PROCEDURE IN

MEDIATION AND
CONCILIATION
 FILING OF COMPLAINT

Written Complaint filed before the PB

upon payment of filing fee in the
amount as provided in the Ordinance
which in no case shall be more than
PhP20.00.

NOTE: Non-payment of filing fee maybe a ground for the dismissal of

the complaint
 DETERMINATION OF A LUPON CASE

AUTHORITY VENUE

SUBJECT
PARTIES
MATTER
 AUTHORITY OVER THE PARTIES

NATURAL PERSONS
Excluded: Juridical persons, i.e., corporation, partnership, cooperative

REAL PARTIES-IN-INTEREST
Excluded: Agents, Lawyers, Representatives

ACTUAL RESIDENTS OF THE SAME

CITY OR MUNICIPALITY EVEN IF DIFFERENT
BARANGAYS
 SUBJECT MATTER

The lupon shall have authority

over all cases, either, criminal or
civil, except those cases
enumerated in Sec. 408 of R.A.
7160 and those covered by
special laws.
 MATTERS EXCEPTED FROM THE LUPON’S
AUTHORITY: (Sec. 408, LGC)

1) Where one party is a public

officer or employee, and the
dispute relates to the
performance of his official
functions;
 MATTERS EXCEPTED FROM THE LUPON’S
AUTHORITY: (Sec. 408, LGC)

2) Offenses punishable by
imprisonment exceeding one
(1) year or a fine exceeding five
thousand pesos (PhP5,000.00);
SOME CRIMES/OFFENSES SUBJECT TO THE
LUPON’S AUTHORITY:
Unlawful Use Of Means Of Publication And
Unlawful Utterances (Art. 154);

Alarms And Scandals (Art. 155);

Using False Certificates (Art. 175);

Using Fictitious Names And Concealing True

Names (Art. 178);

Illegal Use Of Uniforms And Insignias (Art. 179);

SOME CRIMES/OFFENSES SUBJECT TO THE
LUPON’S AUTHORITY:
Physical Injuries Inflicted In A Tumultuous Affray
(Art. 252);

Giving Assistance To Consummated Suicide

(Art. 253);

Responsibility Of Participants In A Duel If Only Physical Injuries Are

Inflicted Or No Physical Injuries Have Been Inflicted (Art. 260);

Less Serious Physical Injuries (Art. 265);

Slight Physical Injuries And Maltreatment

(ART. 266);

Simple Imprudence (Art. 365)

SOME CRIMES/OFFENSES SUBJECT TO THE
LUPON’S AUTHORITY:
Unlawful Arrest (Art. 269);

Inducing A Minor To Abandon His/Her Home

(Art. 271);

Abandonment Of A Person In Danger And Abandonment

Of One’s Own Victim (Art. 275);

Abandoning A Minor ( A child under seven (7) years old)

(ART. 276);

Abandonment Of A Minor By Persons Entrusted With

His/Her Custody, Indifference Of Parents
(Art. 277);
SOME CRIMES/OFFENSES SUBJECT TO THE
LUPON’S AUTHORITY:
Qualified Trespass To Dwelling (Without The Use of
Violence And Intimidation (Art. 280);

Other Forms Of Trespass (Art. 281);

Grave Threats ( Art. 282, 2nd par.)

Light Threats (Art. 283);

Other Light Threats (Art. 285);

Grave Coercion (Art. 286);

Light Coercion (Art. 287);

SOME CRIMES/OFFENSES SUBJECT TO THE
LUPON’S AUTHORITY:
Other Similar Coercions (Compulsory Purchase Of
Merchandise And Payment Of Wages By Means Of
Tokens (Art. 288);

Formation, Maintenance And Prohibition Of

Combination of Capital Or Labor Through Violence Or
Threats (Art. 289);

Discovering Secrets Through Seizure And

Correspondence (Art. 290);

Revealing Secrets With Abuse of Authority

(Art. 291);
SOME CRIMES/OFFENSES SUBJECT TO THE
LUPON’S AUTHORITY:

Theft (If the value of the property stolen does not exceed (50.00)
(Art. 309);

Qualified Theft (If the amount does not exceed 500 (Art. 310);

Occupation Of Real Property Or Usurpation Of Real Rights In

Property (Art. 312);

