Republika ng Pilipinas KAGAWARAN NG KATARUNGAN Department of Justice Manila RULES ON MEDIATION IN THE NATIONAL PROSECUTION SERVICE Rule | - Title, Policy and Scope Section 1. Title. — These Rules shall be known as the "2019 Rules on Mediation in the National Prosecution Service’. Section 2. Declaration of Policy. — It is the policy of the State to: (2) Uphold the right of all persons to speedy disposition of their complaint before all judicial, quasi-judicial, and administrative bodies; (b) Promote, develop and expand the use of Alternative Dispute Resolution (ADR) such as mediation as a tool for speedy, impartial and durable resolution of disputes; and (c) Encourage the use and promotion of ADR to decongest the dockets of the Prosecution Service and the Courts. Section 3. Scope. - These Rules shall govern the mediation of the civil aspect of all criminal complaints for Simple Theft, Qualified Theft, Estafa and Criminal Negligence resulting in damage to property, all under the Revised Penal Code, as amended, and for violations of Batas Pambansa Bilang 22 (BP Big. 22), or the Bouncing Checks Law; Provided, that a complaint where the amount involved does not exceed Two Hundred Thousand Pesos (P200,000.00) shall be referred to mandatory mediation. These Rules shall not apply to a complaint: (2) Filed before the effectivity hereof, (b) Filed pursuant to the rules on inquest; or (©) Where there are no private offended parties. In a complaint where the amount involved exceeds Two Hundred Thousand Pesos (P200,000.00), the provisions on voluntary mediation shall apply. Rule II - Definition of Terms Section 1. Definition of Terms. - As used in these Rules, the following shall mean: (2) Agreement to Mediate - an agreement signed by the complainant and the respondent signifying their willingness to submit the civil aspect of the criminal complaint to voluntary mediation;(b) (o) (d) (e) () (9) (h) (i) @ (k) 0) Code of Conduct for Mediators - a standard model for ethics and acceptable behavior for the practice by Mediators certified by the Office for Alternative Dispute Resolution (OADR); Failed Mediation - a situation where: (i) no settlement is reached by the parties within the mediation period of thirty (30) calendar days; (ji) the Agreement to Mediate has been repudiated by any of the parties; or (iii) the Settlement Agreement has not been complied with by either or both party/ies; Initial Conference - the initial stage of the mandatory mediation proceedings where the parties appear in person before a mediator; Investigating Prosecutor — the public prosecutor assigned to conduct the preliminary investigation of a complaint; Mandatory Mediation - a process whereby a designated mediator facilitates the communication and negotiation between the parties and assists them in reaching a settlement agreement in a complaint falling under Section 3, Rule 1 of these Rules where the amount involved does not exceed Two Hundred Thousand Pesos (P200,000.00); Mediator — a trained individual, whether a public prosecutor or a private mediation practitioner, certified by the OADR as qualified to provide mediation under these Rules; Mediator's Report — a document submitted by the Mediator indicating the outcome of the mediation proceedings; Records Officer/Administrative Officer — a person in charge of the case records or dockets of the prosecution; Roster of Mediators - a list of OADR certified mediators from which a mediator is selected by the Head of Office to facilitate the resolution of the dispute; Settlement Agreement — the final document signed by the parties and by the Mediator detailing the terms of settlement; Voluntary Mediation — a process where parties agree to submit their case to mediation by an investigating prosecutor who facilitates their communication and negotiation, and assists them in reaching a settlement agreement in a complaint falling under Section 3, Rule | of these Rules where the amount involved exceeds Two Hundred Thousand Pesos (P200,000.00). Rule Ill - Mediation Secretariat Section 1. National Mediation Secretariat - A National Mediation Secretariat is hereby created, chaired by the Prosecutor General, co-chaired by the Executive Director of the OADR, and to be assisted by three (3) members designated by the Secretary of Justice. The National Mediation Secretariat shall:(a) (b) (c) (d) e) () (9) Oversee, direct, monitor and evaluate the National Prosecution Service (NPS) Mediation Program; Formulate and recommend policies to enhance the NPS Mediation Program; Recruit, and process applications for training of, mediators in the NPS Mediation Program; Maintain the roster of mediators for the National, Provincial and City Mediation Secretariat; Design and implement an advocacy program for the NPS Mediation Program at the national level; Design a system for the evaluation of the performance of mediators under the NPS Mediation Program; and