CRI 322 Maam Aya-Ay

UNIVERSITY OF MINDANAO
Tagum College
Department of Criminal Justice Education

Criminology Program
Physically Distanced but Academically Engaged
Self-Instructional Manual (SIM) for Self-Directed

Learning (SDL)
Course/Subject: CRI 322 DISPUTE RESOLUTION AND

CRISIS/INCIDENTS MANAGEMENT
Name of Teacher: Khrysha Mae B. Lacroa, RCRIM
THIS SIM/SDL MANUAL IS A DRAFT VERSION ONLY; NOT

FOR REPRODUCTION AND DISTRIBUTION OUTSIDE OF
ITS INTENDED USE. THIS IS INTENDED ONLY FOR THE
USE OF THE STUDENTS WHO ARE OFFICIALLY
ENROLLED IN THE COURSE/SUBJECT.
EXPECT REVISIONS OF THE MANUAL.
DEPARTMENT OF CRIMINAL JUSTICE EDUCATION
Mabini Street, Tagum City
Davao del Norte
Telefax: (084)655-9591 Local 120
Table of Contents
page
Part 1. Course Outline and Policies ...................................................... 1

Part 2. Instruction Delivery
CC’s Voice ............................................................................…….. 4
Course Outcomes .......................................................................... 4
Big Picture A: Unit Learning Outcomes ....................................... 4
Big Picture in Focus: ULO a….…………………………………………. 5
Metalanguage .......................................................................... 5
Essential Knowledge ............................................................... 5
Self-Help .................................................................................... 10
Let’s Check .................................................................................... 11
Let’s Analyze ......................................................................... 12
In a Nutshell .................................................................................... 13
Q&A List .................................................................................... 13
Keywords Index ......................................................................... 14
Big Picture in Focus: ULO b………………………………………… 14
Metalanguage .......................................................................... 14
Self-Help .................................................................................... 17
Let’s Check .................................................................................... 24
Let’s Analyze ......................................................................... 25
In a Nutshell .................................................................................... 26
Q&A List .................................................................................... 26
Keywords Index ......................................................................... 27
Big Picture B: Unit Learning Outcomes ............................................. 27

Big Picture in Focus:ULOa ……………………………………………… 27
Metalanguage .......................................................................... 27
Self-Help .................................................................................... 46
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DEPARTMENT OF CRIMINAL JUSTICE EDUCATION
Davao del Norte
Telefax: (084)655-9591 Local 120
Let’s Check .................................................................................... 46

Let’s Analyze ......................................................................... 47
In a Nutshell .................................................................................... 48
Q&A List .................................................................................... 49
Keywords Index ......................................................................... 49
Big Picture C: Unit Learning Outcomes ......................................... 50

Big Picture in Focus: ULO a ………………………………………… 50
Metalanguage .......................................................................... 50
Self-Help .................................................................................... 62
Let’s Check .................................................................................... 62
Let’s Analyze ......................................................................... 63
In a Nutshell .................................................................................... 64
Q&A List .................................................................................... 64
Keywords Index ......................................................................... 65
Big Picture D: Unit Learning Outcomes ......................................... 65

Big Picture in Focus: ULO a …………………………………………… 65
Metalanguage .......................................................................... 65
Self-Help .................................................................................... 70
Let’s Check .................................................................................... 70
Let’s Analyze ......................................................................... 71
In a Nutshell .................................................................................... 72
Q&A List .................................................................................... 72
Keywords Index ......................................................................... 73
Part 3. Course Schedule ......................................................................... 77

Online Code of Conduct .............................................................. 74
Monitoring of OBD and DED............................................................ 75
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DEPARTMENT OF BUSINESS ADMINISTRATION EDUCATION
Bachelor of Science in Tourism Management Program
Davao del Norte
Telefax: (084)655-9591 Local 116
Course Outline: CRI 322 – DISPUTE RESOLUTION AND

CRISIS/INCIDENTS MANAGEMENT
Course Coordinator: KHRYSHA MAE B. LACROA

Email: khrykhry14@gmail.com
Student Consultation: By appointment
Mobile: 0930-258-8891
Phone: (084) 2167996
EffectivityDate: January 2021
Mode of Delivery: Online Blended Delivery
Time Frame: 54 Hours
StudentWorkload: Expected Self-Directed Learning
Requisites: CDI 1
Credit: 3 units
Attendance Requirements: A minimum of 95% attendance is required
at all scheduled sessions.
Course Outline Policy
Areas of Concern Details

Contact and Non-contact Hours This 3-unit course self-instructional manual is
designed for online blended delivery mode of
instructional delivery. The expected number of hours
will be 54 including the face to face or virtual sessions.
The face to face sessions shall include the summative
assessment tasks (exams) since this course is crucial
in the licensure examination for criminology.
Assessment Task Submission Submission of assessment tasks shall be on 3rd, 5th,

7th and 9th week of the term. The assessment paper
shall be attached with a cover page indicating the title
of the assessment task (if the task is performance),
the name of the course coordinator, date of
submission and name of the student. The document
should be emailed to the course coordinator. It is also
expected that you already paid your tuition and other
fees before the submission of the assessment task.
If the assessment task is done in real time through the

features in the QUIPPER, the schedule shall be
arranged ahead of time by the course coordinator.
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Since this course is included in the licensure

examination for criminology, you will be required to
take the Multiple Choice Question exam inside the
University. This should be scheduled ahead of time by
your course coordinator.
This is non-negotiable for all licensure-based
programs.
Turnitin Submission (if To ensure honesty and authenticity, all assessment
necessary) tasks are required to be submitted through Turnitin
with a maximum similarity index of 30% allowed. This
means that if your paper goes beyond 30%, the
students will either opt to redo her/his paper or explain
in writing addressed to the course coordinator the
reasons for the similarity. In addition, if the paper has
reached more than 30% similarity index, the student
may be called for a disciplinary action in accordance
with the University’s OPM on Intellectual and
Academic Honesty.
Please note that academic dishonesty such as

cheating and commissioning other students or people
to complete the task for you have severe punishments
(reprimand, warning, expulsion).
Penalties for Late The score for an assessment item submitted after the
Assignments/Assessments designated time on the due date, without an approved
extension of time, will be reduced by 5% of the
possible maximum score for that assessment item for
each day or part day that the assessment item is late.
However, if the late submission of assessment paper

has a valid reason, a letter of explanation should be
submitted and approved by the course coordinator. If
necessary, you will also be required to present/attach
evidences.
Return of Assignments/ Assessment tasks will be returned to you two (2)
Assessments weeks after the submission. This will be returned by
email or via QUIPPER portal.
For group assessment tasks, the course coordinator

will require some or few of the students for online or
virtual sessions to ask a clarified question to validate
the originality of the assessment task submitted and to
ensure that all the group members are involved.
Assignment Resubmission You should request in writing addressed to the course
coordinator his/her intention to resubmit an
assessment task. The resubmission is premised on
the student’s failure to comply with the similarity index
and other reasonable grounds such as academic
literacy
standards or other reasonable circumstances e.g.

illness, accidents financial constraints.
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Re-marking of Assessment Papers You should request in writing addressed to the

and Appeal program coordinator your intention to appeal or
contest the score given to an assessment task. The
letter should explicitly explain the reasons/points to
contest the grade. The program coordinator shall
communicate with the students on the approval and
disapproval of the request.
If disapproved by the course coordinator, you can

elevate your case to the program head or the dean
with the original letter of request. The final decision
will come from the dean of the college.
Grading System Your grades will be based on the following:
Examinations
First to Third 30%
Final 30% = 60%
Class Participations
Quizzes 10%
Assignments 5%
Research/Requirements 15%
Oral Recitation 10% = 40%
Total = 100%
Submission of the final grades shall follow the

usual University system and procedures.
Preferred Referencing Style Depends on the discipline; if uncertain or inadequate,

use the general practice of the APA 7 th Edition.
Student Communication You are required to create an email account which is a

requirement to access the QUIPPER portal. Then, the
course coordinator shall enroll the students to have
access to the materials and resources of the course.
All communication formats: chat, submission of
assessment tasks, requests etc. shall be through the
portal and other university recognized platforms.
You can also meet the course coordinator in person

through the scheduled face to face sessions to raise
your issues and concerns.
For students who have not created their student email,

please contact the course coordinator or program
head.
Contact Details of the Dean Gina Fe G. Israel, EdD
Email:
deansofficetagum@umindanao.edu.ph
Phone: 0915 832 5092 / 0909 994 2314
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Contact Details of the Program Jun Mark A. Asis, MSCrim

Head Email: makoyasis@gmail.com
Phone: 0938 493 1993
Students with Special Needs Students with special needs shall communicate with
the course coordinator about the nature of his or her
special needs. Depending on the nature of the need,
the course coordinator with the approval of the
program coordinator may provide alternative
assessment tasks or extension of the deadline of
submission of assessment tasks. However, the
alternative assessment tasks should still be in the
service of achieving the desired course learning
outcomes.
Online Tutorial Registration You are required to enroll in a specific tutorial time for
this course via the www.cte.edu.ph portal. Please
note that there is a deadline for enrollment to the
tutorial.
Help Desk Contact Globe: 0917 466 709
Smart: 09308920005
Library Contact lictagum@umindanao.edu.ph
0927 395 1639
Course Information– see/download course syllabus in the QUIPPER LMS
CC’s Voice: Hello dear students! Welcome to this course CRI 322: DISPUTE
RESOLUTION AND CRISIS/INCIDENTS MANAGEMENT. By now, I
am confident that you really wanted to learn and that you have
visualized yourself already being in front of the classroom teaching.
CO Before you became a professional, you have to demonstrate technical and

professional expertise in the practice of criminology which is the ultimate course
outcome (CO) of this subject. When we talked about this course as a component of
professionalism, this will help you elucidate the concepts, nature and procedures
governing dispute resolution and apply the implementing rules and regulations
governing the Alternative Dispute Resolution and Amicable Settlement and
comprehend the concept of Crisis Management and identify its phases and
procedures and apply it on planning and preparation, as well as negotiation
procedures in hostage situation. Also, discuss the principles and management
characteristics of Incident Command System.
Let us begin!
Big Picture A
Week 1-3: Unit Learning Outcomes (ULO): At the end of the unit, you are
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expected to
1. Comprehend the concepts of alternative dispute resolution.

2. Describe the differences between arbitration, conciliation and repudiation.
3. Understand the different conflict resolution strategies.
Big Picture in Focus: ULO a. Have a deep knowledge in its broader

aspect about the Dispute Resolution System, its Concept of Conflict,Conflict
Theories, Conflict Resolution Strategy, the provisions of Alternative Dispute
Resolution, and the Office of the ADR.
Metalanguage
The following are terms to be remembered as we go through in studying this unit.
Please refer to these definitions as supplement in case you will encounter difficulty in
understanding the basic concepts of this unit.
1. Alternative Dispute Resolution — a means to achieve speedy and impartial justice

to declog court dockets.
2. 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.
3. 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 in the ADR Act, in which a
neutral third person participates to assist in the resolution of issues, including
arbitration, mediation, conciliation, early neutral evaluation, mini-trial or any
combination thereof.
Essential Knowledge
The students will be able to understand the purpose and goals of alternative dispute
resolution, applying the procedures therein and identify the factors contributory to the
success of its implementation.
THE CONCEPT OF CONFLICT
A conflict is a struggle between people. The struggle may be physical, or between

conflicting ideas. The word comes from Latin “conflingere” which means to come together
for a battle. Conflicts can either be within one person, or they can involve several people or
groups.
Conflict is a natural disagreement arising between two or more people. 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.
Conflict Theories
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Conflict theories are perspectives in sociology and social psychology that

emphasize a materialist interpretation of history, dialectical method of analysis, a
critical stance toward existing social arrangements, and political program of
revolution or, at least, reform. Conflict theories draw attention to power differentials, such
as class conflict, and generally contrast historically dominant ideologies. It is therefore a
macro-level analysis of society.
Karl Marx is the father of social conflict theory, which is a component of the four
major paradigms of sociology. Certain conflict theories set out to highlight the ideological
aspects inherent in traditional thought. While many of these perspectives hold parallels,
conflict theory does not refer to a unified school of thought, and should not be confused with,
for instance, peace and conflict studies, or any other specific theory of social conflict.
TYPES
Conflict theory is most commonly associated with Marxism, but as a reaction to
functionalism and the positivist method, it may also be associated with q number of
other perspectives, including:
1. Critical theory
2. Feminist theory: An approach that recognizes women’s political, social, and
economic equality to men.
3. Postmodern theory: An approach that is critical of modernism, with a mistrust of
grand theories and ideologies.
4. Post-structural theory Postcolonial theory
5. Queer theory: A growing body of research findings that challenges the heterosexual
bias in Western society.
6. World systems theory
7. Race-Conflict Approach: A point of view that focuses on inequality and conflict
between people of different racial and ethnic categories.
MODERN APPROACH ON CONFLICT
Charles Wright Mills (1916-1962) an American sociologist, and a professor of

sociology at Columbia University from 1946 until his death in 1962. Mills was published
widely in popular and intellectual journals, and is remembered for several books such as The
Power Elite, which introduced that term and describes the relationships and class alliances
among the US political, military, and economic elites; White Collar: The American Middle
Classes, on the American middle class; and The Sociological Imagination, which presents a
model of analysis for the interdependence of subjective experiences within a person’s
biography, the general social structure, and historical development.
Societies are defined by inequality that produces conflict, rather than which produces
order and consensus. This conflict based on inequality can only be overcome through a
fundamental transformation of the existing relations in the society and is productive of new
social relations.
The disadvantaged have structural interests that run counter to the status quo, which,
once they are assumed, will lead to social change. Thus, they are viewed as agents of
change rather than objects one should feel sympathy for.
Human potential (e.g., capacity for creativity) is suppressed by conditions of

exploitation and oppression, which are necessary in any society with an unequal division of
labor. These and other qualities do not necessarily have to be stunted due to the
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requirements of the so-called “civilizing process,” or “functional necessity”: creativity is

actually an engine for economic development and change.
Concept of Conflict Resolution
Conflict resolution is conceptualized as the methods and processes involved in

facilitating the peaceful ending of conflict and retribution. The term conflict resolution may
also be used interchangeably with dispute resolution, where arbitration and litigation
processes are critically involved. The term conflict resolution may also be used
interchangeably with dispute resolution, where arbitration and litigation processes are
critically involved. The concept of conflict resolution can be thought to encompass the use of
nonviolent resistance measures by conflicted parties in an attempt to promote effective
resolution.
Committed group members attempt to resolve group conflicts by actively

communicating information about their conflicting motives or ideologies to the rest of group
(e.g., intentions; reasons for holding certain beliefs) and by engaging in collective
negotiation.
• Dimensions of resolution typically parallel the dimensions of conflict in the
way the conflict is processed.
• Cognitive resolution is the way disputants understand and view the conflict,
with beliefs, perspectives, understandings and attitudes,
• Emotional resolution is in the way disputants feel about a conflict, the
emotional energy.
• Behavioral resolution is reflective of how the disputants act, their behavior.
Ultimately a wide range of methods and procedures for addressing conflict exist,
including negotiation, mediation, mediation-arbitration, diplomacy, and creative
peacebuilding.
Kenneth Thomas and Ralph Kilmann developed five conflict resolution strategies that
people use to handle conflict, including avoiding, defeating, compromising, accommodating,
and collaborating.
This assumes that people choose how cooperative and how assertive to be in a conflict. It
suggests that everyone has preferred ways of responding to conflict, but most of us use all
methods under various circumstances.
CONFLICT RESOLUTION STRATEGIES
1. Conflict Resolution Strategy #1: Avoiding

