shall be settled in
accordance with the customs and traditions of that particular cultural community, or where one or more
of the parties mutually agreed to submit their disputes to the indigenous system of amicable settlement,
and there has been no settlement as certified by the Datu or tribal leader or elder to the Punong
Barangay of the place of settlement. (Aggranzamendez, 2008)
CONCEPT AND PRINCIPLES OF RESTORATIVE JUSTICE
1. What is Restorative Justice?
➢ Restorative justice refers to a principle which requires a process of resolving conflicts with the maximum
involvement of the victim, the offender and the community.

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➢ It seeks to obtain reparation for the victim; reconciliation of the offender, the offended and the
community; and reassurance to the offender that he/she can be reintegrated into society.
➢ It also enhances public safety by activating the offender, the victim and the community in prevention
strategies.
➢ It embraces a wide range of human emotions – healing, mediation, compassion, forgiveness, mercy, and
reconciliation. (Par q, Sec 4 of RA 9344)
The Fundamental Principles of Restorative Justice are the following:
a. Justice requires that all must work to restore those who have been injured like the victims, the
community, and even the offenders;
b. Those most directly involved and affected by crime should have the opportunity to participate fully in
the response if they wish; and
c. The government is responsible for preserving a just public order and the community establishes peace.
Distinctions between Retributive Justice and Restorative Justice
RETRIBUTIVE JUSTICE RESTORATIVE JUSTICE
• What law was broken?; • What is the harm resulted from the crime;
• Who broke it? And • What needs to be done to repair the harm;
• How shall offenders be punished? and
• Who is responsible for repairing the
harm?
• considers a crime as an act against the • considers a crime as an act against the
State victim and the community
• the control of crimes lies to the • the control of crimes lies to the
criminal justice system community
• the community is represented by the • the community is the facilitator in the
State restorative process
• focuses on the past by determining the • focuses on the future to determine the
person to be blamed for the crime matters to be considered so that the
committed crime will not be repeated
• focuses on the offender’s past behavior • focuses on the consequences of
offender’s behavior
• emphasizes the adversarial • emphasizes dialogue and negotiations
relationship
• considers crime as an individual act • considers crime as both individual and
with individual responsibility social responsibility
• based on the principle of lex talliones • based on forgiveness and
reconciliation.
CRISES MANAGEMENT
It is the process by which an organization deals with a major event that threatens to harm
the organization or the general public.]
It deals with threats after they have occurred.
Crises Management is occasionally referred as incident management.
Crisis
It came from the Greek word “crisis” which means “separate”
It is a turning point in the progress of an affair
It is any event that is expected to lead to an unstable and dangerous situation affecting an individual,
group, community or society.
It refers to sudden unplanned events which causes major disturbances in the organization- any event
that can seriously harm the people, reputation or financial conditions of an organization.
Emergency
It is a sudden condition or state of affairs calling for immediate action.
It came from the Greek word “emergentia” which means “dipping or plunging”
CRISIS EMERGENCY

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Progressive Sequence of Events Sudden and/or Event(s) or
Unforeseen State of Affairs
Build Up of Instability Immediate Response
Growth of Tension Correction
Turning Point Mitigation
Decision Remedy
Change Recovery
Continuity Restoration
Disaster
It is a serious disruption of the functioning of a community or a society involving widespread human,
material, economic or environmental losses and impacts, which exceeds the ability of the affected
community or society to cope using its own resources. Disaster impacts may include loss of life, injury,
disease and other negative effects on human, physical, mental and social well-being, together with
damage to property, destruction of assets, loss of services, Social and economic disruption and
environmental degradation.
TYPES OF CRISIS/DISASTER
1. Natural Crisis/Disaster
It is also referred to as natural hazards are extreme, sudden events caused by environmental factors
such as storms, floods, droughts, fires, and heat-waves.
2. Man-made Crisis/Disaster
Extreme hazardous events that are caused by human beings.
Note: R.A. 10121 is known as the “Philippine Disaster Risk Reduction and Management Act of 2010"
National Disaster Risk Reduction Management Council (NDRRMC)
The National Disaster Risk Reduction and Management Council (NDRRMC) is the national disaster
focal point body responsible for coordinating preparedness, response, prevention and mitigation,
and rehabilitation and recovery.
Department Of Social Welfare and Development (DSWD)
The Department of Social Welfare and Development (DSWD), through the Disaster Response
Assistance and Management Bureau, is the lead agency for disaster response. It is responsible for
planning, coordinating, and leading immediate disaster relief efforts, as well as ongoing monitoring
Office of Civil Defense (OCD)
The Office of Civil Defense (OCD) is the executive arm and secretariat of the NDRRMC. The primary
role of the OCD is to administer the national civil defense and disaster risk reduction and
management programs. The OCD also provides guidance on strategic approaches and measures to
reduce vulnerabilities and risk
Disaster Management Structure in the Philippines