Perform such other functions as may be necessary in the fulfillment of the foregoing Section 2. Provincial and City Mediation Secretariat —- The local Mediation Secretariat, established at the Provincial or City Prosecution Office, shall be headed by the Provincial or City Prosecutor, hereinafter referred to as the Head of Office, who shall be assisted by the Mediation Coordinator, Records/Administrative Officer, Mediation Clerk and Mediation Notice Server (Process Server). The local Mediation Secretariat shall: (a) (b) (c) (d) (e) () (9) (h) 0) @ Oversee and direct the facility for mediation within the prosecution office; Monitor the mediation operations from the identification of a complaint to be referred for mediation to the termination of the mediation proceedings; Maintain a local roster of mediators; Provide the logistical requirements of the mediation facility; Cause the receipt and safekeeping of Mediator’s Reports, Settlement Agreements and other documents related to or arising from mediation proceedings; Design and implement a local advocacy program for mediation; ‘Submit reports to the National Mediation Secretariat at the end of each month; Evaluate the performance of mediators included in the local roster; Submit to the National Mediation Secretariat recommendations for the improvement of the mediation program in the NPS; and Perform such other functions as may be necessary in the fulfillment of the foregoing.Section 3. Mediation Coordinator — The Head of Office shall designate a prosecutor who shall act as a Mediation Coordinator and who shall have the following duties and responsibilities: (a) (b) (©) (d) e) f) (9) (h) Help oversee and direct the facility for mediation within the prosecutor's office; Immediately refer, or cause the immediate referral of, a complaint covered by these Rules to the Head of Office for assignment to a mediator; issue, or cause the issuance of, notice to the parties for initial conference; and perform such other functions to facilitate the mediation of complaints covered by these Rules; Monitor the mediation operations from the identification of complaint to be referred for mediation to the termination of the mediation proceedings and ensure that mediation proceedings comply with the timelines set under these Rules; Ensure the availability of mediators; Provide the logistical requirements of the mediation facility; Receive and safekeep Mediator’s Reports, Settlement Agreements and other documents related to or arising from mediation proceedings; Assist in the evaluation of the performance of mediators; ‘Submit recommendations to the Head of Office for the improvement of the NPS Mediation Program; and Perform such other duties and responsibilities as may be necessary in the implementation of the NPS Mediation Program Rule IV - Mediation Process ‘A. Mandatory Mediation Section 1. Referral to Mediation. - Immediately upon receipt of a complaint covered by these Rules, the Records/Administrative Officer shall enter the complaint in the docket of the Prosecution Office and thereafter forward the same to the Mediation Coordinator who shall refer it immediately to the Head of Office for assignment to a mediator. Section 2. Issuance of Notice. - The Notices for the initial conference shall be issued to the parties by the Mediation Coordinator. Issuance of such notice to the complainant shall be contemporaneous with the filing of the complaint, while respondent shall be issued said notice within three (3) calendar days from filing of the complaint. The initial conference shall be held within ten (10) calendar days from the filing of the complaint.Section 3. Appointment of Mediator. - The Head of Office shall choose, from a local roster of duly accredited mediators, a mediator who shall assist the parties in settling the case amicably. B. Voluntary Mediation Section 4. Submission to Mediation During Preliminary Investigation. - Parties may exercise the option to submit a complaint to voluntary mediation not later than the submission by respondents of the counter-affidavit. In such case, the Investigating Prosecutor shall require the parties to sign an Agreement to Mediate; and inform the Mediation Coordinator of such fact. Section 5. Agreement to Mediate. - An Agreement to Mediate shall contain the parties’ conformity to: (a) _ Undergo mediation and abide by these Rules; (b) The suspension of the preliminary investigation upon referral of the complaint for mediation, indicating therein the period for the resolution of the complaint as provided in the Rules of Court, and in the rules and regulations issued by the Department of Justice (DOJ); and (©) Pay mediation fees, Section 6. Designated Mediator. - The investigating prosecutor shall act as the designated mediator who shall assist the parties in settling the case amicably. C. Common Provisions Section 7. Suspension of P: ary Investigation. The preliminary