➢ 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 aren’t really contributing anything of value to the conversation
and may be withholding worthwhile ideas. When conflict is avoided, nothing is
resolved.
2. Conflict Resolution Strategy #2: Competing

➢ Competing is used by people who go into a conflict planning to win. They’re
assertive and not cooperative.
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This method is characterized by the assumption that one side wins and everyone else loses.
It doesn’t allow room for diverse perspectives into a well-informed total picture. Competing
might work in sports or war, but it’s rarely a good strategy for group problem solving.
3. Conflict Resolution Strategy #3: Accommodating

➢ Accommodating is a strategy where one party gives in to the wishes or demands
of another. They’re 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’s 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.
4. Conflict Resolution Strategy #4: Collaborating

➢ Collaborating is the method used when people are both assertive and
cooperative. A group may learn to allow each participant to make a contribution
with the possibility of co-creating a shared solution that everyone can support.
➢ A great way to collaborate and overcome conflict is to reach out and touch them.
5. Conflict Resolution Strategy #5: Compromising

➢ Another strategy is compromising, where participants are partially assertive and
cooperative. The concept 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 final
outcome.
ALTERNATIVE DISPUTE RESOLUTION SYSTEM IN THE PHILIPPINES (Republic Act

No. 9285)
Policy of the State

The following statements provide the Policy of the State as reference for the sustenance
of social justice and promotion of peace while making it at the early stage of resolution.
• To promote party autonomy in the resolution of disputes or the freedom of the parties
to make their own arrangements to resolve their disputes;
• To encourage and actively promote the use of Alternative Dispute Resolution (“ADR”)
as an important means to achieve speedy and impartial justice and to declog court
dockets;
• To provide means for the use of ADR as an efficient tool and an alternative
procedure for the resolution of appropriate cases; an
• To enlist active private sector participation in the settlement of disputes through

ADR.
Terms to Ponder:
• Alternative Dispute Resolution — a means to achieve speedy and impartial justice
to declog court dockets.
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• 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.
• 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 in the ADR Act, in which a
neutral third person participates to assist in the resolution of issues, including
arbitration, mediation, conciliation, early neutral evaluation, mini-trial or any
combination thereof.
• 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.
• Arbitration Agreement means an 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.
• Authenticate means to sign, execute, adopt a symbol or encrypt a record in whole or
in part, intended to identify the authenticating party and to adopt, accept or establish
the authenticity of a record or term.
• Award means any partial or final decision by an arbitrator in resolving the issue or
controversy.
• Confidential Information means any information, relative to the subject of mediation
or arbitration, expressly intended by the source not to be disclosed, or obtained
under circumstances that would create a 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.
• 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.
• Court means Regional Trial Court except insofar as otherwise defined under the
Model Law.
• 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.
• Model Law means the Model Law on International Commercial Arbitration adopted
by the United Nations Commission on International Trade Law on 21 June 1985.
• Proceedings means a judicial, administrative or other adjudicative process, including
related prehearing or post hearing motions, conferences and discovery.
• Record means information written on a tangible medium or stored in an electronic or
other similar medium, retrievable in a perceivable form.
• Roster means a list of persons qualified to provide ADR services as neutrals or to
serve as arbitrators.
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• Special ADR Rules means the Special Rules of Court on Alternative Dispute
Resolution issued by the Supreme Court on September 1, 2009.
Exception to the Application of the ADR Act

The provisions of the ADR Act shall not apply to the resolution or settlement of the
following:
✓ labor disputes covered by Presidential Decree No. 442, otherwise known as
the “Labor Code of the Philippines, as amended”, and its Implementing Rules
and Regulations;
✓ the civil status of persons;
✓ the validity of marriage;
✓ any ground for legal separation;
✓ the jurisdiction of courts;
✓ future legitime;
✓ criminal liability;
✓ those disputes which by law cannot be compromised; and
✓ disputes referred to court-annexed mediation.
Liability of ADR Providers/Practitioners

➢ The ADR providers/practitioners shall have the same civil liability for acts done in
the performance of their official duties as that of public officers, upon a clear
showing of bad faith, malice or gross negligence.
What is International Commercial Arbitration?

• Arbitration is any arbitration whether or not administered by a permanent arbitration
institution.
• International Arbitration is an arbitration where the parties to an arbitration agreement

have, at the time of the conclusion of that agreement, their places of business in
different states or one of the following places is situated outside the Philippines in
which the parties have their places of business wherein -
a. the place of arbitration if determined in, or pursuant to the arbitration

agreement;
b. any place where a substantial part of the obligations of the commercial

relationship is to be performed or the place with which the subject matter of
the dispute is most closely connected or the parties have expressly agreed
that the subject matter of the arbitration agreement relates to more than one
country.
For the purpose of International Arbitration, the New York Convention is the United
Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards
approved in 1958 and ratified by the Philippine Senate under Senate Resolution NO.71. The
following are important terms to consider:
• Non-Convention Award means a foreign arbitral award made in a state, which is

not a Convention State.
• Non-Convention State means a state that is not a member of the New York
Convention.
• Appointing Authority as used in the Model Law shall mean the person or institution
named in the arbitration agreement as the appointing authority; or the regular
arbitration institution under whose rules the arbitration is agreed to be conducted.
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Where the parties have agreed to submit their dispute to institutional arbitration rules,
and unless they have agreed to a different procedure, they shall be deemed to have
agreed to the procedure under such arbitration rules for the selection and
appointment of arbitrators. In ad hoc arbitration, the default appointment of an
arbitrator shall be made by the National President of the Integrated Bar of the
Philippines (IBP) ° his/her duly authorized representative.
• Arbitral Tribunal (under the Model Law) means a sole arbitrator or a panel of
arbitrators.
• Commercial Arbitration means an arbitration that covers matters arising from all
relationships of a commercial nature, whether contractual or not. Relationships of a
commercial nature include, but are not limited to any trade transaction for the supply
or exchange of goods or services; distribution agreements; construction of works;
commercial representation or agency; factoring; leasing; consulting; engineering;
licensing; investment; financing; banking; insurance; joint venture and other forms of
industrial or business cooperation; carriage of goods or passengers by air, sea, rail or
road.
• Convention Award means a foreign arbitral award made in a Convention State.
• Court (under the Model Law) means a body or organ of the judicial system of the
Philippines (i.e., the Regional Trial Court, Court of Appeals and Supreme Court)
What is Domestic Arbitration?

• Domestic Arbitration is an arbitration that is not international. The following are
important terms to consider:
• Ad hoc Arbitration means an arbitration administered by an arbitrator and/or the
parties themselves. An arbitration administered by an institution shall be regarded as
an ad hoc arbitration if such institution is not a permanent or regular arbitration
institution in the Philippines.
• Appointing Authority in Ad Hoc Arbitration means, in the absence of an
agreement, the National President of the IBP or his/her duly authorized
representative.
• Appointing Authority Guidelines means the set of rules approved or adopted by an
appointing authority for the making of a Request for Appointment, Challenge,
Termination of the Mandate of Arbitrator/s and for taking action thereon.
• 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.
• Arbitral Tribunal means a sole arbitrator or g panel, board or committee of
arbitrators.
• Claimant means a person/s with a claim against another and who commence/s
arbitration against the latter.
• Court means, unless otherwise specified in these Rules, a Regional Trial Court.
• Day means calendar day.
• Institutional arbitration means arbitration administered by an entity, which is
registered as a domestic corporation with the Securities and Exchange Commission
(SEC)’ and engaged in, among others, arbitration of disputes in the Philippines on a
regular and permanent basis.
• Request for Appointment means the letter request to the appointing authority of
either or both parties for the appointment of arbitrator/s or of the two arbitrators first
appointed by the parties for the appointment of the third member of an arbitral
tribunal.
• Representative is a person duly authorized in writing by a party to a dispute, who
could be a counsel, a person in his/her employ or any other person of his/her choice,
duly authorized to represent said party in the arbitration proceedings.
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• Respondent means the person/s against whom the claimant commence/s

arbitration.
• Written communication means the pleading, motion, manifestation, notice, order,
award and any other document or paper submitted or filed with the arbitral tribunal or
delivered to a party.
What are the Other forms of Alternative Dispute Resolution?

• Early Neutral Evaluation is an ADR process wherein parties and their lawyers are
brought together early in the pre-trial phase to present summaries of their cases and
to receive a nonbinding assessment by an experienced neutral person, with expertise
in the subject matter or substance of the dispute.
• Mediation-Arbitration or Med-Arb is a two-step dispute resolution process involving
mediation and then followed by arbitration.
• Mini-trial is a structured dispute resolution method in which the merits of a case are
argued before a panel comprising senior, decision makers, with or without the
presence of a neutral third person, before which the parties seek a negotiated
settlement.
THE OFFICE FOR ALTERNATIVE DISPUTE RESOLUTION

The Office of Alternative Dispute Resolution is an agency attached to the
Department of Justice which 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.
Powers of the OADR

• To act as appointing authority of mediators and arbitrators when the parties agree in
writing that it shall be empowered to do so.
• To conduct seminars, symposia, conferences and other public fora and publish
proceedings of said activities and relevant materials /information that would promote,
develop and expand the use of ADR.
• To establish an ADR library or resource center where ADR laws, rules and
regulations, jurisprudence, books, articles and other information about ADR in the
Philippines and elsewhere may be stored and accessed.
• To establish 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.
• To certify those who have successfully completed the regular professional training
programs provided by the OADR.
• To charge fees for services rendered such as, among others, for training and
certifications of ADR providers.
• To accept donations, grants and other assistance from local and foreign sources.
• To exercise such other powers as may be necessary and proper to carry into effect
the provisions of the ADR Act.
Functions of the OADR

• To promote, develop and expand the use of ADR in the private and public sectors
through information, education and communication.
• To monitor, study and evaluate the use of ADR by the private and public sectors for
purposes of, among others, policy formulation.
• To recommend to Congress needful statutory changes to develop, strengthen and
improve ADR practices in accordance with international professional standards.
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• 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.
• 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.
• 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.
Divisions or OADR
The OADR has following staff and service divisions:
• Secretariat — which shall provide necessary support and discharge such other
functions and duties as may be directed by the Executive Director.
• Public Information and Promotion Division — which shall be charged with the
dissemination of information, the promotion of the importance and public acceptance
of mediation, conciliation, arbitration or any combination thereof and other ADR forms
as a means of achieving speedy and efficient means of resolving all disputes and to
help in the promotion, development and expansion of the use of ADR.
• Training Division — which shall be charged with the formulation of effective
standards for the training of ADR practitioners; conduct of trainings in accordance
with such standards; issuance of certifications of training to ADR practitioners and
ADR service providers who have undergone the professional training provided by the
OADR; and the coordination of the development, implementation, monitoring and
evaluation of government and private sector ADR programs.
• Records and Library Division — which shall be charged with the establishment and
maintenance of a central repository of ADR laws, rules and regulations,
jurisprudence, books, articles, and other information about ADR in the Philippines
and elsewhere.
THE ADVISORY COUNCIL

Composition of the Advisory Council
✓ Mediation profession
✓ Arbitration profession
✓ ADR organizations
✓ IBP
✓ Academe
Role of the Advisory Council

The Advisory Council is responsible to 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.
Self-Help: You can also refer to the sources below to help you further
understand the lesson
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Domingo, C (2020). Dispute Resolution and Crisis Management. Wiseman’s Book

Trading, Inc. Brgy Tandang Sora, Quezon City
Let’s Check
Let us try the following activities to check your understanding in this

unit.
Activity1. Identification. In the space provided, write the term/s being asked in the
followingstatements: (One point each)
______________1. This method is used when people are both assertive and
cooperative.
_______________2. 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.
_______________3. Provide necessary support and discharge such other functions
and duties as may be directed by the Executive Director.
_______________4. 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.
_______________5. This method is used by people who go into a conflict planning
to win. They’re assertive and not cooperative.
_______________6. Means a foreign arbitral award made in a Convention State.
_______________7. A natural disagreement arising between two or more people.
_______________8. A point of view that focuses on inequality and conflict between
people of different racial and ethnic categories.
______________9. A strategy where one party gives in to the wishes or demands of
another. They’re being cooperative but not assertive.
______________10. It is conceptualized as the methods and processes involved in
facilitating the peaceful ending of conflict and retribution.
Let’s Analyze
Let us try the following activities to know how deep your

understanding about the topics of this unit.
Activity 1. How does international arbitration differ from domestic arbitration in

relation to the rules of Alternative Dispute Resolution System?
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Activity 2: What are the different instances where the parties may go directly to
Court?
In a Nutshell
In this part you are going to jot down what you have learned in this
unit. The said statement of yours could be in a form of concluding
statements, arguments, or perspective you have drawn from this lesson.
The first three items are done for you.
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Q&A List
In this section you are going to list what boggles you in this unit.
You may indicate your questions but noting you have to indicate the
answers after your question is being raised and clarified. You can write
your questions below.
Questions/Issues Answers
1.
2.
3.
4.
5.
KEYWORDS INDEX
Mediation Conciliation Arbitration Arbitral Awards
Model Law Domestic International Appointing

Arbitration Arbitration Authority
Interim Mediator Dispute Settlement
Arbitrator Petition Executory Proceeding
Big Picture in Focus: ULO b. Have a deep understanding about

Mediation process. Moreover, includes the International Commercial
Arbitration, Conduct of Arbitral Proceedings, and its Decision Making by 16
the Panel of Arbitrators.
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Metalanguage
The following are terms to be remembered as we go through in studying
this unit, please refer to these definitions as supplement in case you will
encounter difficulty in understanding the basic concepts of this unit.
1. Ad hoc Mediation means any mediation other than institutional or court-annexed.