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The Disaster Risk Reduction Management Thematic Areas
CRITICAL INCIDENT MANAGEMENT AND INCIDENT COMMAND SYSTEM

Important Terminologies
Incident Command System (ICS)
It is a set of personnel, policies, procedures, facilities, and equipment, integrated into a common
organizational structure designed to improve emergency response operations of all types and
complexities;
Critical Incident
It is any incident or event whether human-induced or natural disaster including declaration or directives
that requires the implementation of special tasks by one or more government agencies with the direct
or indirect involvement of the PNP on the conduct of police interventions and operations;
Critical Incident Monitoring Action Team (CIMAT)
It serves as the secretariat of the Sub-Committee which monitors events, situations and developments
of various human-induced and natural disaster critical incidents. It shall be the primary monitoring,
coordination and communications center for the PNP during crisis or emergency;
Emergency Planning
It is a decision-making prior to an actual crisis or disaster including the consideration or resources
required to manage and resolve the event. The plan must also include the necessary steps during and
after the crisis is resolved
Advance Command Post (ACP)
It is a place where the incident commander and staff control and organize their resources and exercise
command
CEREX
It refers to Critical Emergency Response Exercises
Civil Disturbance
It is typically a symptom of, and a form of protest against, major socio-political problems; the severity
of the action coincides with public expression(s) of displeasure. Examples of civil disturbance include,
but are not limited to illegal parades, sit-ins, and other forms of obstructions, riots, sabotage, and
other forms of crime. It is intended to be a demonstration to the public and the government but can
escalate into general chaos;
Contingency Planning
It is a forward planning process in a state or uncertainty, in which scenarios and objectives are agreed,
managerial and technical actions defined, and potential response systems are put in place in order to
prevent or better respond to an emergency or critical situation.
Critical Mass Rally
It is the size and number of people conducting public assembly that cannot be normally suppressed by
Civil Disturbance Management (CDM) security forces that may escalate into bloody violence and general
chaos

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First Responder
It is any person or unit who arrive first at the place of incident and endeavours to render assistance to
the victim and to protect and secure the incident scene. Generally, in an incident, there are two types
of first responders: the first refers to those who are on the scene of the incident (anybody who is
coincidentally on the scene) and the second refers to the certified responders who are on standby for
such occurrence (as mandated);
Human-induced Critical Incident
It refers to acts of terrorism, destabilization/public disturbances, biological health hazards caused by
either terrorists or by major epidemic and pandemic and/or criminal activities that require prompt
implementation of police procedures or interventions to contain the incident and mitigate its impact as
well as to normalize the situation;
Incident Action Plan (IAP)
It ensures that everyone is working towards the achievement of the same goal for that specific operational
period. It provides a coherent means of communicating the overall incident objectives to all the members
of the organization. The IAP may be either verbal or written depending on the degree of complexity of the
incident;
Incident Commander (IC)
He is a person designated to provide the overall supervision of the incident. He manages the force and
resources necessary to address the crisis. The IC assumes the overall command once the CIMTG/DIMTG
is activated to ensure efficient and effective integration of resources and delivery of public services
National Crisis Management Committee (NCMC)
It is a governing body that takes decisive actions to resolve crisis or emergency. It is primarily concerned
with the formulation of crisis management policies and integration and orchestration of government and
public efforts towards the control of the crisis
The Natural Disaster Incident
In the event of natural disaster incidents, the PNP shall act as the first responder in the affected area in
order to maintain law and order and to provide area security and support to the responders from
DRRMCs.
Operational Control (OPCON)
The transferable command authority that may be exercised by a commander through which he can
organize and employ units or agencies augmented to his organization, direct these units or agencies in
accordance with their inherent mission and assigned task, designate objectives, and give authoritative
direction over all aspects of operations and joint/inter-agency training necessary to accomplish missions
assigned to the command. Operational control, however, does not, in itself, include authoritative
direction for logistics or matters of administration, discipline, internal organization and unit training.
Commanders exercising operational control of a unit or agency cannot assign separate employment of
components of OPCON units
PNP Critical Incident Management Committee (PNP CIMC)
The policy-making committee body that addresses human-induced and natural disaster at the national
level. It is primarily concerned with the formulation of crisis management procedures, integration, and
orchestration of concerned offices units towards the prevention and control of critical incidents. All
actions and decisions taken by the PNP CIMC shall be in adherence to the national policies;
Quick Reaction Forces/Teams (QRF/T)
These refer to offices/units capable of rapidly responding to developing situations, to assist lower units
in need of such or tasked to secure response teams operating in the affected area, provides security to
the movement of people, goods, and equipment to the affected population and responding PNP units and
other agencies
Red Team
It is a group of persons who are subject matter experts (SMEs) of various appropriate disciplinary
background who acts as the adversary's advocate and knowledgeably role-play the adversary, using a
controlled, realistic, interactive process during operations planning, training, and exercising. It is an
independent group that challenges the organization to improve its effectiveness.