investigation shall be suspended upon the referral of a complaint to mandatory mediation or upon the signing by the parties of the Agreement to Mediate. It shall resume upon receipt by the investigating prosecutor, or by the new investigating prosecutor, as the case may be, of the complaint after a failed mediation. Section 8. Change of Mediator. A party, through a written application to the Head of Office, may request for a change of mediator on grounds of a mediator's apparent partiality, or failure to comply with the disclosure requirement stated in Section 5, Rule VI hereof, or upon such other serious grounds which may hinder the parties from reaching a reasonable and mutually acceptable Settlement Agreement. If the request is granted, the Head of Office shall assign another mediator from the local roster of mediators. The option to change mediator may only be exercised once by each party, The Head of Office may, motu proprio, order the change of a mediator on the ground of willful disobedience by the latter of his lawful and reasonable order. Section 9. Mediation Period. - The mediator shall have a non-extendible period of thirty (30) working days from the initial conference to conduct the mediation. In case of a change of mediator, the mediation period shall commence to run from the appointment of the last mediator.Section 10. Mediation Outcome. — (a) When the mediation results in an agreement to settle the civil aspect of the complaint, the Mediator shall prepare the Mediator’s Report and assist the parties in drafting and finalizing the terms and conditions of their Settlement Agreement. The parties shall likewise execute and submit an Affidavit of Desistance and/or a Motion to Withdraw the Complaint, whichever is applicable, to be deposited with the Mediation Coordinator for release only upon faithful and full compliance by the parties of the terms of the Settlement Agreement. Such affidavit and/or motion shall be swom to before: () Any prosecutor in the said prosecution office in case of mandatory mediation; or (ii) The designated mediator in case of voluntary mediation. The Mediator shall return the records of a successfully mediated complaint to the Records Officer within twenty-four (24) hours from the date of execution of the Settlement Agreement. The Records Officer shall in turn forward the case to the Head of Office who shall order the dismissal of the complaint. The provisional dismissal of a criminal complaint shall become permanent if no motion to revive the same has been filed by any of the parties after the lapse of fifteen (15) calendar days from the date of non-compliance or violation of any of the terms and conditions of the Settlement Agreement. The provisional dismissal of the complaint shall be without prejudice to a motion to revive the same. In case of failed mandatory mediation, a Mediator's Report shall be prepared and the Mediator shall officially return the complaint not later than the following working day to the Records/Administrative Officer who shall forthwith transmit the same to the Head of Office. In case of failed voluntary mediation, the Head of Office shall assign the complaint to a new investigating prosecutor who shall forthwith proceed with its preliminary investigation. Section 11. Grounds for Termination. — The mediation proceedings shall be terminated: (a) Upon the execution of a Settlement Agreement; or (b) In case of a failed mediation as defined under these Rules. Section 12. Settlement Agreement. - Every settlement agreement shall contain: (2) The terms and conditions agreed upon by the parties; (b) The parties’ agreement to the provisional dismissal of the complaint pending full compliance with the terms and conditions agreed upon by the parties; (©) Where applicable, conditions and terms for the revival of the complaint; and (d) A clause providing for the permanent dismissal of the complaint upon full compliance with the terms and conditions agreed upon by the parties.An Affidavit of Desistance, a Motion to Withdraw the Complaint, and a Waiver of the Right to Re-file Complaint, the release of which shall be conditioned upon full compliance by the parties with the terms and conditions of the Settlement Agreement, shall be executed by the complainant, swom to before the proper officer, and appended to the Settlement Agreement. Section 13. Deposit of Settlement Agreement. - The Settlement Agreement may be deposited by the parties jointly or by one of them, with prior notice to the other, with the Clerk of Court of the Regional Trial Court (a) where the principal place of business of any of the party is located; (b) if one of the party is an individual, where said individual resides; or in the National Capital Judicial Region. A copy of the Settlement Agreement shall likewise be deposited with the local Mediation Secretariat. Section 14. Enforcement of Settlement Agreement. — In case of breach