Altering Boundaries Or Landmarks (Art. 313);

Swindling Or Estafa (If the amount does not exceed 200.00) (Art.
315);

Simple Slander by Deed (Art. 359)

SOME CRIMES/OFFENSES SUBJECT TO
THE LUPON’S AUTHORITY:

Other Forms Of Swindling (Art. 316);

Swindling A Minor (Art. 317);

Other Deceits (Art. 318);

Removal, Sale Or Pledge Of Mortgaged Property

(Art. 319);

Special Cases Of Malicious Mischief (if the value of the

damaged property does not exceed 1,000.00 Art. 328);
SOME CRIMES/OFFENSES SUBJECT TO THE
LUPON’S AUTHORITY:

Other Mischiefs (If the value of the damaged property

does not exceed 1,000.00) (Art. 329);

Simple Seduction (Art. 338);

Acts Of Lasciviousness With The Consent Of the

Offended Party (Art. 339);

Threatening To Publish And Offer To Prevent Such

Publication For Compensation (Art. 356);
SOME CRIMES/OFFENSES SUBJECT TO
THE LUPON’S AUTHORITY:
Prohibiting Publication Of Acts Referred To In The
Course of Official Proceedings (Art. 357);

Incriminating Innocent Persons (Art. 363);

Intriguing Against Honor (Art. 364);

Issuing Checks Without Sufficient Funds (BP 22);

Fencing Of Stolen Properties If The Property Involved Is

Not More Than 50.00) (PD 1612).
3) Offenses where there is no private offended
party;
Example: Violation of city/municipal
ordinances, i.e., jaywalking

4)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;
5) 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;

6) Such other classes of disputes which the

President may determine in the interest of
justice or upon the recommendation of the
Secretary of Justice.
OTHER CASES EXCEPTED FROM THE LUPON’S
AUTHORITY:

 ACTIONS FOR ANNULMENT OF COMPROMISE

AGREEMENT (Sanchez vs. Tupaz, 158 SCRA 459)

 LABOR DISPUTES (Montoya vs. Escayo, 171 SCRA 442)

 AGRARIAN DISPUTES (DOJ Opinion No. 68, s. 1991)

 VENUE

Determination of the venue (place

where the lupon case should be heard)
which shall be done after determination
of authority over the parties and the
subject matter.
 VENUE

It is the place or geographical division in which an

action or prosecution is brought for trial and which
is to furnish the panel of jurors (Black’s Law
Dictionary, Revised Fourth Ed., 1968, p. 1927). In
the barangay system of dispute settlement, the
“jurors” or more accurrately, the mediator/arbiter
is the Punong Barangay or the Pangkat ng
Tagapagkasundo, respectively.
 DIFFERENT VENUES
1. 2.
Barangay where both parties Baangay of the Respondent,
provided both parties reside in
Actually reside the same city/municipality
If several respondents, Complainant may
elect the venue

3. 4.
Barangay where real property Barangay where the
or a larger portion of which is workplace is situated
located

5.
Barangay where the
institution/school is situated
 GUIDELINES FOR RESPONDENT
OBJECTING TO VENUE-
 The respondent must immediately raise
his objection to venue orally or in writing
before the punong barangay issuing the
summons, instead of filing an answer (Sec.
5, Rule VI, Revised KP Rules)
The punong barangay should forthwith
desist from further proceeding with the
mediation of the dispute and refer the
complaint to the proper punong barangay.
 MEDIATION

After determination of authority and venue,

the Lupon Chairman shall, within the next
working day from receipt of the Complaint,
send:
SUMMONS – to Respondent (KP Form No. 9)

NOTICE – to Complainant (KP Form No. 8)

 CONTENTS OF THE SUMMONS

1) DIRECTIVE to Respondent to appear

before the PB for mediation on the date,
time and place which shall not be later
than five (5) days from the date of the
summons. (Rule III, Sec. (b)(1), IRR)

2) Copy of the complaint and other

documents attached to the summons.