-ZIG ZIGLAR

Site Task Group
It refers to the Police Regional Office (PRO) where the critical incident or planned event happened. The
PRO ensures appropriate deployment of force and resources.
Sub-TG Emergency Preparedness
It refers to the preparation and overall emergency preparedness and response, lead consequence
management efforts in the event of a terrorist attack, rallies and protest actions and for all disaster
scenarios in all engagement areas, including storm surges, power outage, disruption of services and
utilities, airport incidents and other emergencies and eventual implementation of contingency plans and
prevention, risk reduction, and consequence management of Chemical, Biological, Radiological, Nuclear
and Explosives (CBRNE) scenario in close coordination with the concerned agencies
Sub-TG Peace and Order
It refers to the group in charge of security operations to ensure law and order in the working and general
environment in all sites of operations and venue through sustained and extensive inter-agency anti-
criminality campaigns, traffic management, public order, internal security operations, air defense, and
other related campaigns to negate threats in the concerned area
Sub-TG Response Clusters
These refer to the inter-unit cooperation of different PNP offices/units and part of strategic action on
providing humanitarian assistance and disaster response services. These are organized groups of
offices/units that are designated to undertake coordination functions to provide resource support for
tactical response in the concerned/affected area;
Sub-TG Security
It refers to the group tasked to provide security to ensure the safety of responders and resources in all
vital installations, seat of government, commercial districts, city centers, route, billets and venues to
ensure continuity of public safety services.
Task Group Commander
He is the overall in charge of an office/unit who has the full authority for making decisions and providing
directions to manage an incident or planned event.
General Guidelines
• All PNP offices/units at the National, Regional, Districts of NCRPO, Provincial, City and Municipal level
in addressing critical incidents (human-induced or natural disaster incidents) in accordance with
existing protocols under Executive Order No. 320 - Peace and Order Councils (POC), Executive Order
No. 82 - National Crisis Management Committee (NCMC) and the Disaster Risk Reduction Management
Councils (DRRMC) under Republic Act 10121.
• All PROs, Districts, Police Provincial Offices/City Police Offices (PPOs/CPOs) and City Police
Stations/Municipal Police Stations (CPS/MPS) shall adopt the organizational structures/annexes and
shall formulate respective functions, tasks, duties, and responsibilities to be reflected in their respective
Implementing Plans (IMPLANs)
• The PNP Reactionary Standby Support Force (RSSF) of NHQ, PROs and PPOs/CPOs shall be activated
and ready for deployment on orders.
• Adjacent PROs/PPOs/CPOs/CPSs/MPSs not affected by critical incidents will be the secondary
responders including OPCON units when situation warrants.
• In the conduct of critical incident relief operations, security and safety of personnel must always be
paramount
• ACP of CIMTGs/DlMTGs shall be established as appropriate and necessary
• All tasked units shall operate or their existing logistical and financial allocation. NHQ shall provide
additional logistic and financial support on a case to case basis
• Level of response of all task groups shall be done as much as possible at the lowest level and only
elevated to the next level when resources (manpower and material) are not enough to manage the critical
incident
• Timely report on critical incident operations shall be observed with appropriate protocols/policies
• All PNP units/offices complementing the task groups shall train their personnel in accordance with
Standard Operating Procedures Number 2014-002, "Guidelines and Procedures in the Development of
Standard Training Package (STP) on Critical Incidents Management" using their available resources.
• All PROs shall collaborate with their respective OCD's on the conduct of trainings and among member
agencies, including ICS concept and shall be incorporated in the PNP Annual Training Action Plan