or violation of the terms and conditions of the Settlement Agreement, the aggrieved party may seek the enforcement of the same pursuant to Rule 15 of the Special Rules on Alternative Dispute Resolution without prejudice to other remedies then available. Section 15. Dismissal of Complaint. - When the mediation proceedings result in the execution of a Settlement Agreement and the parties have fully complied with its terms and conditions, the complaint shall be dismissed by the Head of Office. Rule V - The Parties Section 1. Appearance of Parties. — The parties shall personally appear during the mediation proceedings. Representatives of juridical persons, such as partnerships and corporations, must be fully authorized to enter into mediation and sign agreements as shown by the applicable partners’ resolution, board resolution or secretary's certificate. To empower the parties in crafting their own solution to their dispute, lawyers shall only assist their clients before and after the mediation process. Section 2. Role of the parties. - The parties in mediation shall: (a) Abide by the mediation rules; (b) Talk honestly about the issues in the case; (c) _Listen to the other party and to the Mediator, (d) Be courteous and refrain from using offensive language; (e) Propose the solution to the issues in the case; and (f) Observe the terms and conditions of the Agreement to Mediate.Rule Vi - The Mediator Section 1. Persons Authorized to Mediate. - The following may conduct mediation after proper training on mediation and certification by the OADR: (a) (b) Section 2. All prosecutors of the DOJ, except: (i) the Prosecutor General; (i) Regional, Provincial and City Prosecutors; and (ii) those designated as such in an acting capacity or as officers-in-charge, and Private mediation practitioners. Training. - The prosecutors of the DOJ and private mediation practitioners shall undergo training to enhance their skills in mediation. Private mediation practitioners may only be authorized by the Secretary of Justice to mediate complaints covered by the NPS Mediation Program if they have undergone mediation training by a reputable mediation training provider as certified by the OADR. The training requirements shall consist of at least forty (40) hours of classroom training and forty (40) hours of internship. Section 3. Role of Mediators. — The Mediator shall: (a) (b) (©) (d) (e) (9) Explain the mediation process to the parties, including the following: (i) tules on mediation; (ii) role of the mediator and the parties; (iii) confidentiality of the mediation proceedings; (iv) _ importance of impartiality of the mediator, (v) effect of mediation on prescription of the offense and the enforcement and other remedies available to the parties; Treat the parties with fairness and impartiality; Encourage the parties to talk freely and openly, listen while they speak about matters related to the issues in the case to determine their respective interests, and develop options to resolve the dispute; Give each party equal opportunity to express their concerns; Facilitate the communication and negotiation between the parties toward a mutually acceptable solution; Hold separate conferences with each party should it be necessary for a party to speak, in the absence of the other, to determine the parties’ real and underlying interests, and to develop more options for the parties to reach settlement; Assist the parties in drawing up and finalizing their Settlement Agreement; and(h) Abide by and enforce the terms of the Agreement to Mediate, of Conduct for Mediators, these Rules, and other administrative issuances of the Secretary of Justice, the Prosecutor General or their duly authorized representatives. Section 4. Accountability of Mediators. - Complaints against mediators for violation of these rules and the Code of Conduct for Mediators may be filed before the Office of the Prosecutor General. A private mediation practitioner shall have the same civil liability for the acts done in the performance of their duties as that of public officers as provided in Section 38 (1), Chapter 9, Book | of Administrative Code of 1987. Section 5. Mediator’s Disclosure and/or Conflict of Interest. - Before conducting mediation, the mediator shall disclose to the parties any known facts that a reasonable individual would consider likely to affect his impartiality as a mediator, including a financial or personal interest in the outcome of mediation, and any existing or past relationship with any of the parties. If the mediator learns any such fact only in the course of a mediation proceedings, he/she shall disclose it to the parties as soon as practicable. Rule Vil - Confidentiality Section 1. Confidentiality of Proceedings. - To encourage the spontaneity conducive to effective communication which enhances the possibility of successful mediation efforts, the mediation proceedings and all its