2. 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.
THE MEDIATION PROCESS

MEDIATION - is 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.
The following are important terms to consider:
o Ad hoc Mediation means any mediation other than institutional or court-
annexed.
o Institutional Mediation means any mediation administered by, and
conducted under the rules of, a mediation institution.
o Court-Annexed Mediation means any mediation process conducted under
the auspices of the court and in accordance with Supreme Court approved
guidelines, after such court has acquired jurisdiction of the dispute.
o Court-Referred Mediation means mediation ordered by a court to be
conducted in accordance with the agreement of the parties when an action is
prematurely commenced in violation of such agreement.
o Certified Mediator means a mediator certified by the Office for ADR as
having successfully completed its regular professional training program.
o Mediation Party means a person who participates in a mediation and whose
consent is necessary to resolve the dispute.
o Mediator means a person who conducts mediation.
o 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.
For the purpose of mediation, it shall be applied voluntarily whether ad hoc or
institutional, other than court-annexed mediation and only in the default of an agreement of
the parties on the applicable rules. It shall apply to all cases pending before an
administrative or quasi-judicial agency that is subsequently agreed upon by the parties to be
referred to mediation.
In applying and construing the rule on mediation, consideration must be given on 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 a action is prematurely brought in a matter
which is the subject of a mediation agreement, if at least one party so requests, not later
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than the pre-trial conference o upon the request of both parties thereafter, to refer the parties
to mediation in accordance with the agreement of the parties.
o Selection of a Mediator
➢ The parties have the freedom to select their mediator. The parties may
request the OADR to provide them with a list or roster or the resumes of
its certified mediators. The OADR may be requested to inform the
mediator of his/her selection.
o Replacement of Mediator
➢ If the mediator selected is unable to act as such for any reason, the
parties may, upon being informed of such fact, select another mediator.
o Refusal or Withdrawal of Mediator
➢ A mediator may refuse from acting as such, withdraw or may be
compelled to withdraw, from the mediation proceedings under the
following circumstances:
▪ if any of the parties so requests the mediator to withdraw.
▪ The mediator does not have the qualifications, training and
experience to enable him/her to meet the reasonable expectations
of the parties.
▪ Where the mediator’s impartiality is in question.
▪ If continuation of the process would violate any ethical standards.
▪ If the safety of any of the parties would be jeopardized.
▪ If the mediator is unable to provide effective services.
▪ In case of conflict of interest.
▪ In any of the following instances, if the mediator is satisfied that:
a. one or more of the parties is/are not acting in
good faith;
b. the parties’ agreement would be illegal or
involve the commission of a crime;
c. continuing the dispute resolution would give rise
to an appearance of impropriety;
d. continuing with the process would cause
significant harm to a nonparticipating person or
to the public, or;
e. Continuing discussions would not be in the best
interest of the parties, their minor children or the
dispute resolution process
.
THE ETHICAL CONDUCT OF MEDIATOR
1. COMPETENCE
➢ Itis not required 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.
However, the certified mediator shall:
• maintain and continually upgrade his/her professional competence in
mediation skills;
• ensure that his/her qualifications, training and experience are known to
and accepted by the parties; and
• 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 has
qualifications, training and experience that he/she does not have.
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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.
2. IMPARTIALITY
➢ 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 any 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 or
foreseeable participant in the mediation; and
✓ disclose to the mediation parties any such fact known or learned as

soon as is practical before accepting a mediation.
3. CONFIDENTIALITY
➢ A mediator shall keep in utmost confidence all confidential information
obtained in the course of the mediation process.
A mediator shall discuss issues of confidentiality with the mediation

parties before beginning the mediation process including limitations on the
scope of confidentiality and the extent of confidentiality provided in any
private sessions or caucuses that the mediator holds with a party.
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 proceedings
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 in, 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.
Separation Of Mediation From Counseling And Legal Advice
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a. Except in evaluative mediation or when the parties so request, a mediator

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

➢ The mediator shall encourage mutual respect between the parties, and shall take
reasonable steps, subject to the principle of self-determination, to limit abuses of
the mediation process.
Solicitation or Acceptance of any Gift

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

➢ A party may designate a lawyer or any other person to provide assistance in the
mediation. A waiver of this right shall be made in writing by the party waiving it. A
waiver of participation or legal representation may be rescinded at any time.
The Role of the Counsel

✓ The lawyer shall view his/her role in mediation as a collaborator with the other
lawyer in working together toward the common goal of helping their clients
resolve their differences to their mutual advantage.
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✓ The lawyer shall encourage and assist his/her client to actively participate in
positive discussions and cooperate in crafting an agreement to resolve their
dispute.
✓ The lawyer must assist his/her client to comprehend and appreciate the
mediation process and its benefits, as well as the client’s greater personal
responsibility for the success of mediation in resolving the dispute.
✓ In preparing for participation in mediation, the lawyer shall confer and discuss
with his/her client the following:
o The mediation process as essentially a negotiation between the
parties assisted by their respective lawyers, and facilitated by a
mediator, stressing its difference from litigation, its advantages and
benefits, the client’s heightened role in mediation and responsibility for
its success and explaining the role of the lawyer in mediation
proceedings,
o The substance of the upcoming mediation, such as:
▪ The substantive issues involved in the dispute and their
prioritization in terms of importance to his/her client’s real
interests and needs.
▪ The study of the other party’s position in relation to the issues
with a view to understanding the underlying interests, fears,
concerns and needs.
▪ The information or facts to be gathered or sought from the
other side or to be exchanged that are necessary for informed
decision-making.
▪ The possible options for settlement but stressing the need to
be open-minded about other possibilities.
▪ The best, worst and most likely alternatives to 4 non-
negotiated settlements.
Other Matters which the Counsel Shall do to Assist Mediation

The Lawyer shall:
✓ shall give support to the mediator so that his/ her client will fully
understand the rules and processes of mediation;
✓ shall impress upon his/her client the importance of speaking for
himself/herself and _ taking responsibility for making decisions during
the negotiations within the mediation process;
✓ may ask for a recess in order to give advice or suggestions to his/her
client in private, if he/she perceives that his/her client is unable to
bargain effectively;
➢ shall assist his/her client and the mediator put in writing the terms of the
settlement agreement that the parties have entered into. The lawyers
shall see to it that the terms of the settlement agreement are not contrary
to law, morals, good customs, public order or public policy
CONDUCT OF MEDIATION
The following articles shall be considered in the Conduct of Mediation
A. The mediator shall not make untruthful or exaggerated claims about the
dispute resolution process, its costs and benefits, its outcome or the
mediator’s qualifications and abilities during the entire mediation process.
B. The mediator shall help the parties reach a satisfactory resolution of their
dispute but has no authority to impose a settlement on the parties
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C. The parties shall personally appear for mediation and may be assisted by
a lawyer. A party may be represented by an agent who must have full
authority to negotiate and settle the dispute.
D. The mediation process shall, in general, consist of the following stages:
✓ Opening statement of the mediator
✓ Individual narration by the parties
✓ Exchange by the parties
✓ Summary of issues
✓ Generation and evaluation of options
✓ closure
E. The mediation proceeding shall be held in private. Persons, other than the
parties, their representatives and the mediator, may attend only with the
consent of all the parties.
F. The mediation shall be closed:
✓ By the execution of a settlement agreement by the parties
✓ By the withdrawal of any party from mediation
✓ By the written declaration of the mediator that any further effort at
mediation would not be helpful
PLACE OF MEDIATION
Agreement of Parties on the Place of Mediation

The parties are free to agree on the place of mediation. Failing such
agreement, the place of mediation shall be any place convenient and
appropriate to all parties.
Agreement to Submit a Dispute to Mediation by an Institution .

An agreement to submit a dispute to mediation by an institution shall include
an agreement to be bound by the internal mediation and administrative
policies of such institution. Further, an agreement to submit a dispute to
mediation under institutional mediation rules shall be deemed to include an
agreement to have such rules govern the mediation of the dispute and for the
mediator, the parties, their respective counsels and non-party participants to
abide by such rules.
Operative Principles to Guide Mediation

The mediation shall be guided by the following operative principles:
a. A settlement agreement following successful mediation shall be prepared by
the parties with the assistance of their respective counsels, if any, and by the
mediator. The parties and their respective counsels shall endeavor to make
the terms and condition of the settlement agreement complete and to make
adequate provisions for the contingency of breach to avoid conflicting
interpretations of the agreement.
b. The parties and their respective counsels, if any, shall sign the settlement
agreement. The mediator shall certify that he/she explained ‘the contents of
the settlement agreement to the parties in a language known to them.
c. If the parties agree, the settlement agreement may be jointly deposited by the
parties or deposited by one party with prior notice to the other party/ies with
the Clerk of Court of the Regional Trial Court (a) where the principal place of
business in the Philippines of any of the parties is located; (b) if any of the
parties is an individual, where any of those individuals resides; or (c) in the
National Capital Judicial Region. Where there is a need to enforce the
settlement agreement, a petition may be filed by any of the parties with the
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same court, in which case, the court shall proceed summarily to hear the
petition, in accordance with the Special ADR Rules.
d. The parties may agree in the settlement agreement that the mediator shall
become a sole arbitrator for the dispute and shall treat the settlement
agreement as an arbitral award which shall be subject to enforcement under
Republic Act No. 876, otherwise known as “The Arbitration Law’,
notwithstanding the provisions of Executive Order No. 1008, s. 1985,
otherwise known as the “Construction Industry Arbitration Law” for mediated
disputes outside of the Construction Industry Arbitration Commission.
CONFIDENTIALITY OF INFORMATION
Confidentiality of Information
Information obtained through mediation proceedings shall be subject to the
following principles and guidelines:
1. Information obtained through mediation shall be privileged and
confidential.
2. A party, mediator, or non-party participant may refuse to disclose
and may prevent any other person from disclosing a confidential information.
3. Confidential information shall not be subject to discovery and shall
be inadmissible in any adversarial proceeding, whether judicial or
quasijudicial. However, evidence or information that is otherwise admissible
or subject to discovery does not become inadmissible or protected from
discovery solely by reason of its use in a mediation.
4. In such an adversarial proceeding, the following persons involved or
previously involved in mediation may not be compelled to disclose
confidential information obtained during the mediation:
✓ the parties to the dispute;
✓ the mediator or mediators; the counsel for the parties; the non-
party participants;
✓ any person hired or engaged in connection with the mediation
as _ secretary, stenographer, clerk or assistant; and
✓ any other person who obtains or possesses
✓ confidential information by reason of his/ her profession.
5. The protections of the ADR Act shall continue to apply even if a
mediator is found to have failed to act impartially.
6. A mediator may not be called to testify to provide confidential
information gathered in mediation. A mediator who is wrongfully subpoenaed
shall be reimbursed the full cost of his/her attorney’s fees and related
expenses.
Waiver Of Confidentiality
A. A privilege arising from the confidentiality of information may be waived in a
record or orally during a proceeding by the mediator and the mediation
parties.
B. With the consent of the mediation parties, a privilege arising from the
confidentiality of information may likewise be waived by a nonparty participant
if the information is provided by such non-party participant.
C. A person who discloses confidential information shall be precluded from
asserting the privilege under Confidentiality of Information to bar disclosure of
the rest of the information necessary to a complete understanding of the
previously disclosed information. If a person suffers loss or damage as a
result of the disclosure of the confidential information, he/she shall be
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entitled to damages in a judicial proceeding against the person who made the
disclosure.
D. A person who discloses or makes a representation about a mediation is
precluded from asserting the privilege mentioned in Confidentiality of
Information to the extent that the communication prejudices another person in
the proceeding and it is necessary for the person prejudiced to respond to the
representation or disclosure.
Exceptions to the Privilege of Confidentiality of Information

1. There is no privilege against disclosure in the following instances:
• in an agreement evidenced by a record authenticated by all parties to the
agreement;
• available to the public or made during a session of a mediation which is
open, or is required by law to be open, to the public
• a threat or statement of a plan to inflict bodily injury or commit a crime of
violence;
• intentionally used to plan a crime, attempt to commit, or commit a crime,
or conceal an ongoing crime or criminal activity;
• sought or offered to prove or disprove abuse, neglect, abandonment or
exploitation in a proceeding in which a public agency is protecting the
interest of an individual protected by law; but this exception does not
apply where a child protection matter is referred to mediation by a court or
where a public agency participates in the child protection mediation;
• sought or offered to prove or disprove aclaim or complaint of professional
misconduct or malpractice filed against a mediator in a proceeding; or
• sought or offered to prove or disprove aclaim or complaint of professional
misconduct or malpractice filed against a party, nonparty participant, or
representative of a party based on conduct occurring during a mediation.
2. 2. If a court or administrative agency finds, after a hearing in camera, that the party
seeking discovery of the proponent of the evidence has shown that the evidence is
not otherwise available, that there isa need for the evidence that substantially
outweighs the interest in protecting confidentiality, and the mediation communication
is sought or offered in:
a. a court proceeding involving a crime or felony; Or
b. a proceeding to prove a claim or defense that under the law is sufficient
to reform or avoid a liability on a contract arising out of the mediation.
c. A mediator may not be compelled to provide evidence of a mediation
communication or testify in such proceeding.
d. If a mediation communication is not privileged under an exception in
paragraph (a) or (b), only the portion of the communication necessary for
the application of the exception for nondisclosure may be admitted. The
admission of a particular evidence for the limited purpose of an exception
does not render that evidence, or any other mediation communication,
admissible for any other purpose.
Non-Reporting or Communication by Mediator

A mediator may not make a report, assessment, evaluation, recommendation,
finding or other communication regarding a mediation to a court or agency or other
authority that may make a ruling on a dispute that is the subject of a mediation,
except:
✓ to state that the mediation occurred or has terminated, or where a settlement
was reached; or
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✓ as permitted to be disclosed under the provisions on the Exceptions to the

Privilege of Confidentiality of Information.
The parties may, by an agreement in writing, Spulate that the settlement

agreement shall be Sealed and not disclosed to any third party including the court.
Such stipulation, however, shall not apply a proceeding to enforce or set aside the
settlement agreement
FEES AND COST OF MEDIATION

Fees and Cost of Ad hoc Mediation
In ad hoc mediation, the parties are free to make their own arrangement as to
mediation cost and fees. In default thereof, the schedule of cost and fees to be
approved by the OADR shall be followed.
Fees and Cost of Institutional Mediation

A. In institutional mediation, mediation cost shall include the
administrative charges of the mediation institution under which the
parties have agreed to be bound, mediator’s fees and associated
expenses, if any. In default of agreement of the parties as to the
amount and manner of payment of mediation’s cost and fees, the
same shall be determined in accordance with the applicable internal
rules of the mediation service providers under whose rules the
mediation is conducted.
B. A mediation service provider may determine such mediation fee as is
reasonable taking into consideration the following factors, among
others:
a. the complexity of the case;
b. the number of hours spent in mediation; and
c. the training, experience and stature of mediators.
INTERNATIONAL COMMERCIAL ARBITRATION
Scope of Application
➢ The rule applies to international commercial arbitration, subject to any agreement
in force between the Philippines and other state or states and only if the place or
seat of arbitration is the Philippines and in default of any agreement of the parties
on the applicable rules and shall not affect any other law of the Philippines by
virtue of which certain disputes may not be submitted to arbitration or may be
submitted to arbitration only according to provisions other than those of the ADR
Act.
Rules of Interpretation
A. International commercial arbitration shall be governed by the Model Law on
International Commercial Arbitration.
B. In interpreting the rule, regard shall be had to the international origin of the
Model Law and to the need for uniformity in its interpretation. Resort may be
made to the travaux preparatories and the Report of the Secretary-General of
the United Nations Commission on International Trade Law dated March
1985 entitled, “International Commercial Arbitration: Analytical Commentary
on Draft Text identified by reference number A/ CN. 9/264”.
C. Moreover, in interpreting the rule, the court shall have due regard to the policy
of the law in favor of arbitration and the policy of the Philippines to actively
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promote party autonomy in the resolution of disputes or the freedom of the

parties to make their own arrangement to resolve their dispute.
D. Where a provision of the rule, except the those applicable to the substance of
the dispute, leaves the parties free to determine a certain issue, such freedom
includes the right of the parties to authorize a third party, including an
institution, to make that determination.
E. Where a provision of these rule refers to the fact that the parties have agreed
or that they may agree or in any other way refers to an agreement of the
parties, such agreement includes any arbitration rules referred to in that
agreement.
Receipt of Written Communications