-ZIG ZIGLAR

• Personnel who shall compose the CIMTGs and DIMTGs must at least undergone ICS basic course or
knowledgeable in critical incident operations.
• All offices/units are required to conduct at least one table top exercise (TTX) and one simulation exercise
(SIMEX/CEREX) on a quarterly basis or as the need arises to evaluate the effectiveness of plans and
identify gaps and best practices for improvement
• When a higher level of CIMTG/DIMTG takes control of the situation, it is not necessary for the previously
organized Task Group to be changed; the former CIMTG!DIMTG shall remain and continue to support
the newly organized TG.
• During an occurrence of critical incident, it is imperative that the Sub-Committee Chairman of a
particular critical incident or his appropriate representative establishes physical presence at the local
CIMTG/DIMTG ACP, purposely not to influence or intervene with the decisions and operations of the
letter, but to see to it that the CIMC Sub-Committees' Intents are adhered to and all available resources
are properly appropriated and employed.
• When two or more different incidents occur, the concerned SC and their CIMAT shall be activated and
will act as co-Chairman.
• Upon activation of the National Civil Aviation Security Crisis Management Committee or Crisis
Committee of chartered government entities, the PNP CIMC and Sub-Committee on Terrorism and
CBRNE (SCTC) shall also be activated.
• The Task Group Commander is the overall in-charge and has the full authority for making decisions
and providing directions to manage an incident or planned event and supervise the security and
response operations.
• The designated Incident Commander may not recommend the elevation of DIMTG/CIMTG as stated
under the Escalation Protocols if he/she has the capabilities and has enough resources
• When the need to transfer or elevate the level of management arises, the Incident Commander and
Chairman, Sub-Committee must be prepared to relinquish command and control to avoid further loss
of lives and limbs and damage to properties.
• There shall be a dedicated Red Team at the NHQ, PRO, PPO, NCRPO Districts and National Support
Units (NSUs) to challenge, verify, and validate contingency plans at the Strategic, Operational and
Tactical levels of authority/command
• When two or more PROs/Districts/PPOs and multiple offices/units are involved, the Task Group
Commander shall provide necessary guidelines and management direction to enable offices/units with
different functional authority or responsibility to accomplish objectives and strategies to address the
critical incident.
• When the national or local CMC/DRRMC assumes responsibility on critical incident, the PNP shall
continue the Law and Order Operations as lead cluster in accordance with National Disaster Response
Plan
• Post Action Review shall be conducted by the respective commanders every after critical incident
• Only the Chief, PIO or the Task Group Commander is authorized to update the public if necessary to
avoid disinformation or inconsistencies of data that may result in disorganized and chaotic responses
during critical incidents.
• Tasked offices units shall ensure the safety and security of all responders/personnel
involved/dispatched in Critical Incident Response Operations
The following are considered as human-induced critical incidents
• Abduction involving prominent personalities such as national and local government officials, foreign
nationals (diplomats, ambassadors, consuls, attaches, foreign tourists), religious leaders from various
religious congregations, and other personalities whose involvement in incidents may result in
controversies
• Attacks on vital installations, communities, and prominent personalities.
• Jailbreaks
• Heinous crimes like assassination, ambush involving prominent personalities
• Robbery hold-up, armoured van robbery, and bank robbery perpetrated by syndicated groups;
• Election-Related Violent Incident (ERVI);
• Major Events (International and National);
• Terrorism;
• Conflagration Incidents;
• Major Road Accidents;