incidents shall be kept strictly confidential. No transcript or formal record or any audio-visual recording shall be made of the proceedings. The mediator, nevertheless, may take down personal notes which shall not form part of the records of the case and which shall, upon the termination of the proceedings, be immediately disposed of. Section 2. Confidentiality Issues to be Discussed. - The mediator shall discuss issues of confidentiality with the parties during the mediation proceedings, particularly its scope and extent with reference to any private caucus that the mediator may hold with a party. Section 3. Privilege of Confidentiality. — Information obtained through mediation proceedings shall be subject to the following principles and guidelines: (a) Information obtained through mediation shall be privileged and confidential; (b) A party or a mediator may refuse to disclose and may prohibit any other person from disclosing confidential information obtained during the mediation; (©) Confidential information shall not be subject to discovery and shall be inadmissible in any proceeding, whether judicial or quasi-judicial. However, evidence or information that is otherwise admissible or subject to discovery does not become inadmissible or protected from discovery solely by reason of its use in mediation;(4) In any proceeding, the following persons involved or previously involved in mediation may not be compelled to disclose confidential information obtained during the mediation: (i) The parties to the dispute; and (i) The Mediator, (e) A mediator cannot testify on confidential information gathered in mediation. Section 4. Exceptions to the Privilege of Confidentiality. — There is no privilege against disclosure under Section 3 of this Rule if the mediation communication information is: (a) _ In an agreement evidenced by a record authenticated by all parties to the agreement; (b) Available to the public; (c) A threat or statement of a plan to inflict bodily injury or to commit a crime of violence; (4) Intentionally used to plan a crime, attempt to commit, or commit a crime, or conceal an ongoing crime or criminal activity; () Sought or offered to prove or disprove a claim or complaint of professional misconduct or malpractice filed against a mediator in a proceeding; or () Sought or offered to prove or disprove a claim or complaint of professional misconduct or malpractice filed against a party, non-party Participant, or representative of a party based on conduct occurring during mediation. Section 5. Waiver of Privilege. — A privilege arising from the confidentiality of information may only be waived in writing and after the party waiving the said right is fully appraised of the concept and consequences of his waiver and that he/she fully understood the effects thereof. Section 6. Prohibition; Exceptions. — A Mediator may not make a report, assessment, evaluation, recommendation, finding, or other communication regarding a mediation, except: (a) To state that the mediation occurred and that a settlement was reached or it has failed; and (b) As permitted to be disclosed under Section 4 hereof, Rule Vill — Mediation Fees, Compensation, Awards and Funding Section 1. Mediation Fees. - Reasonable mediation fees as determined by the OADR shall be imposed in voluntary mediation proceedings. 10Section 2. Compensation. - The mediators and members of the Mediation Secretariat shall receive due compensation as may be allowed by law, subject to the availability of funds, and to the usual accounting and auditing rules and regulations. Section 3. Awards. - The Mediation Secretariat in the national level shall conduct an annual performance evaluation in each prosecution office. The prosecution office that obtains the highest success in mediation shall receive recognition from the Secretary of Justice. Section 4. Funding. —- The DOJ shall include in its annual appropriation the funding necessary to implement these rules. It may accept donations, grants and other assistance from local and foreign sources. Rule IX - Construction, Separability and Effectivity Section 1. Construction. - These Rules shall be liberally construed in order to promote the objective of assisting disputants obtain a just, speedy, amicable and durable settlement of disputes. Section 2. Repealing Clause. - All rules, circulars, and other issuances inconsistent herewith are hereby repealed. Section 3. Separability. — If, for any reason, any section or provision of these Rules is declared unconstitutional or invalid by the Supreme Court, the other sections or provisions hereof not affected by such declaration shall remain in full force and effect Section 4. Effectivity. - These Rules shall take effect after fifteen (15) calendar days following its publication in at least two (2) national newspapers of general circulation. Approved: wen MENARDOY. GUEVARRA Secretary Department of lustice (mM a