A. Unless otherwise agreed by the parties:
✓ any written communication is deemed to have been received if it is
delivered to the addressee personally or at his/her place of business,
habitual residence or mailing address; if none of these can be found
after making a reasonable inquiry, a written communication is deemed
to have been received if it is sent to the addressee’s last known place
of business, habitual residence or mailing address by registered letter
or any other means which provides a record of the attempt to deliver
it;
✓ the communication is deemed to have been received on the day it is
so delivered.
B. The provisions of the Rule do not apply to communications in court
proceedings, which shall be governed by the Rules of Court.
Waiver of Right to Object

➢ A party who knows that any provision of the rule from which the parties may
derogate or any requirement under the arbitration agreement has not been
complied with and yet proceeds with the arbitration without stating the objections
for such non-compliance without undue delay or if a time limit is provided
therefor, within such period of time, shall be deemed to have waived the right to
object.
Extent of Court Intervention

➢ In matters governed by the rule, no court shall intervene except where so
provided in the ADR Act. Resort to Philippine courts for matters within the scope
of the ADR Act shall be governed by the Special ADR Rules.
Let’s Check

unit.
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Activity1. Identification. In the space provided, write the term/s being asked in
the followingstatements: (One point each)
_______________1. means a mediator certified by the Office for ADR as having successfully
completed its regular professional training program.
_______________2. 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.
_______________3. means a person, other than a party or mediator, who participates in a

mediation proceeding as a witness, resource person or expert.
_______________4. Itis not required 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.
_______________5. A mediator shall make reasonable efforts to ensure that each party
understands the nature and character of the mediation proceedings
_______________6. The parties may request the OADR to provide them with a list or roster
or the resumes of its certified mediators.
_______________7. means any mediation other than institutional or court-annexed.
_______________8. shall give support to the mediator so that his/ her client will fully
understand the rules and processes of mediation
_______________9. means any mediation administered by, and conducted under the rules
of, a mediation institution.
_______________10. means a mediator certified by the Office for ADR as having

successfully completed its regular professional training program.
Let’s Analyze
Let us try the following activities to know how deep your

understanding about the topics of this unit.
Activity 1. Give the considerations in applying the provision on mediation.

(10 points)
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Activity 2. Explain the waiver of confidentiality. (10 points)
In a Nutshell
In this part you are going to jot down what you have learned in this
unit. The said statement of yours could be in a form of concluding
statements, arguments, or perspective you have drawn from this lesson.
The first three items are done for you.
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Q&A List
In this section you are going to list what boggles you in this unit.
You may indicate your questions but noting you have to indicate the
answers after your question is being raised and clarified. You can write
your questions below.
1.
2.
3.
4.
5.
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KEYWORDS INDEX
Mediation Conciliation Arbitration Arbitral Awards
Model Law Domestic International Appointing

Arbitration Arbitration Authority
Interim Mediator Dispute Settlement
Arbitrator Petition Executory Proceeding
Big Picture B
expected to
a. Demonstrate deep understanding as to the continuation of the previous

topics on the Amicable Settlement, the Lupong Tagapamayapa, as well
as the Place of Settling Disputes and the Settlement Mechanism .
Big Picture in Focus: ULO a. Have a deep understanding about the Amicable
Settlement.
Metalanguage
The following are terms to be remembered as we go through in
studying this unit, please refer to these definitions as supplement in case
you will encounter difficulty in understanding the basic concepts of this
unit.
1. HYBRID COURTS – Non state Justice System
2. KATARUNGANG PAMBARANGAY – local justice system in the
Philippines
3. LUPONG TAGAPAMAYAPA – is the body that comprises the barangay
justice system and on it sit the arangay captain and 10 to 20 members.
Essential Knowledge
In this part, we will be tackling about the Amicable settlement and
all barabgayable disputes and its resolution.
AMICABLE SETTLEMENT OF DISPUTES
Preliminaries
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Katarungang Pambarangay, or the Barangay Justice System is a local justice

system in the Philippines, It is operated by the smallest of the local government units,
the barangay, and is overseen by the barangay captain, the highest elected official of
the barangay and its executive. The barangay captain sits on the Lupong
Tagapamayapa along with other barangay residents, which is the committee that
decides disputes and other matters. They do not constitute a court as they do not
have judicial powers.
The system exists to help decongest the regular courts and works mostly as
“alternative, communitybased mechanism for dispute resolution of conflicts,”
also described as a “compulsory mediation process at the village level.”
Throughout the Philippines the Barangay Justice Systems handles thousands of

cases a year. Since officials have more flexibility in decision-making, including from
complex evidence rules, and receive some resources from government, the courts
are more numerous and accessible than other courts and therefore the courts are
able to hear more cases and to respond more immediately.
History
There has long been a traditional, local system of resolving disputes. Presidential Decree
1508 talks an unofficial “time-honored tradition of amicably settling disputes among
family and barangay members at the barangay level without judicial resources”.
Alfredo Flores Tadiar was the principal author of Presidential Decree 1508, The
Katarungang Pambarangay Law, and he also wrote its implementing rules, requiring prior
conciliation as a condition for judicial recourse. For 12 years (1980-1992), he was a member
of the Committee of Consultants, Bureau of Local Government Supervision, which oversaw
the nationwide operations of the Katarungang Pambarangay Law. Under the decree, the
body was known as Lupong Tagapayapa. This decree was replaced by the Local
Government Code of 1991.
The Katarungang Pambarangay share characteristics with similar traditional, hybrid courts in
other countries such as the Solomon Islands, Papua New Guinea, Nigeria and South
Africa, among others. Such courts emerged during colonial periods as Western imperial
powers introduced western legal systems. The Western legal systems were usually applied
to westerners while the local dispute resolution systems were integrated into the Western
system in a variety of ways including incorporation of local decision makers into the
government in some way. After independence, many states faced the same problems as
their former rulers, especially “limited geographical reach of state institutions, Western
modeled institutions often divorced from community structures and expectations, and
resource constraints in the justice sector.” Hybrid courts became a “middle ground for
supporting community decision-making while simultaneously expanding the authority
and reach of the state.”
Besides “hybrid courts”, other authors have described the system as a “Non-State
Justice System”.
Overview on the Operations, Rules and Procedures
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The Lupong Tagapamayapa is the body that comprises the barangay justice system
and on it sit the barangay captain and 10 to 20 members. The body is normally constituted
every three years and holds office until a new body is constituted in the third year. They
receive no compensation except honoraria, allowances and other emoluments as
authorized by law or barangay, municipal or city ordinance.
Almost all civil disputes and many crimes with potential prison sentences of one year
or less or fines 5,000 or less. Philippine pesos are subjected to the system. In barangays
where a majority of members belong to an indigenous people of the Philippines, traditional
dispute mechanisms such as a council of elders may replace the barangay judicial system.
Upon receipt of the complaint:

✓ the chairman to the committee, most often the barangay captain, shall the
next working day inform the parties of a meeting for mediation.
✓ If after 15 days for the first meeting, the mediation is not successful then a
more formal process involving the pangkat or body must be followed.
✓ There is another 15-day period to resolve the dispute through this more
formal process, extendable by the pangkat for yet another 15-day period.
✓ If not settlement has been reached, then a case can be filed in the regular
judicial system of the Philippines.
THE KATARUNGANG PAMBARANGAY

(Presidential Decree No. 1508 repealed by R.A. 7160)
Concept of Barangay and Lupong Tagapamayapa

• Barangay refers not only to barrios which were declared barangays by virtue
of Presidential Decree No. 957 but also to barangays otherwise known as
citizens assemblies pursuant to Presidential Decree No. 86.
• Barangay Captain refers to the Barangay Captains of the barrios which
declared barangay by virtue of Presidential Decree No. 557 and to the
Chairmen of barangays otherwise known as citizens assemblies pursuant to
Presidential Decree No. 86.
The Lupong Tagapamayapa

• The Lupong Tagapamayapa shall be composed of the Punong barangay
as Chairman and ten (10) to twenty (20) members. The lupon shall be
constituted every three (3) years.
• Any person actually residing or working in the barangay, not otherwise
expressly disqualified by law, and possessing integrity, impartiality,
independence of mind, sense of fairness, and reputation for probity, may
be appointed as member of the lupon.
• A notice to constitute the lupon, which shall include the names of proposed
members who have expressed their willingness to serve, shall be prepared by
the punong barangay within the first fifteen (15) days from the start of his term
of office. Such notice shall be posted in three (3) conspicuous places in
the barangay continuously for a period of not less than three (3) weeks;
• The Punong barangay, taking into consideration any opposition to the
proposed appointment or any recommendations for appointment as may have
been made within the period of posting, shall within ten (10) days thereafter,
appoint as members those whom he determines to be suitable therefor.
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Appointments shall be in writing, signed by the Punong barangay, and

attested to by the barangay secretary.
• The list of appointed members shall be posted in three (3) conspicuous
places in the barangay for the entire duration of their term of office; and
➢ In barangays where majority of the inhabitants are members of indigenous

cultural communities, local systems of settling disputes through their councils of
Datus or elders shall be recognized without prejudice to the applicable provisions
of the Code.
Functions of the Lupon

✓ Exercise administrative supervision over the conciliation panels provided
herein;
✓ Meet regularly once a month to provide a forum for exchange of ideas among
its members and the public on matters relevant to the amicable settlement of
disputes, and to enable various conciliation panel members to share with one
another their observations and experiences in effecting speedy resolution of
disputes; and
✓ Exercise such other powers and perform such other duties and functions as
may be prescribed by law or ordinance.
Oath and Term of Office

➢ Upon appointment, each lupon member shall take an oath of office before the
Punong barangay. He shall hold office until a new lupon is constituted on the
third year following his appointment unless sooner terminated by resignation,
transfer of residence or place of work, or withdrawal of appointment by the
Punong barangay with the concurrence of the majority of all the members of
the lupon.
Vacancies
➢ Should a vacancy occur in the lupon for any cause, the Punong barangay
shall immediately appoint a qualified person who shall hold office only for
the unexpired portion of the term.
Secretary of the Lupon and the Pangkat ng Tagapagkasundo

• The Barangay Secretary shall concurrently serve as the secretary of the lupon.
He/She shall record the results of mediation proceedings before the Punong
barangay and shall submit a report thereon to the proper city or municipal courts.
He/She shall also receive and keep the records of proceedings submitted to him by
the various conciliation panels.
• Pangkat ng Tagapagkasundo is a constituted body for each dispute brought before
the lupon which serves as a conciliation panel consisting of three (3) members
who shall be chosen by the parties to the dispute from the list of members of the
lupon.
• Should the parties fail to agree on the pangkat membership, the same shall be
determined by lots drawn by the lupon chairman.
The three (3) members constituting the pangkat shall elect from among themselves the
chairman and the secretary. The secretary shall prepare the minutes of the pangkat
proceedings and submit a copy duly attested to by the chairman to the lupon secretary and
to the proper city or municipal court. He shall issue and cause to be served notices to the
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parties concerned. The lupon secretary shall issue certified true copies of any public record
in his custody that is not by law otherwise declared confidential.
Vacancies in the Pangkat

➢ Any vacancy in the Pangkat shall be chosen by the parties to the dispute from
among the other lupon members. Should the parties fail to agree on a
common choice, the vacancy shall be filled by lot to be drawn by the lupon
chairman.
Character of Office and Service of Lupon Members

The lupon members, while in the performance of their official duties or on the
occasion thereof, shall be deemed as persons in authority, as defined in the Revised Penal
Code.
The Lupon or Pangkat members shall serve without compensation, except as

provided under the Code. The Department of the Interior and Local Government shall
provide for a system of granting economic or other incentives to the lupon or pangkat
members who adequately demonstrate the ability to judiciously and expeditiously resolve
cases referred to them. While in the performance of their duties, the lupon or pangkat
members, whether in public or private employment, shall be deemed to be on official time,
and shall not suffer from any diminution in compensation or allowance from said employment
by reason thereof.
Legal Advice on Matters Involving Questions of Law

The provincial, city legal officer or prosecutor or the municipal legal officer shall
render legal advice on matters involving questions of law to the punong barangay or any
lupon or pangkat member whenever necessary in the exercise of his functions in the
administration of the katarungang pambarangay.
The Subject Matter for Amicable Settlement
The lupon of each barangay shall have authority to bring together the parties actually
residing in the same city or municipality for amicable settlement of all disputes except:
a. Where one party is the government, or any subdivision or instrumentality
thereof;
b. Where one party is a public officer or employee, and the dispute relates to the
performance of his official functions;
c. Offenses punishable by imprisonment exceeding one (1) year or a fine
exceeding Five thousand pesos (P5,000.00);
d. Offenses where there is no private offended party;
e. Where the dispute involves real properties located in different cities or
municipalities unless the parties thereto agree to submit their differences to
amicable settlement by an appropriate lupon;
f. Disputes involving parties who actually reside in barangays of different cities
or municipalities, except where such barangay units adjoin each other, and
the parties thereto agree to submit their differences to amicable settlement by
an appropriate lupon;
g. Such other classes of disputes which the President may determine in the
interest of justice or upon the recommendation of the Secretary of Justice.
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The court in which non-criminal cases not falling within the authority of the lupon
under the Code are filed may, at any time before trial, motu proprio refer the case to the
lupon concerned for amicable settlement.
Venue
a. Disputes between persons actually residing in the same barangay shall be
brought for amicable settlement before the lupon of said barangay.
b. Those involving actual residents of different barangays within the same city or
municipality shall be brought in the barangay where the respondent or any of
the respondents actually resides, at the election of the complainant.
c. All disputes involving real property, or any interest therein shall be brought in
the barangay where the real property or the larger portion thereof is situated.
d. Those arising at the workplace where the contending parties are employed or
at the institution where such parties are enrolled for study, shall be brought in
the barangay where such workplace or institution is located.
Objections to venue shall be raised in the mediation proceedings before the

Punong barangay; otherwise, the same shall be deemed waived. Any legal question which
may confront the Punong barangay in resolving objections to venue herein referred to may
be submitted to the Secretary of Justice or his duly designated representative, whose ruling
thereon shall be binding.
Procedure for Amicable Settlement Initiation of proceeding

➢ Upon payment of the appropriate filing fee, any individual who has a cause of
action against another individual involving any matter within the authority of
the lupon may complain, orally or in writing, to the lupon chairman of the
barangay.
Mediation by Lupon Chairman

➢ Upon receipt of the complaint, the lupon chairman shall, within the next
working day, summon the respondent(s), with notice to the complainant(s) for
them and their witnesses to appear before him for a mediation of their
conflicting interests. If he fails in his mediation effort within fifteen (15) days
from the first meeting of the parties before him, he shall forthwith set a date
for the constitution of the pangkat in accordance with the provisions of this
Chapter.
Suspension of Prescriptive Period of Offenses