-ZIG ZIGLAR

• Mass Transport Accidents;
• Aircraft Hijackings;
• Sea Mishaps;
• Bombings
• Indiscriminate active shooting;
• Mass actions;
• Mass poisoning;
• Drone attack;
• Gas Leaks;
• Nuclear and Radiation Accidents;
• Chemical Disaster;
• Biological Disaster;
• Cyber-attacks;
• Industrial Accident
• Oil Spills
• Stamped
• Other similar human-induced critical incidents that may result in human casualties and/or mass
destruction of properties and environment
THE INCIDENT COMMAND SYSTEM (ICS)
Incident Commander (IC) the ICS Commander or Incident Commander
It is a single person who commands the incident response and is the final decision-making authority on
the ground. It is the Incident Commander's role to efficiently and effectively integrate the people and
resources to contain the current crisis. The command function of Incident Command may be conducted
in one or two general ways:
1. Single Incident Command - Shall be applied when incident occurs within a single jurisdiction
and there is no jurisdictional or functional agency overlap. Overall incident management rests on
the appropriate jurisdictional authority.
2. Unified Command - in some cases, where incident management crosses jurisdictional and /or
functional agency boundaries, a single IC may be designated as agreed upon; shall be applied
when a disaster or emergency affects several areas or jurisdictions or requires multi-agency
engagement. A Unified Command typically includes a command representative from primarily
involved agencies and one from each act as spokesman, though not designated as Incident
Commander. A Unified Command acts as single entity
Unified Commander (UC)
He is a person designated to command on larger incidents, usually when multiple agencies are
involved.
UC as an incident management option provides the necessary guidelines to enable agencies with
different legal, geographic, and functional authority or responsibility in every particular incident to
jointly provide management direction through a common set of incident objectives and strategies
and a single Incident Action Plan (IAP). Each participating agency maintains its authority,
responsibility, and accountability.
Command Staff (CS) - provides technical advice to the IC
and they are the following:
1. Safety Officer (SO) - monitors safety conditions and develops measures for assuring the safety
of all assigned personnel;
2. Public Information Officer (PIO) - serves as the conduit for information to internal and external
stakeholders, including other organizations directly seeking information on the incident or event;
3. Liaison Officer (LO) - serves as the primary contact for supporting agencies assisting at the
incident;
4. Negotiation Team (NT) - serves as the lead team in communicating/negotiating with the
suspects or perpetrators of the crisis incident. It will be included only when the critical incident
requires it (e.g. hostage taking).
General Staff (GS) - provides planning and operations direction and supervision, resources procurement and
allocation, and support services

-ZIG ZIGLAR

1. Operations Staff - tasked with directing actions to meet the incident objectives;
2. Planning Staff - tasked with the collection and display of incident information, primarily
consisting of the status of all resources and overall status of the incident
3. Budget and Logistics Staff - tasked with tracking incident-related costs, personnel records,
requisitions, and administrating procurement contracts required by Logistics; and
4. Administrative Staff - tasked with supervising all human resources and other administrative
services and support required by the incident
ORGANIZATIONAL STRUCTURE
• In compliance with Executive Order No. 320, as amended, the National Peace and Order Council (NPOC)
has constituted Crisis Management Committees (CMCs) at ell levels specifically to take decisive action
in emergency situations
PNP Critical Incident Management Committee (PNP CIMC)
The CMCs are primarily concerned with the formulation of crisis management procedures,
integration and orchestration of government, military/police, and public efforts towards the prevention
and control of crisis incidents. All actions and decisions taken by the CMC shall be within the policies
laid down by the corresponding POCs
In support to the mandates of CMC, the PNP NHQ shall organize its Critical Incident Management Committee
(CIMC) with five Sub-Committees namely:
1. Sub-Committee on Criminality.
2. Sub-Committee on Destabilization, Public Disturbance and Planned Events
3. Sub-Committee on Terrorism and CBRNE
4. Sub-Committee on Public Health Hazards
5. Sub-Committee on Natural Disaster
The 5Ps of Crisis Management
- Based on the new National Crisis Management Core Manual series of 2012, the National Crisis
Management Framework provides a comprehensive approach to understand the components of a
crisis or the "5Ps of Crisis Management: Predict, Prevent, Prepare, Perform and Post Action and
Assessment."
- Although the 5Ps are interrelated crucial components of effective crisis management, these
components do not happen in phases, whether sequential or consequential. Addressing complex or
multi-dimensional crises require activities under Predict, Prepare and Prevent to happen
simultaneously and in a continuous manner even while executing activities under Perform or
responding to an ongoing crisis or conducting Post-Action and Assessment activities.