KP Form No. 8 – SAMPLE OF NOTICE

KP Form No. 9 – SAMPLE OF SUMMONS
 SERVICE OF SUMMONS
1) PERSONAL –

a) by personally serving a copy to Respondent.

b) by leaving a copy to a responsible person in his
residence or, in his office if residence is unknown.
(Officer’s Return KP Form No. 9, p.2)

NOTE: If Respondent refuses to accept, the Server shall tender or leave

a copy of the Summons in his (respondent) presence.

2) REGISTERED MAIL –
 MEDIATION
POSSIBLE SITUATIONS THAT MAY
ARISE DURING THE DAY OF
MEDIATION:

1.Both parties appeared

2.Respondent failed to appear
3.Complainant failed to appear
4.Both parties failed to appear
5.Lupon Chairman failed to appear
 MEDIATION

BOTH PARTIES APPEARED-

1. Lupon Chairman must exhaust

all efforts to mediate and for
parties to come up with an
amicable settlement within fifteen
(15) days
 MEDIATION

2. Parties must personally appear in

the mediation.

3. Agents, representatives or lawyers

are not allowed to appear, except
to represent minors or
incompetents, to which they can be
represented by their legal
custodian.
 MEDIATION
MEDIATION SESSION:

1) Welcome and Introduction

2) Mediator’s Opening Statement
3) Complainant’s Opening Statement
4) Summary of Complainant’s Statement
5) Respondent’s Opening Statement
6) Summary of Respondent’s Statement
7) Agenda Setting
8) Exploration of Issues
9) Private Sessions
10) Joint Negotiation Session
11) Agreement
 MEDIATION

SOME TIPS ON WHAT TO DO DURING THE

MEDIATION OR CONCILIATION PROCESS:

 Start the conference with a prayer.

 Do not act like a judge. Promote real interest of disputants.
 Keep the problem separate from the personalities.
 Allow the parties to let off steam by having an initial
separate conference. Do not interrupt.
 Be creative in suggesting alternative solutions to the
problem.
 MEDIATION

SOME TIPS ON WHAT TO DO DURING

THE MEDIATION OR CONCILIATION
PROCESS:

 Learn the art of listening.

 Empathize with the parties.
 Explore possible options.
 Endeavor the best option for a win-win solution.
 NON-APPEARANCE OF RESPONDENT/S

REMEDIES:
1. Lupon Chairman to send Notice of Hearing to Respondent
(KP Form No. 19)

2. Constitute the Pangkat for conciliation proceedings (KP Form No. 10)

2. Issue Certificate to Bar Counterclaim in favor of Complainant

(KP Form No. 24)

4. File petition in court to cite Respondent for Indirect Contempt

NOTE: It is suggested that PB shall maximize the 15 day period prior to constitution of the
Pangkat.
 NON-APPEARANCE OF COMPLAINANT/S

REMEDIES:

1. Lupon Chairman to send Notice of Hearing to

Complainant (KP Form No. 19)

2. Dismiss the complaint and issue Certificate to Bar

Action in favor of Respondent (KP Form No. 23)

4. File petition in court to cite Respondent for

Indirect Contempt
 AMICABLE SETTLEMENT

IF PARTIES AGREED TO AN AMICABLE SETTLEMENT –

1) Lupon Secretary shall write down clearly the agreement of the parties in a
dialect known to them.

2) Let the parties sign the agreement

3) Lupon Chairman signs the agreement

4) Agreement shall be furnished the parties and the proper court.

5) Amicable settlement final after ten (10) days from signing and has the effect of
a final judgment of a court, UNLESS REPUDIATED.

(KP Form No. 16 Amicable Settlement Agreement)

 IMPASSE

1) Participants perceive that they are no longer

able to find effective solutions.
2) Impasse is a normal phase of any conflict
reoslution /negotation process.
3) Although often perceived as a threat or a
demand, impasse can be an opportunity for
new insights and collaborative solutions.
 IMPASSE

ROLE OF THE MEDIATOR DURING IMPASSE:

1) Help the parties accept this phase as a normal

aspect of the process.
2) Support the parties in honestly navigating the
“emotional pathway” through the impasse.
3) Seek insights from the group in terms of how they
wish to continue.
4) Engage in genuine personal reflection.
 ARBITRATION

IF PARTIES FAILED TO AGREE TO

AN AMICABLE SETTLEMENT –

At anytime within the 15 day period,

parties may agree to submit their case for
arbitration by the Lupon Chairman.
 ARBITRATION

1) Parties shall sign Agreement to Arbitrate . (KP Form No.