➢ While the dispute is under mediation, conciliation, or arbitration, the
prescriptive periods for offenses and cause of action under existing laws shall
be interrupted upon filing of the complaint with the punong barangay. The
prescriptive periods shall resume upon receipt by the complainant of the
complaint or the certificate of repudiation or of the certification to file action
issued by the lupon or pangkat secretary: Provided, however, that such
interruption shall not exceed sixty (60) days from the filing of the complaint
with the punong barangay.
Issuance of Summons; Hearing; Grounds for Disqualification

➢ The pangkat shall convene not later than three (3) days from its
constitution, on the day and hour set by the lupon chairman, to hear both
parties and their witnesses, simplify issues, and explore all possibilities for
amicable settlement. For this purpose, the pangkat may issue summons for
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the personal appearance of parties and witnesses before it. In the event that
a party moves to disqualify any member of the pangkat by reason of
relationship, bias, interest, or any other similar grounds discovered after the
constitution of the pangkat, the matter shall be resolved by the affirmative
vote of the majority of the pangkat whose decision shall be final. Should
disqualification be decided upon, the resulting vacancy shall be filled.
Period to arrive at a Settlement

➢ The pangkat shall arrive at a settlement or resolution of the dispute within
fifteen (15) days from the day it convenes in accordance with this section.
This period shall, at the discretion of the pangkat, be extendible for another
period which shall not exceed fifteen (15) days, except in clearly meritorious
cases.
Form of Settlement
➢ All amicable settlements shall be in writing, in a language or dialect known
to the parties, signed by them, and attested to by the lupon chairman or the
pangkat chairman, as the case may be. When the parties to the dispute do
not use the same language or dialect, the settlement shall be written in the
language known to them.
Conciliation
a. Pre-condition to Filing of Complaint in Court
- No complaint, petition, action, or proceeding involving any matter within
the authority of the lupon shall be filed or instituted directly in court or any
other government office for adjudication, unless there has been a
confrontation between the parties before the lupon chairman or the
pangkat, and that no conciliation or settlement has been reached as
certified by the lupon secretary or pangkat secretary as attested to by the
lupon or pangkat chairman or unless the settlement has been repudiated
by the parties thereto.
b. Where Parties May Go Directly to Court
- The parties may go directly to court in the following instances:
✓ Where the accused is under detention;
✓ Where a person has otherwise been deprived of personal
liberty calling for habeas corpus proceedings;
✓ Where actions are coupled with provisional remedies such as
preliminary injunction, attachment, delivery of personal
property and support pendente lite; and
✓ Where the action may otherwise be barred by the statute of
limitations.
c. Conciliation Among Members of Indigenous Cultural Communities
- The customs and traditions of indigenous cultural communities shall be
applied in settling disputes between members of the cultural
communities.
Arbitration
✓ The parties may, at any stage of the proceedings, agree in writing that they shall
abide by the arbitration award of the lupon chairman or the pangkat. Such agreement
to arbitrate may be repudiated within five (5) days from the date thereof for the same
grounds and in accordance with the procedure hereinafter prescribed. The arbitration
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award shall be made after the lapse of the period for repudiation and within ten (10)
days thereafter.
✓ The arbitration award shall be in writing in a language or dialect known to the parties.
When the parties to the dispute do not use the same language or dialect, the award
shall be written in the language or dialect known to them.
Exceptions on the Proceedings Open to the Public

➢ All proceedings for settlement shall be public and informal: Provided,
however, That the lupon chairman or the pangkat chairman, as the case may
be, may motu proprio or upon request of a party, exclude the public from the
proceedings in the interest of privacy, decency, or public morals.
Appearance of Parties in Person

➢ In all katarungang pambarangay proceedings, the parties must appear in
person without the assistance of counsel or representative, except for minors
and incompetents who may be assisted by their next-of-kin who are not
lawyers.
Effect of Amicable Settlement and Arbitration Award

➢ The amicable settlement and arbitration award shall have the force and effect
of a final judgment of a court upon the expiration of ten (10) days from the
date thereof, unless repudiation of the settlement has been made or a petition
to nullify the award has been filed before the proper city or municipal court.
➢ However, this provision shall not apply to court cases settled by the lupon
under the last paragraph of Section 408 of the Code, in which case the
compromise settlement agreed upon by the parties before the lupon chairman
or the pangkat chairman shall be submitted to the court and upon approval
thereof, have the force and effect of a judgment of said court.
Execution
➢ The amicable settlement or arbitration award may be enforced by execution by the
lupon within six (6) months from the date of the settlement. After the lapse of such
time, the settlement may be enforced by action in the appropriate city or municipal
court.
Repudiation
➢ Any party to the dispute may, within ten (10) days from the date of the settlement,
repudiate the same by filing with the lupon chairman a statement to that effect sworn
to before him, where the consent is vitiated by fraud, violence, or intimidation. Such
repudiation shall be sufficient basis for the issuance of the certification - for filing a
complaint as hereinabove provided.
Transmittal of Settlement and Arbitration Award to the Court

➢ The secretary of the lupon shall transmit the settlement or the arbitration award to the
appropriate city or municipal court within five (5) days from the date of the award or
from the lapse of the ten-day period repudiating the settlement and shall furnish
copies thereof to each of the parties to the settlement and the lupon chairman.
Power to Administer Oaths
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➢ The punong barangay, as chairman of the lupong tagapamayapa, and the members
of the pangkat are hereby authorized to administer oaths in connection with any
matter relating to all proceedings in the implementation of the katarungang
pambarangay.
Administration and Appropriations

➢ The city or municipal mayor, as the case may be, shall see to the efficient and
effective implementation and administration of the katarungang pambarangay. The
Secretary of Justice shall promulgate the rules and regulations necessary to
implement this Chapter.
➢ Such amount as may be necessary for the effective implementation of the

katarungang pambarangay shall be provided for in the annual budget of the city or
municipality concerned.
Let’s Check
Let us try the following activities to check your understanding in this unit.
the following statements: (One point each)
_____________1. The amicable settlement or arbitration award may be

enforced by execution by the lupon ______________ from the date of the settlement.
_______________2. Principal author of PD 1508
_______________3. Katarungang Pambarangay Law.
_______________4. Non-state justice.
_______________5. Head of lupong tagapamayapa.
Let’s Analyze
Let us try the following activities to know how deep your understanding
about the topics of this unit.
Activity 1. Distinguish the following questions below. (10 points each)
1. Describe the character of office and services of the Lupon member.
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2. Explain forms of settlement mandated under the amicable settlement at the

barangay level.
In a Nutshell
In this part you are going to jot down what you have learned in this unit.
The said statement of yours could be in a form of concluding statements,
arguments, or perspective you have drawn from this lesson.
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Q&A List
In this section you are going to list what boggles you in this unit. You
may indicate your questions but noting you have to indicate the answers after
your question is being raised and clarified. You can write your questions below.
1.
2.
3.
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4.
5.
KEYWORDS INDEX
Hybrid courts Amicable Mediation Arbitration

settlement
Lupong Barangay Lupon Pangkat
tagapamaya captain
Pangat Conciliation Suspension Repudiation
tagapagkasundo
Big Picture C
expected to
a. Have deep knowledge on crisis and emergency; types of crisis and

emergency, policies in handling crisis/hostage situation, dynamics of an
effective critical/hostage incident management, negotiation sub-task group,
public affairs sub-task group and service support sub-task group.
Big Picture in Focus: ULO a. To understand the purpose of the existing rules
with regards to the crisis and incidents management
Metalanguage
The following are terms to be remembered as we go through in
studying this unit. Please refer to these definitions as supplement in case
you will encounter difficulty in understanding the basic concepts of this
unit.
1. Psychosis - is a gross and persistent falsification of conventional
reality that leaves the person unable to manage conventional reality
with any degree of effectiveness
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2. Delusion - is the faulty belief that is motivated primarily by the

individual’s needs and wishes and in fact, has no basis.
3. Hallucination - is manifested in a visual image that is quite vivid and
real to the individual who experiences it.
4. Paranoia - is a set of fixed delusional beliefs that are accompanied by
clear and orderly thinking outside the delusion system.
Essential Knowledge
This concept will have an idea of crisis and emergency and policies in handling
crisis/hostage situation. Also it will present the dynamics of managing a critical
incident. It also shows the series of synchronize and parallel response by civil
and police authorities from the first time that such crisis will be reported.
1) Crisis and Emergency

2) Crisis came from the Greek word crisis, which means separate.
a) As defined by Funk and Wagnalls, crisis is turning points in the progress
of an affair or series of events. Though crisis is often used
interchangeably with emergency, crisis develops from an emergency and
vice versa, these terms have certain degree of difference.
3) Emergency came from the Latin word “emergentia” meaning a dipping.
a) Funk and Wagnall defined emergency as a sudden condition or state of
affair calling for immediate action.
4) Types of Crisis
a) Man-Made Crises are:
i) Civil Disturbance (riots)
ii) Revolutions
iii) War
iv) Hostage-Taking
v) Revolt
vi) Border Incident
vii) Kidnapping
viii)Terrorist Acts (bombing)
5) 2. Natural Crises are:
a) Volcanic Eruption
b) Pestilence/Epidemic
c) Inundation
d) Drought
e) Earthquake
f) Tidal Wave (Tsunami)
6) Individual crisis- It refers to the feeling that arises when a person faces
unpleasant situation such as frustration and conflicts. This includes:
a) Physical Crisis – those that are related to health problems or bodily
sickness/sufferings
b) Economics Crisis – the deprivation of the basic necessities of life like
food and material things
c) Emotional crisis – when an individual is affected by negative feelings
like emotional disturbances, fear, etc
d) Social crisis – the experiencing lack of interest, confidence and social
skills to relate meaningful, harmonious relationship with other.
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e) Moral crisis – the person has an irrational or distorted concept of what is

right or wrong, lack of moral values and integrity of the person
f) Psychosexual crisis – failure of the person to assume one’s sex role
and identity as a man or woman. The person has an inappropriate sex
objective, inadequate and distorted expression of affection.
7) THE CONCEPT OF CRISIS MANAGEMENT
Crisis management is the proper utilization of all available
resources and the formulation of policies and procedures to
effectively deal with progressive sequence of events (crisis)
and sudden or unforeseen state (emergency)
8) The crisis management procedure
The crisis may start as basically police or special unit matter but
could develop in proportion and dimension requiring further
military operations.
➢ In case of any occurrence concerning crises and
emergencies described as man-made , the National Peace
and Order Council (NPOC) established by Executive
Order 320 on March 11, 1988 with its present
amendment through Executive Order No.773 entitled,
“Further Reorganizing the Peace and Order Council”,at
appropriated level shall be the organizational model that
shall primarily take action on the situation.
➢ In case of any occurrence concerning crises and
emergencies described as man-made , the National Peace
and Order Council (NPOC) established by Executive
Order 320 on March 11, 1988 with its present
amendment through Executive Order No.773 entitled,
“Further Reorganizing the Peace and Order Council”,
at appropriated level shall be the organizational model that
shall primarily take action on the situation.
9) Phases of Crisis management
A. PRO-ACTIVE PHASE – is the stage of advance planning, organization
and coordination and control in response to an anticipated future crisis
occurrence. This phase is designed to predict or prevent the probability
of occurrence of crisis at the same time prepared to handle them when
they occur. It compasses the first 3Ps of the Crisis Management Model.
1. Prediction – the stage where the anticipating future crisis
occurrences through the following:
o Update Intelligence - involves’ the collection of information from
variety of sources as basis of actions and plan; those that are
related to crisis management contingency planning.
o Events - are those incidents that are already passed which can
facilitate analysis necessary for identification of probable threat
groups, targets and necessary for advance planning.
o Threat Analysis of Threat Groups
a. Political Terrorist — ideologically inspire individuals who
grouped together for a common purpose usually for change of
government or political power. Ex. CPP/ NPA, SPT's, etc.
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b. Criminals - these are people who commit terrorist acts for

personal rather than ideological gains. Some of the terrorist
acts such as kidnapping are well planned, other are not
planned, but happens as a result of the fast response time by
LEAs to an ongoing crime. For instance, a number of bank
robberies have evolved into unplanned hostage situation when
policemen arrive in response to an alarm robbery is in
progress.
c. Mentally Deranged Individuals - people commit terroristic
acts during 4 period of psychiatric disturbance. This type is the
most difficult terrorist to deal with. Many of them are impulsive
and unpredictable.
2. PREVENTION - This pro-active phase considers counter measures as part
of the total system of operation. Such counter measures involve the
following;
✓ Operation Security — a counterintelligence measure where all
aspect of awareness and training must be considered to prevent
threat groups from learning the units plans methods of operations.
It also refers to measures taken in conducting operations or
activities in secure and effective manner.
✓ Personal Security - it considers that all personnel are susceptible
to terrorist attack so the is a need for securing them. All security
measures designed to prevent unsuitable individuals of
DOUGHTFUL LOYALTY from gaining access to classified matters
or security facilities.
✓ Physical Security - encompasses protection of info, material and
people including perimeter installation. A system of barrier placed
between the potential intruder and the material to be protected.
3. PREPARATION - this pro-active phase involves organizing training and
equipment personnel of the organization. In general, military commanders
and officers of the PNP must organize, train and equip special reaction,
security and negotiation elements and provide their immediate activation
when the need arises.
o NCCM - National Committee on Crisis Management - serves as
the umbrella Organization for crisis management. The primary
concern is the formulation of crisis management policies, integration
of mil/pol to public efforts towards the prevention and control of
crisis.
o The On-site Command Post (OSCP) shall establish with in the
crisis incident site. It is a post or unit within a probable target to be
headed by an on-scene commander (OSC) whose responsibility is
to take charge of every happening of a crisis incident scene.
Composition of the OSCP

• TACTICAL UNIT - composed of regular military or police placed under the
operational command of the OSC.
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1. Reaction Element - Special action unit which are specially organized,

equipped and deployed in the region to hold special operation in cases of
crisis incident.
2. Security Element - military or police personnel task to protect the area of
perimeter security to prevent occurrence of unnecessary incidents.
• SUPPORT UNIT - It is a unit that provides the necessary administrative,
operational and logistic support of the OSC.
1. Intelligence Team — responsible for the collection and processing of all
information needed by the OSC.
2. Communication Team —responsible for insuring effective communication
between OSC and other units or sub-units.
3. Logistic Team - responsible for ensuring mess services, supplies (clothing,
equipment, transportation) and other logistic services.
4. Medical Team - responsible for all medical supplies and services in cases
of crisis incidents.
5. Fire Fighting Team — responsible for all services related to extinguishing
fires intentionally set by perpetrators or during the result of operations.
6. Administrative Personnel - personnel assigned to OSC to keep written
records of events, coming or outgoing communications.
7. Legal/Investigation Team - services of investigation, preservation of
evidence, documents and legal advice to the OSC.
• NEGOTIATION UNIT - It is headed by a chief negotiator and composed of two
or more members. Their primary concern is to serve first life, prevent
destruction and pave the way for a peaceful resolution of crisis situations.
B. THE REACTIVE PHASE