-ZIG ZIGLAR

- The 5Ps are executed in three phases - Proactive Phase (Predict, Prevent, and Prepare), Reactive
Phase (Perform) and Post Conflict Phase (Post-Action and Assessment).
a. PROACTIVE PHASE - is designed to predict or prevent the probability of occurrence of crises at the
same time prepare to handle them when such occur.
1. Predict - attempts to remove uncertainty from the future. The Predict component is undertaken
through Strategic, Operational and Tactical Situation Awareness (SA) processes. Strategic SA is
producing foresight and conveying strategic warnings through Horizon Scanning or Strategic
Forecasting. It scans the environment, identifying weak signals, drivers, inhibitors, wildcards,
threats, hazards, risks, opportunities, and vulnerabilities, among others, develops foresight and
conveys strategic warnings. Operational and Tactical SA is producing detailed reports against a
specified threat, describing the operating environment where a threat or a crisis could emerge; the
threat or the crisis itself, its potential of becoming a crisis and current efforts and capabilities of
agencies/departments addressing the threat or crisis;
2. Prevent - a deliberate action aimed at avoiding future harm by addressing its causes. It is closely
related to mitigation, which accepts that a potentially harrnful incident cannot be prevented, but
harmful consequences arising from it can be minimized by precautionary measures.
3. Prepare - essential for effective response. It covers six essential activities: Plan, Organize, Train,
Equip, Exercise, and Evaluate and Improve. Simulation and tabletop exercises evaluate the
effectiveness of preparations, bring out flaws and weaknesses and enable corrections and remedies
to be undertaken, to heighten levels of readiness of systems, procedures, organization, equipment
and logistics, to better cope with actual crisis.
b. REACTIVE PHASE - is the institution of passive and active security measures, remedy or solution to
destabilizing factors or security flaws to such crisis, or emergency, vigilance and alertness to signs or
manifestations of developing crisis, or emergency and establishment of alert systems:
4. Perform - the actual implementation of contingency plans when a crisis occurs, despite the proactive
measures undertaken. Once a crisis occurs, priorities shift from building or enhancing capabilities
to employing resources to save lives, protect property and environment, and preserve the social,
economic, and political structure of the jurisdiction.
c. POST CONFLICT PHASE - is the situation when the proactive and reactive phases were all done, and
plans for post action and recovery are the focus and put into full implementation:
5. Post-Action and Assessment - a component which begins when the crisis has been addressed and
the situation is deemed clear. It is in this phase where the organization is returning to business as
usual. Post-Action activities seek ways to evaluate and improve prevention, preparation and the
actual execution. The essential activities may include, but are not limited to the following:
investigation, legal action, reorganization, handover responsibility, and assessment.
-END-

-ZIG ZIGLAR

Carmen, JV (Dispute Resolution)

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TARLAC STATE UNIVERSITY

COLLEGE OF CRIMINAL JUSTICE EDUCATION

Dispute Resolution and Crises/Incidents Management

DISPUTE RESOLUTION AND CRISES/INCIDENTS

DISPUTE RESOLUTION AND CRISES/INCIDENTS MANAGEMENT

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

Arbitration vs. Litigation

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

7. What is Early Neutral Evaluation?

11. What is Mediation-Arbitration?

Process Third Party Involvement Decision

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

27. When a Mediator be replaced?

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

Upon the request of a mediation party, an individual who is requested to serve as

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

ROLE OF PARTIES AND THEIR COUNSELS IN MEDIATION

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management

TARLAC STATE UNIVERSITY

IF YOU ARE WILLING TO LEARN, NO ONE CAN STOP YOU.”

Dispute Resolution and Crises/Incidents Management