14)

2) Arbitration to commence after five (5) days

3) Lupon Chairman shall require the parties to submit their

evidences, either documentary, object or testimonial.

4) Lupon Chairman shall weigh the evidence presented by

parties and decide to come up with an arbitration award.
(Arbitration Award KP Form No. 15)

5) The arbitration award may only be nullified by the court.

 REPUDIATION OF AMICABLE SETTLEMENT
AGREEMENT/AGREEMENT TO ARBITRATE

1. GROUNDS:

a. Fraud
b. Violence
c. Intimidation

2. Within a period of:

a) ten (10) days from signing of Amicable Settlement ;

b) five (5) days from signing of agreement to Arbitrate. (KP Form No.
17 Repudiation)

3. Effect- Lupon Chairman shall now issue a Certificate to File Action

(KP Form No. 20- Certificate to file Action)

 CONCILIATION

CONSTITUTION OF THE PANGKAT:

a) Failure of the Respondent to

appear before the Lupon Chairman after
15 days; and

b) Failure of mediation/arbitration
before the Lupon Chairman after 15 days.
 CONCILIATION

HOW TO CONSTITUTE THE PANGKAT:

2) The Pangkat shall be composed of 3
Lupon members to be selected by the
parties from the list of Lupon members.
They shall elect from among themselves
who shall act as Chairman and Secretary.

3) In case parties cannot agree, members

shall be selected by draw lots
(KP Form No. 10- Notice for Constitution of the Pangkat)
 CONCILIATION

Pangkat shall issue the following for conciliation:

1) SUMMONS – to Respondent (KP Form No. 9-A)

2) NOTICE – to Complainant (KP Form No. 8-A)
3) SUBPOENA – to witnesses (KP Form No. 13)

The Pangkat shall follow procedure conducted by

the Lupon Chairman during mediation process
 CONCILIATION

1) The Pangkat is given 15 days to

conciliate.

2) Another 15 days extension maybe

extended

3) For extreme reasons, additional 15

day extension maybe allowed
 CONCILIATION

IF PARTIES AGREED TO AN AMICABLE SETTLEMENT –

(KP Form No. 16-A- Amicable Settlement Agreement)

1) Pangkat Secretary shall write down clearly the agreement of

the parties in a dialect known to them.

2) Let the parties sign the agreement

3) Pangkat Chairman signs the agreement

4) Agreement shall be furnished the parties and the proper

court.

5) Amicable settlement final after ten (10) days from signing

and has the effect of a final judgment of a court.
 NON-APPEARANCE OF RESPONDENT/S

REMEDIES:

1. Send Notice of Hearing) (KP Form No. 19-A)

2. Issue Certification to File Action in favor of

Complainant (KP Form No. 22-A)

3. Issue Certification to Bar Counterclaim in favor

of Complainant (KP Form No. 24-A)

4. File a petition in Court to cite Respondent for

Indirect Contempt
 NON-APPEARANCE OF COMPLAINANT/S

REMEDIES:
1. Send Notice of Hearing (KP Form No. 19-A)

2. Issue Certification to Bar Action in favor of

Respondent (KP Form No. 23-A)

3. File a petition in Court to cite Complainant for

Indirect Contempt
 CONCILIATION

IF PARTIES FAILED TO AGREE TO A SETTLEMENT -

a) At anytime within the prescribe period, parties may
agree to submit their case for arbitration by the Pangkat.
Such agreement maybe repudiated by either party within
five days from date of agreement. (KP Form No. 14-A- Agreement
for Arbitration)

b) If no agreement to arbitrate, Pangkat Chairman shall

issue Certificate to File Action

(KP Form No. 17-A- Repudiation)

(KP Form No. 20-A- Certification to File Action)
 EXECUTION OF AMICABLE SETTLEMENT/
ARBITRATION AWARD

Execution shall issue only upon the

expiration of ten (10) days of settlement or
receipt of award unless repudiation of the
settlement as been made or a petition to
nullify the award has been filed prior to the
expiration of the said period.

Note: Execution by the LC shall only be availed of in case

the party failed to comply with the agreement.
THANK YOU VERY MUCH