- When a crisis occurs despite the pro-active effort, the organization
concerned must prepare to perform the crisis management in accordance
with their plan.
PERFORMANCE - It is the action stage, the implementation of the crisis

management contingency plan.
1. The Initial Action - the stage taken by the Initial Action Unit, which is
composed of police and military personnel immediately organized into team
to initially respond to take incident and begin the containment effort. They
are responsible for:
✓ Maintain control of the situation
✓ Report the matter to the RCAG through channels
✓ Secure the scene by establishing perimeter security
✓ Evacuate by standers if possible
✓ Prevent7 escape of perpetrator
✓ Take maximum control
2. The Action Stage - The action stage starts as soon as the tactical, support
unit and the negotiation Unit arrived and are deployed. The OSC discusses
the incident with his commander and staff and decides on the plans and
actions to be taken.
o Negotiation — chief negotiator undertakes negotiation as soon as
he has been properly briefed and received appropriate instruction
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from the OSC. He shall keep the OSCP informed of the progress of
negotiations and shall take instructions only from the OSC. No
further negotiation shall be undertaken when the tactical unit
commander initiates tactical operations.
o Tactical Action — the tactical commander makes a complete
estimate of the crisis situation and plans his courses of action upon
arrival at the scene while negotiation is in progress. He shall
maintain and continuous contact with the OSCP. He shall take over
authority on reaction element throughout the tactical operations. He
shall take instructions only from the OSC and coordinate all support
requirements with the OSCP.
3. The Post Action Stage - his stage begins as soon as the perpetrator
surrendered, captured or neutralized. OSC shall ensure that the following
are accomplished:
✓ Protection of the incident scene
✓ Investigation of the incident preservation of evidence
✓ Documentation
✓ SS-witnesses, hostage, perpetrators and other key participants of
the incident.
✓ Recovered, documented, preserve evidence
✓ Pictorials, written reports
✓ Filling and prosecution of cases
✓ Damage Compensation and rehabilitation
- He also initiates recommendation for compensation and provides
assistance to civilians killed and injured during tactical operations. He
initiates recommendation for the rehabilitation, construction of
damage or essential infrastructures. Training and retraining of unit
personnel special units and negotiators shall continue with their
training to improve their proficiency and enhance their readiness.
10) TERRORISM
➢ Terrorism is punishable under Republic Act 9372 - Human Security Act of
2007. Under this law: Any person who commits an act punishable under any
of the following provisions of the Revised Penal Code:
- Article 122 (Piracy in General and Mutiny in the High Seas or in the
Philippine Waters);
- Article 134 (Rebellion or Insurrection);
- Article 134-a (Coup de e Etat), including acts committed by private
persons;
- Article 248 (Murder);
- Article 267 (Kidnapping and Serious Illegal Detention);
- Article 324 (Crimes Involving Destruction, or under
- Presidential Decree No. 1613 (The Law on Arson); Republic Act No.
6969(Toxic Substances and Hazardous and Nuclear Waste Control
Act of 1990);
- Republic Act No. 5207, (Atomic Energy Regulatory and Liability Act of
1968);
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- Republic Act No. 6235 (Anti-Hijacking Law); © Presidential Decree

No. 532 (Anti-piracy and Anti-highway Robbery Law of 1974); and,
- Presidential Decree No. 1866, as amended (Decree Codifying the
Laws on Illegal and Unlawful Possession, Manufacture, Dealing in,
Acquisition or Disposition of Firearms, Ammunitions or Explosives)
thereby sowing and creating a condition of widespread and_
extraordinary fear and panic among the populace, in order to coerce
the government to give in to an unlawful demand shall be guilty of the
crime of terrorism and shall suffer the penalty of forty (40) years of
imprisonment, without the benefit of parole as provided for under Act
No. 4103, otherwise known as the Indeterminate Sentence Law, as
amended.
➢ Terrorism is a threat or actual use of force or violence for political or other

purpose, to foster fear, insecurity, distrust, and unrest among a specific
group or the general population. It is “Violence for effect... not primarily, and
sometimes not all for the physical effect on the actual target, but rather for its
dramatic impact on an audience” ; “The calculated use of violence or the
threat of violence attain goals, often political or ideological in nature”; “ Is
violent criminal behavior designed to generate fear in the community, or a
substantial segment of it, for political purposes.
Classification of Terrorists
1. National Terrorist - A terrorist who operates and aspires to political power
primarily within a single nation.
2. Transnational Terrorist - This is a terrorist who operates across national
borders, whose actions and political aspirations may affect individual of more
than one nationality.
3. International Terrorists - A terrorists who is controlled by, and whose
actions represent the national interest of a sovereign state.
Types of Terrorists
1. State-Sponsored Terrorist — which consists of terrorist acts on a state or
government by a state or government. Example: Al-Qaeda, PLO, ISIS
2. Dissent Terrorist — terrorist groups which have rebelled against their
government. Example: ISIS, IRA, CPP-NPA
3. Terrorists (LEFT and RIGHT) - terrorist groups rooted in political ideology.
Example: Irish Republican Army (IRA), CPP-NPA, U.S. Patriot Movement.
4. Religious Terrorism - terrorist groups which are extremely religiously
motivated. Example: AlQaeda, ISIS, Jemaah Islamiya (JI)
5. CRIMINAL TERRORISM - terrorist acts used to aid in crime and criminal
profit. Example: Abu Sayyaf Group (ASG), Abu Nidal Organization
6. Lone-Wolf Terrorist - someone who prepares and commits violent acts
alone, outside of any command structure and without material assistance
from any group.
Profile
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a) The Lone-Wolf acts to advance in ideological or philosophical belief of an

extreme group, they act on their own, without any command or direction.
b) The Lone-Wolf’s tactics and methods are conceived and directed solely of
their own.
c) The Lone-Wolf never has personal contact with the group they identify with.
Ideology
a) Anarchist, conservatives, right-wing, and nationalist.
b) Special interest: religion, environment, anti-abortion, and political.
11) MOTIVATION AND GROUP CLASSIFICATION

What causes a rational thinking human being to terrorize society? Assuming
that the terrorists think rationally (and most of them possess a high degree of
rationality), we must look to the terrorist’s motives if we are to understand them,
to think like them, and to ultimately them.
1. Minority Nationalistic Groups - groups fighting the majority of the
community where the support base will depend on one ethnic, religion,
linguistic minorities at odd with the majority community.
2. Marxist Revolutionary Groups - here, the terrorists’ movement is
characterized by its possession of a coherent Marxist ideology and of a
long-term strategy for bringing about the socialistic revolution.
3. Anarchist Group - True Anarchist are difficult to find since true
anarchy brings lawlessness and disorder, which is not a natural state in
which the human race exists.
4. Pathological Groups -problematic individuals who are grouped
together for some terrorist activities for emotional satisfaction.
In hostage taking, hostages are usually separated in safe houses to

prevent communications and escape, planning, and intelligence gathering.
12) TERRORIST TACTICS
A. BOMBING
➢ Delivery to target is done through Vehicle Bombbooby traps with
attached devices, Laid Charges-bomb plates, Projected bombs-
launched from riffles by a mortal device, Postal/mail bombs.
B. ARSON
➢ This is used to destroy or to disrupt public utilities, political HQs and
industrial facilities.
C. HIJACKING
➢ Hijacking and skyjacking are commonly used by terrorists. The hijack
supply, ammunitions, fuel cargoes, and vehicles to provide them to
gain entry toa close military area, skyjacking of commercial aircraft to
gain publicity or to ask demands.
D. ASSASSINATION
➢ The oldest but the commonly used terrorist tactic where targets are
often police or military officials, or political features and they always
claim responsibility of assassination.
E. AMBUSH
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➢ This is a well-planned, well thought-out, properly rehearsed and

precisely executed operation. The terrorist has time on his side and will
spend considerable time preparing for an operation. Terrorist have an
advantage in that they can choose the time and place of operation.
F. KIDNAPPING
➢ Kidnapping for ransoms is the most common form of this tactic. The
victim is normally confined in a Secret hideout and kidnappers make
material demands.
G. HOSTAGE TAKING
➢ The hostage-taker confronts the authorities and openly holds the
victims for ransom. His demands are More than just material in nature.
Political concessions ne the frequency demanded in exchange for the
hostage lives.
H. ROBBERIES/EXTORTIONS
➢ Terrorist operations are expensive. To help finance their activities,
terrorists rob banks and armored vehicles carrying large sums of cash.
Bank robberies are also used as graduation exercises for terrorist
training programs and viewed as a tactical operation. The conduct
reconnaissance, plan escape routes and operates in the high degree of
efficiency and the progressive taxation scheme of the CPAA/NPA is a
form of extortion through coercion or use of force against the victim or
his property.
13) MANAGING HOSTAGE SITUATIONS

HOSTAGE NEGOTIATION
In hostage situation, the general tendency of Hostage Taker is to focus their
attention on prominent personalities to gain much needed leverage in the
negotiation.
Over the past decades, numerous hostage situation took place and the most
widely among them were the incidents committed by Arab Terrorists during the 20"
games in Munich, West Germany in September 1972; the hostage taking by Iranians
of US Embassy personnel in Iran; the hijacking of an Air France flight 139, July 1976
with mostly Israelis as passengers and which craft was brought to Entebbe, Uganda
by the terrorist.
In the local scene, the attempted hijacking of PAL took place in Zamboanga
City by the MNLF rebels where all the passengers were held hostage and the Bank
Robbery in Cubao (BPI). A man deranged and taking hostage of a child in a busy
LRT station in Pasay City. Terrorist like the Abu Sayyaf taking numerous hostages to
obtain money and provide protection for their escapes.
In hostage situation, the authorities are faced with individuals or groups of

individuals with psychological mentality, commitment, behavior stress and behavioral
intolerance of varying degree -aggravated by the unpredictability of human behavior.
In dealing with hostage situations, the priorities are to -

1. Preserve lives
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2. Apprehend the captors, and

3. Recover or protect properties.
According to experts, a hostage taking may last for an hour to more than forty
hours. Hostage takers and hostages and even the negotiators become tired and
stressed out of the long period of crisis intervention. Hostage becomes impatient
waiting for their safe release or rescue. With this, there is a great possibility of the
birth of the Stockholm’s Syndrome. This is characterized by transference of attention
between the captors and captives. The hostage towards his captors may generate
positive feelings.
14) STAGES OF A HOSTAGE SITUATION

1. Alarm Stage - This stage is the most traumatic and dangerous. In the
alarm stage, the emotion of the hostage taker is exceedingly in its highest
peak, his rationalization and proper thinking is low, He may be extremely
aggressive in his reaction to any perceived threat. E.g. escape of hostages,
tactical assault, trickery etc.
2. Crisis Stage - In this stage, when negotiation attempts are being initiated
by the crisis negotiator. Outrageous demands and unpredictable emotion
are marked or commonly noted in the hostage taker. There is still a great
deal of danger since hostage takers try to consolidate their positions.
- To do these, they try to move their hostages to a safer
ground area. On the part of the captive, this is the most
critical because this stage may predict the remainder of the
situation. Chances of survival may be enhanced or reduced
during this stage through the hostage-hostage taker
interaction. At this stage hostages may start to feel three (3)
problems:
✓ Isolation
✓ Claustrophobia
✓ Sense of time
3. Accommodation Stage - This is distinguished by boredom, and with
moments of terror. Though is considered as the longest yet is the most
tranquil. In the crisis stage, and even in the alarm stage, hostages are
considering escape options but in the accommodation stage, their initiative
and planning are narrowed since captors has increased control over them.
The hostages’ sense of life preserving has increased and even tries to obey
the orders. Stockholm’s syndrome will likely to occur between the captors
and the victims. One looks into this phenomenon in the negative that one
must say that cooperation of hostages to the negotiator is constricted.
4. Resolution Stage - This is the stage when the hostage taker is being
stressed out or fatigued of the situation. He is seemingly losing interest of
the situation and lost most of his bargaining points. Tension between the
hostages, hostage taker and the crisis negotiator are notably low. It should
be regarded also that the crisis intervention techniques of the negotiation
team have increased. In this stage, reactions of the hostages are mixed
either blaming their captors or may become hostile and uncooperative to
their rescuers and even accusing them to be responsible for the whole
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situation. They might even appraise their captors for taking care (saving)
their lives though their captors placed them into a hell experience.
15) HOSTAGE TAKER

It is a must that a police officer who first arrived at the scene has the
necessary skill to determine what or personality of the hostage taker is. This
does type | not mean that he must diagnose the perpetrator. In assessing the
situation, one must be able to determine and know the two kinds of behavior:
1. Instrumental behavior - those who are engaging in this kind of behavior
are having goals to obtain or to be fulfilled. Generally, hostage takers of
instrumental behavior are criminal types and intervention usually needs
bargaining. E.g. barricaded criminals, or other organized crimegroups.
2. Expressive behavior - This kind of behavior is characterized by their
attempt to display power. Those who engage in this kind are emotionally
disturbed individuals. E.g. mentally insane, etc.
▪ Mentally Disturbed - This group suffers from different kinds of
psychological maladies. They may or may not in touch with
reality. A mentally disturbed individual may be a loner, act in
accordance with non-existing irresistible force, or on a false
belief or a stimulus.
▪ Psychosis - is a gross and persistent falsification of
conventional reality that leaves the person unable to manage
conventional reality with any degree of effectiveness.
▪ Delusion - is the faulty belief that is motivated primarily by the
individual’s needs and wishes and in fact, has no basis.
▪ Hallucination - is manifested in a visual image that is quite vivid
and real to the individual who experiences it.
▪ Paranoia - is a set of fixed delusional beliefs that are
accompanied by clear and orderly thinking outside the delusion
system. Paranoia manifests itself. A paranoid has been
described as “vigilant suspicious, distrustful, insecure, and
chronically anxious”.
▪ Schizophrenia - is a thinking disorder. Expert says that,
approximately 80 percent of the mentally ill of the population are
schizophrenic. There are subcategories of this kind of mental
disorder, the catatonic state and the hebephrenic state.
Catatonic state is demonstrated by the patient’s rigidly held
position for some interminable period of time, while Hebephrenic
state is when the subject acts childlike and silly.
▪ Neurosis - is suffered by a person if most likely to be observed
in a continuous state of anxiety. Erratic behavior would more
than likely be displayed by reaction to anxiety in the form of ego
defense mechanism such as rationalization, projection or
displacement. The signs and Symptoms are shaking
uncontrollably and depression without explanation.
▪ Manic depressive personality - Depressed individuals are in
an incapacitated mental state. He may frequently know the
hostages and the latter might be the cause of his depression.
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Negative outlook in life, feeling unworthy, slow speech, suicidal

and unpredictable and extremely dangerous are the
characteristics of this type of mentally disturbed. To a one who
is a suicidal type, he might inflict harm or even kill one of the
hostages and the police will be forced to shoot him.
▪ Inadequate personality - This is a type of person that displays
attention-seeking behavior. Hostage taking is his action to prove
himself or his worth. During the commission of the crime, he
tends to delay his actions and be caught in flagrante in order for
him to prove himself (“I’ll show them”). His characteristics are
homicidal, loser complex, maybe fired from many jobs and are in
touch with reality. Though they are emotionally disturbed, yet
they are apologetic to their behavior (“I’m sorry but I have to do
this to prove that I can be a good worker...”).
▪ Anti-social personality - Those who belong to this kind of
personality are repeatedly having conflict with the people around
them and notably having a deviant behavior from groups, social
values and or individuals. They defend their face from
embarrassment by blaming others in the form or rationalization.
Antisocial, when takes hostages, are generally engages in
expressive acts and they are likely to dehumanize the hostages,
and this is an indication that they are dangerous individuals.
▪ The estranged person - Domestic problem is the main cause
why an estranged individual takes hostages. The hostages are
commonly known to him and mostly are his family members.
The hostage taker is experiencing from relationship breakdown
in his or her interpersonal relationships and hostage taking is
employed to compel the relationship to be maintained. The
hostage taker at his point is afraid of losing the significant
others. In order to carry out hostage-taking, alcohol and
prohibited drugs are used to have the necessary courage.
▪ Terrorists - Terrorism throughout the world has been alarming
for the past decades and even at present. Countries around the
world have been facing terrorism problems either local or
international groups. In the United States alone, it has been
reported that there are local terrorists sowing fear, insecurity and
unrest amongst the people. They create chaos through
assassinations, bombing, argo, and other forms of malicious
destruction of properties.
▪ Barricaded Criminals - This type might be robbers cornered by
the police while in the act of committing their crime (i.e bank
robbers), either barricaded in a building, roadblock or on
getaway cars. Hostages may be employees, bystanders or both
caught in the process of escaping. The hostage taking is a
spontaneous reaction of the criminal when cornered. Some law
enforcement officers consider barricaded criminals as attention
seekers, but others describe then in the contrary as they avoid
being identified. Their primary aim is to escape safely taking with
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them the hostages as shield to prevent being shot by the police.

Usually barricaded criminals are engaged in instrumental acts
as they demand for material things such as getaway cars,
firearms, money, and safe escape.
▪ Prisoners - While most prisoners spend most of their time
inside the correctional institutions, some are concentrated on
penal colonies under tight guards and to those who are
completely secluded inside their prison cells, they are haunted
by boredom, get tired and hostile. These may be due to the strict
implementation of house rules, favoritism and poor prison
conditions (Lack of recreational activities and inadequate
facilities, poor structuring etc.).
16) NEGOTIATION MODELS

o Bargaining Negotiation Approach - In this approach, negotiation is viewed
in terms of an exchange or distribution of resources.
o Expressive Negotiation Approach - This approach is mainly focused on the
emotional state of the hostage taker as a powerful tool to resolving of crisis
situation. Expressive negotiation approach came to existence with the use
of psychology, human relations theory and research. Both assume that the
nature and quality of interpersonal relationships play a large role in
resolving a conflict.
o Communication-based negotiation approach - This approach is founded
on an interactive assessment if the crisis [hostage] situation as it unfolds
and is created through the interaction of the negotiator and the perpetrator.
Therefore, communication-based approach is an interactive process
wherein negotiators and hostage takers react to each message behavior.
17) PRISON HOSTAGE SITUATION

➢ Experience shows, time factor worked both for and against authorities.
Allowing the passage of time generally permits the leader to exploit his
position by consolidating his leadership. Thus, able to create a
formidable bastion which cannot be neutralized without loss of life.
Whereas, action taken immediately, before the prisoners can organize
and arm themselves may well be less costly.
➢ Demand for freedom, normally is non-negotiable. But if, circumstance
show, it is the only to save the hostages; it may be granted with the
permission of the highest authority and must be followed with hot
pursuit ter.
➢ Demand for Superintendent, Warden, or even Governor, or highest
authority, as negotiator does not give incentives to surrender. In some
cases, hostage taker is bloated and demands for more. Perhaps,
isolation and reason would be the most effective way to handle this
situation.
18) TECHNIQUE OF KIDNAP/HOSTAGE SUCCESS

Hall mark of Success: Blending of tactical response and behavior know-
how (calls for, development of tactics, using blocking and containment forces;
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expertise in use of weapons; deployment of instant communications; use of

behavioral experts — cool headed and with professional leadership.
This calls for training programs for the Police in these vital areas;
a. Considerable Screening - All members of the team
(Negotiators, Admin. Aide, Operational Aide, Sharpshooters,
Patrol Personnel, etc.) in their respective line of activities, once
chosen, they should be given the free reign in handling and
evaluating areas and incident - for the should a seniors officer
continue to counter manned orders in the site, the results will
certainly be bundled.
b. Psychology - Analyze various situations and develop strategies
using psychological technique rather than force to obtain release
of hostages. Point of training is to provide a basis for
understanding and anticipating hostage taker’s moves, as well
as possible reactions to police tactics.
c. Physical Training - Physical conditioning, weapon disarming
method, and unarmed self-defense are vital to control the
demands of the situations.
d. Firearms - Pistols and revolvers, sniper scope rifle, assault
weapons such as shotgun (double barrel) and sub-machine gun,
tear gas with bullet proof vests.
e. Electronic Equipment - Familiarization on the use of wireless
transmitter, electric taking devices covert surveillance devices,
etc.
f. Emergency rescue Ambulance - How to use or operate
auxiliary equipment; public address system; firefighting unit; first
gear ambulance may be used as a safe base to start
negotiation.
g. Vehicle Operation - Escape vehicle and chase vehicle, with
attention placed on street and routes from various location in the
site of incidents to destination (airport or other terminal) for
tactical advantage.
h. Liaison - Jurisdiction matters cleared, cooperation with other
agencies on possible routes must be sought.
Upon arrival at the scene of incident, the negotiator should execute/act

immediately the following;
a. Containment - controlling situation and area by people involved.
Other people/bystanders must be obliged to get out from the
area as t they may add more problems.
b. Establish contact - immediately after positioning at advantage
position, communicate with the leader, he may introduce himself
by saying “My name is_____________, l am a____________, I
am willing to help”. Never tell him your rank; the hostage taker
might think you can give. So that he may ask for impossible
demand. Neither should the negotiator give the feeling that he
has the authority decide. Do not bluff.
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c. Time Lengthening - Give more time to police to organize and

coordinate plan of action.
d. Telephone Negotiation Technique - be the caller, plan and
prepare, be ready with graceful exit and discipline yourself to
listen. Where a demand is impossible to get, stall time by
explaining that you need to talk other people. Hold on to your
concession. But when concession is granted try to get something
in return. Say a grant of food; get the release of sick or old
people in exchange. Then there is no demand at all.
e. Need for Face-to-face Conversation - don't be ever anxious
prepare for proper psychological, physical and emotional
confrontation. Wear body armor and possess a weapon, but if
ask to come without a weapon, ensure that they too should lay
down arms before entering. When entering, see to it that you are
protected with tactical backup and consider that hostage taker
might have body trap in some portions of the area, door or
window of the building. Coming on face-to-face situation,
maintain proper distance, observe their movement, elicit a
promise or motivate them to surrender. In retreating, or in getting
out of the room, face hostage takers slowly back out of the door
with good cover or tactical back up.
f. Surrender Approach — start with a position approach, act as if
hostage taker will surrender. Do not talk too much. Gradually ask
him to surrender. Reassurance is the wisest thing to do. Talk
details of surrender process and explain why now is better than
later.
Advantages of Telephone Conversation

1. Easier to say decline of demands.
2. Easier to conclude the conversation
3. Conversation is quicker
4. Important items are more easily communicated
5. Caller has the advantage
➢ Telephone conversation; however, are impersonal where the negotiator is
unable to see the hostage taker, the hostages, reactions and conditions.
Weapons and ammunitions are non-negotiable.
Hostage Taker and Negotiator Relationship
1. Trust and Rapport - while trust must be there, beware of it.
2. Deceit — tell lies but don’t be caught.
➢ Demands of Hostage answer: Money, Escapes, Vehicles
Rules of Providing Answer
1. Delay, impress hostage taker even’ simple demand is hard to get; that you
need to talk with commander or other people, etc.
2. Get something in return for every concession granted, like aged, sick and
young hostages.
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3. Don’t give concession at once, subject to interpretation that you could get
easily.
Face-to-Face Negotiation
1. Don’t be overanxious.
2. Wear body armor.
3. Have tactical back-up (sniper).
4. Traps at doors or windows.
5. Entering without gun being pointed at you.
6. Face-to-face mountain distance;
a. Person distance — 1 to 3 feet.
b. Intimate distance — about 6 inches
7. Withdrawing facing hostage taker slowly backing out of the door.
Effects of Time
1. Hostage taker will wear down emotionally, psychologically.
2. Hostage taker has more demand for food and water.
3. Anxiety reduce, hostage taker given chance to organize his true self.
4. Hostage takers rationality increase.
5. Hostage taker and negotiator relationships improves.
6. Hostage takers demand may be reduced.
7. Stockholm syndrome may be developed.
19) PLANNING AND PREPARATION FOR HOSTAGE SITUATION

In a relatively small town or community where it could merely depend on a
small contingent of police force, it must for purpose of preparation designate a
crisis management task group.
Designation of Duties
1. Field Commander
✓ Takes charge of all forces
✓ Provide containment of hostage taker – scale of place, evaluate
civilians
✓ Establish contact with hostage taker
✓ Consult with command officer
2. Operation Aide
✓ Report to yield negotiator
✓ Set up temporary headquarters
✓ Coordinate assignment of off-duty personnel arriving at the scene
✓ Assisting units as necessary
✓ Relay orders/information to personnel; receive requests
3. Administrative Aide
✓ Report of filed negotiator
✓ Supervise temporary headquarters
✓ Maintains records of operations and units at scene
4. Patrol Personnel
✓ Contain hostage takers (perpetrators) and help evacuate civilians out
scene
5. Assault Team (with one leader)
✓ Sharpshooter with high powered arms on flack vests, (protective
armor)
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✓ Chemical agent
✓ Need facilities (two-way radio for each of the above and what to do)
which is set in single frequency (strict discipline needed) and
communication to originate from operational aide, form or orders,
request or updating information.
What is Important
1. Dry Run - one way to ensure hostage negotiating unit can establish control
over a situation.
2. Considerable Screening — members; one chosen; the team members
should be given free rein in handling and evaluating of any of incident.; for
should a senior officer begins countermanding orders in the site, the results
will certainly be a both bundled.
3. Patrol units, assault units, etc., should know exactly whose command they
are under.
4. Rescue efforts must run strictly from the top down.
Implementation of Methods to Deal with Hostage Situation

Hostage situations of the revised PNP Operational Procedures provide the
following;
a. A crisis management task group shall be activated immediately.
b. Incident scene shall be secured and isolated.
c. Unauthorized person/s shall not be allowed for entry and exit to the
incident scene.
d. Witness/es name/s addresses and_ other information shall be
recorded. Witness shall be directed to a safe location.
The Ground Commander - the only person responsible for the command
being the ground commander in the era.
The Negotiator/s — they shall be designated by the Ground Commander. No
one shall be allowed to talk to the hostage taker without clearance from the
negotiating panel or ground commander.
Assault Team — an assault team shall be alerted for deployment in case the
negotiation fails. Members of the assault team shall wear authorized and
easily recognizable uniform during the conduct of the operations. Bonnets
shall not be used.
Assault Plan — the assault shall be planned to ensure minimal threat to life.
Support Personnel — an ambulance with medical crew and a fire truck shall
be detailed at the incident.
Coordination-proper coordination with all participating elements shall be
done to consolidate efforts in solving crisis.
Safety of Hostage/s — in negotiating for the release of a hostage, the safety
of the hostage shall always be paramount.
20) NEGOTIATION PROCESS

• Stabilize and contain the situation.
• Select the right time to contact the hostage taker. Take time when
negotiating.
• Allow hostage take to speak.
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• Don't offer the hostage to offer anything. What he will ask will be part of
the negotiation.
• Avoid directing frequent attention to the victim when talking to the
hostage taker.
• Do not call them hostages. Be as honest as possible; avoid tricks, be
sincere.
• Never dismiss any request from the hostage taker as trivial or
unimportant.
• Never say “NO.” Soften the demands. Never set deadline. Try not to
accept a deadline.
• Do not make alternate suggestions not agreed upon in the negotiation.
• Do not introduce outsiders (non-law enforcement officers) into the
negotiation process, unless their presence is extremely necessary; do
not exchange a negotiator for a hostage.
• Avoid negotiating face-to-face.
• Law enforcement officers without proper training shall not be allowed to
participate in hostage negotiations.

Let’s Check
unit.
Activity1. Identification. In the space provided, write the term/s being

asked in the following statements: (one point each)
_______________1. came from the Greek word crisis, which means separate.
_______________2. Refers to the feeling that arises when a person faces
unpleasant situation such as frustrations and conflicts.
_______________3. Failure of the person to assume one’s sex role.
_______________4. These are people who commits terrorist acts.
_______________5. People commit terroristic acts during a period of psychiatric
disturbances.
_______________6. Responsible for the collection and processing of all information
needed by OSC.
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_______________7. Atomic Energy Regulatory and Liability Act of 1968

_______________8. Human Security Act of 2007.
_______________9. Faulty belief that is motivated primarily by the individual’s
needs and wishes and in fact, has no basis.
_______________10. In this approach, negotiation is viewed in terms of an
exchange of distribution of resources.
Let’s Analyze
Let us try the following activities to knowhow deep your understanding
Activity 1. How do you differentiate the proactive phase and the reactive in
a crisis situation? (10 points)
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In a Nutshell
Q&A List
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1.
2.
3.
4.
5.
KEYWORDS INDEX
Crises Terrorists Republic Act Natural

No. 9372 Crises
Republic Act Tactical Terrorism negotiation
No. 6235 action
Psychosis Intelligence Prediction Prevention
team
Preparation Performance Criminals Political

Terrorists
Big Picture D
expected to
a. Discuss the principles and management characteristics of Incident Command System
b. Identify the procedures in applying the Incident Command System.
a. Big Picture in Focus: ULOa. To have a deep knowledge on the Incident

Command System, its procedures on Transfer of Command,
Demobilization and Close-out.
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Metalanguage
The following are terms to be remembered as we go through in studying
this unit. Please refer to these definitions as supplement in case you will
encounter difficulty in understanding the basic concepts of this unit.
1. Hazard - a dangerous phenomenon, substance, human activity or condition that may
cause loss of life, injury or other health impacts, property damage, loss of livelihood or
services, social and economic disruption, or environmental damage; any potential
threat to public Safety and/or public health; any phenomenon which has the potential
to cause disruption or damage to people, their property, their services or their
environment, i.e., their communities.
2. Incident - an occurrence or event, natural or human. induced, that requires an
emergency response to protect life or property. Incidents can, for example, include
major disasters, emergencies, terrorist attacks, terrorist threats, civil unrest, floods,
hazardous materials spills nuclear accidents, aircraft accidents, earthquakes tropical
storms, tsunamis, war-related disasters, public health and medical emergencies, and
other occurrences requiring an emergency response.
Essential Knowledge
This portion will cover the basic glance about Incident command system. Also
the extra topics which concerns about incident command system in addition to
the special operational procedure on transfer of command.
1) TERMS TO PONDER
• Agency Administrator/Executive or Responsible Official - the official responsible
for administering icy for an agency or jurisdiction, having full authority i making
decisions, and providing direction to the management organization for an incident; he
is normally the Chairperson of the DRRMC or Agency Head or their duly authorized
representative.
• All-Hazards — any incident, natural or human. induced, that warrants action to
protect life, property, environment, public health, or safety and minimize disruptions
of government, social or economic activities,
• Area Command - an organization established to oversee the management of
multiple incidents that are each being handled by a separate Incident Command
System organization or of a very large or evolving incident that has multiple Incident
Management Teams engaged. An agency administrator/executive or other public
official with jurisdictional responsibility for the incident usually makes the decision to
establish an Area Command. It is activated only if necessary, depending on the
complexity of the incident and incident management span-of control considerations.
• Assistant - title for subordinates of principal Command Staff positions. The title
indicates a level of technical capability, qualifications, and responsibility subordinate
to the primary positions. Assistants may also be assigned to unit leaders.
• Base - the location at which primary Logistics functions for an incident are
coordinated and administered. There is only one Base per incident. (Incident name or
other designator will be added to the term Base). The Incident Command Post may
be co-located with the Base.
• Branch - the organizational level having functional or geographical responsibility for
major aspects of incident operations. A branch is organizationally situated between
the section and division or group in the Operations Section, and between the section
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and units in the Logistics Section. Branches are identified by the use of Roman
numerals or by functional area.
• Camp - a geographical site within the general incident area (separate from the
Incident Base) that is equipped and staffed to provide sleeping, food, water, and
sanitary services to incident personnel
• Chain of Command - series of command, control, executive or management
positions in hierarchical order of authority; an orderly line of authority within the ranks
of the incident management organization
• Chief - The Incident Command System title for individuals responsible for
management of functional Sections: Operations, Planning, Logistics, Finance/
Administration and Intelligence/Investigations (if established as a separate Section)
• Command - the act of directing, ordering, or controlling by virtue of explicit statutory,
regulatory, or delegated authority
• Command Staff - Consists of Public Information Officer, Safety Officer, Liaison
Officer, and other positions as required, who report directly to the Incident
Commander. They may have assistant or assistants, as needed
• Common Terminology - normally used words and phrases-avoids the use of
different words/phrases for Same concepts, consistency
• Community - consists of people, property, services, livelihoods and environment; a
legally constituted administrative local government unit of a country, e.g. municipality
or district.
• Coordination - bringing together the organizations and elements to ensure effective
counter disaster response. It is primarily concerned with the systematic acquisition
and application of resources (organization, manpower and equipment) in accordance
with the requirements imposed by the threat of impact of disaster.
• Delegation of Authority — a statement or instruction given to the Incident
Commander by the Agency Executive or Responsible Official delegating authority
and assigning responsibility. The Delegation of Authority can include objectives,
priorities, expectations, constraints and other considerations or guidelines as
needed.
• Deputy - a fully qualified individual who, in the absence of the superior, can be
delegated the authority to manage a functional operation or perform a specific task.
In Some cases, a deputy can act as relief for superior, and therefore must be fully
qualified in the position. Deputies generally can be assigned to the Incident
Commander, General Staff and Branch Directors.
• Disaster - 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; an actual threat to public health and safety where the local
government and the emergency services are unable to meet the immediate needs of
the community; an event in which the local emergency management measures are
insufficient to cope with a hazard, whether due to a lack of time, capacity or
resources, resulting in unacceptable levels of damage or number of casualties.
• Disaster Response - the provision of emergency services and public assistance
during or immediately after a disaster in order to save lives, reduce health impacts,
ensure public safety and meet the basic subsistence needs of the people affected.
Disaster response is predominantly focused on immediate and short-term needs and
is sometimes called “disaster relief’.
• Emergency - unforeseen or sudden _ occurrence, especially danger, demanding
immediate action; a actual threat to an individual’s life or to public health and safety
which needs immediate response
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• Emergency Management - the organization and management of resources and

responsibilities for addressing all aspects of emergencies, in particular,
preparedness, response and initial recovery steps; a management process that is
applied to deal with the actual or implied effects of hazards
• Emergency Operations Center - the physical location at which the coordination of
information and resources to support incident management (on-scene operations)
activities normally takes place
• Finance/Administration Section - the ICS functional section responsible for
approving and tracking all expenditures and spending related to the incident.
• Function - refers to the five major activities in the Incident Command System:
Command, Operations, Planning, Logistics, and Finance/Administration. The term
function is also used when describing the activity involved (e.g., the planning
function). A sixth function, Intelligence/Investigations, may be established, if required,
to meet incident management need.
• General Staff - a group of incident management personnel organized according to
function and reporting to the Incident Commander. The General Staff normally
consists of the Operations Section Chief, Planning Section Chief, Logistics Section
Chief, and Finance /Administrative Section Chief. An Intelligence/ Investigations
Chief may be established, if required, to meet incident management needs.
• Hazard - a dangerous phenomenon, substance, human activity or condition that may
cause loss of life, injury or other health impacts, property damage, loss of livelihood
or services, social and economic disruption, or environmental damage; any potential
threat to public Safety and/or public health; any phenomenon which has the potential
to cause disruption or damage to people, their property, their services or their
environment, i.e., their communities. The four classes of hazards are natural,
technological, biological and societal hazards,
• Incident - an occurrence or event, natural or human. induced, that requires an
emergency response to protect life or property. Incidents can, for example, include
major disasters, emergencies, terrorist attacks, terrorist threats, civil unrest, floods,
hazardous materials spills nuclear accidents, aircraft accidents, earthquakes tropical
storms, tsunamis, war-related disasters, public health and medical emergencies, and
other occurrences requiring an emergency response.
• Incident Action Plan (IAP) - an oral or written plan containing general objective
reflecting the overall] strategy for managing an incident. It may include the
identification of operational resources and assignments, It may also include
attachments that provide direction and important information for management of the
incident during one or more operational periods.
• Incident Command .- responsible for overall management of the incident and
consists of the Incident Commander, either single or unified command, and any
assigned supporting staff
• Incident Commander (IC) - the individual responsible for all incident activities,
including the development of strategies and tactics and the ordering and the release
of resources. The IC has overall authority and responsibility for conducting incident
operations and is responsible for the management of all incident operations at the
incident site.
• Incident Command Post (ICP) - the field location where the primary functions are
performed. The ICP may be co-located with the incident base or other incident
facilities
• Incident Command System (ICS) - is a standardized, on-scene, all-hazard incident
management concept, allows its users to adopt an integrated organizational structure
to match the complexities and demands of single or multiple incidents without being
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hindered by jurisdictional boundaries. ICS is non-permanent organization and is

activated only in response to disasters or emergencies.
• ICS National Cadre - group of individuals who successfully underwent the National
Training of Trainers on Incident Command System, didactic and practicum, covering
the six (6) ICS courses conducted by the US Department of Agriculture — Forest
Service in the Philippines from March, 2010 to July, 2011, under the ASEAN — US
Cooperation on Disaster Management, ICS Capability Building Program, Phase 2.
• Incident Management Team (IMT) - an Incident Commander and the appropriate
Command and General Staff personnel assigned to the incident. IMTs are generally
grouped in five types. Types I and II are National Teams, Type III are Regional
Teams, Type IV are discipline or large jurisdiction specific, while Type V are ad-hoc
incident command organizations typically used by smaller jurisdictions.
• The ICS National Cadre referred to above shall be initially constituted as a National
IMT of the NDRRMC. IMTs shall be organized as one of the response teams of
DRRMCs and other agencies concerned that can be readily mobilized to assist in
affected areas.
• Incident Objectives - statements of guidance and direction needed to select
appropriate strategy(ies) and the tactical direction of resources. Incident objectives
are based on realistic expectations of what can be accomplished when all allocated
resources have been effectively deployed. Incident objectives must _ be achievable
and measurable, yet flexible enough to allow Strategic and tactical alternatives.
• Interoperability -allows emergency management response personnel and their
affiliated organizations to communicate within and across agencies and Jurisdictions
via voice, data, or video on-demand, in real time, when needed and when
authorized.
• Jurisdiction —a range or sphere of authority. Public agencies have jurisdiction at an
incident related to their legal responsibilities and authority. Jurisdictional authority at
an incident can be political or geographical] (e.g. town, city) or functional (e.g. law
enforcement, public health).
• Liaison Officer - a member of the Command Staff responsible for coordinating with
representatives from cooperating and assisting agencies or organizations.
• Logistics Section - the section responsible for providing facilities, services, and
material support for the incident.
• Preparedness - measures taken to strengthen the capacity of the emergency
services to respond in an emergency
• Tactics - refers to those activities, resources and maneuvers that are directly applied
to achieve goals; deploying and directing resources on an incident to accomplish the
objectives designated by the strategy.
• Unified Command (UC) - an Incident Command System management option that
can be used when more than one agency has incident jurisdiction or when incidents
cross political boundaries/ jurisdictions. Agencies work together through the
designated members of the UC, often the senior person from agencies and/or
disciplines participating in the UC, to establish a common set of objectives and
strategies and a single Incident Action Plan.
• Unity of Command - the concept by which each person within an organization
reports to one and only one designated person. The purpose of unity of command is
to ensure unity of effort under one responsible commander for every objective;
principle of management stating that each individual involved in incident operations
will be assigned to only one supervisor.
2) BASIC CONCEPTS AND PRINCIPLES ON ICS
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To ensure the standard use and application of ICS, the following basic concepts and
principles for onscreen disaster operations are hereby adopted:
Incident Command System (ICS) is standardized, on scene, all-hazard incident

management concept; allows its users to adopt an integrated organizational structure to
match the complexities and demands of single or multiple incidents without being hindered
by jurisdictional boundaries. ICS is a non-permanent organization and is activated only in
response to disasters or emergencies.
Incidents/Events Managed by ICS

• Disasters caused by natural hazards such as hoons, floods, earthquakes, volcanic
eruptions and tsunamis.
• Human-induced crisis such as terrorism, hostage taking, armed conflict situations
and bombing incidents.
• Accidents such as fires, hazardous materials incidents, traffic accidents.
• Human and animal disease outbreaks.
• Planned events such as fiestas, parades, sports events, conferences, concerts.
Principles and Features of ICS

FUNCTIONS DESCRIPTION
• Command ✓ Overall responsibility
• Operations ✓ Direct tactical actions
• Planning ✓ Collect data, prepare action plan
• Logistics ✓ Provide logistic support
• Finance/Administration ✓ Procedurw resources, maintain
accountability
ICS Span of Control for any Supervisor

• Between 3 to 7 subordinates
• Ideally does not exceed 5 subordinates
The Responsible Official and the Incident Commander

• Responsible Official
✓ Y Chairperson of the NDRRMC (or Head Agency/ Organization / Office)
✓ Provides overall policy direction and guidance
✓ Serves as link to other higher authorities
✓ Delegates authority to Incident Commander to manage the incident.
• Incident Commander
✓ Y Receives authority from the RO
✓ Establishes objectives based on the overall guidance
✓ Establishes the Incident Management Team and leads the tactical/on-scene
response operations
✓ Ensures incident safety
✓ Maintains liaison with participating response group
Coordination vs Command and Control

COORDINATION COMMAND AND CONTROL
The RO and the principals from other The IC undertakes the following:
agencies undertake coordination through: ✓ Commanding responders for on-
✓ Making policy decisions scene operations
✓ Establishing priorities ✓ Controlling and managing the
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✓ Resolving critical resource issues resources deployed tactically on the

✓ Mobilizing tracking resources ground
✓ Collecting, analyzing, and ✓ Reporting progress and updates on
disseminating situation the operations to the RO
report/information
o Emergency Operation Center
✓ Facility that serves as repository of information and the main hub for
inter-agency coordination
✓ Links coordination to command control
3) THE TWELVE (12) MANAGEMENT CHARACTERISTICS OF ICS

ICS is based on twelve (12) proven management characteristics, each of which contributes
to the strength and efficiency of the overall system. These are as follows:
A. Common Terminology
The use of common terminology in ICS will allow diverse incident
management and support organizations to work together across a wide
variety of incident management functions and hazard scenarios. This
common terminology applies to the following:
• Organizational Function - Major functions and functional units with
incident management responsibilities are named and defined.
Terminology for the following organizational elements is standard and
consistent, namely, Command, Planning, Operations, Logistics and
Administration and Finance.
• Resource Descriptions - Major resources—including personnel,
facilities, and major equipment and supply items—that support incident
management activities are given common names and are “typed” with
respect to their capabilities as follows: “Assigned”, “Available” and “Out-
of-Service”. This is to help avoid confusion and to enhance
interoperability.
• Incident Facilities - Common terminology is used to designate the
facilities established in the vicinity of the incident area that will be used
during the course of the incident.
B. Modular Organization
The ICS organizational structure develops in a modular fashion based on the
size and complexity of the incident, as well as the specifics of the hazard
environment created by the incident. Responsibility for the establishment and
expansion of the ICS modular organization ultimately rests with Incident
Command, which bases the ICS organization on the requirements of the
situation.
C. Management by Objectives
Management by objectives is communicated throughout the entire ICS
organization and includes:
✓ Knowing agency policy and direction.
✓ Establishing incident objectives.
✓ Developing strategies based on incident objectives,
✓ Establishing specific, measurable tactics or tasks for various incident
management functional activities, and directing efforts to accomplish
them, in support of defined strategies. e. Documenting results to measure
performance and facilitate corrective actions.
D. Incident Action Plan
Centralized coordinated incident action planning should guide all response
activities. An Incident Action Plan (IAP) provides a concise, coherent means
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of capturing and communicating the overall incident priorities, objectives,

strategies, and tactics in the context of both operational and support
activities.
E. Span of Control
Manageable span of control is key to effective and efficient incident
management. Supervisors must be able to adequately supervise and control
their subordinates, as well as communicate with and manage all resources
under their supervision. f. Incident Facilities and Location Various types of
operational support facilities should be established in the vicinity of an
incident, depending on its size and complexity, to accomplish a variety of
purposes. The IC will direct the identification and location of facilities based
on the requirements of the situation. ICS facilities should include Incident
Command Posts, Bases, Camps, Staging Areas, mass casualty triage areas,
point of distribution sites, and others as required.
F. Resource Management
Maintaining an accurate and up-to-date picture of resource utilization is a
critical component of incident management and emergency response.
Resources to be identified include personnel, teams, equipment, supplies,
and facilities available or potentially available for assignment or allocation.
G. Integrated Communications
Incident communications should be developed through the use of a common
Communications plan to ensure interoperability and connectivity between and
among operational and support units of the various agencies involved.
Preparedness planning should therefore endeavor to address the equipment,
systems, and protocols necessary to achieve integrated voice and data
communications.
H. Establishment and Transfer of Command
The command function must be clearly established from the beginning of
incident operations. The agency with primary jurisdictional authority over the
incident designates the individual at the scene responsible for establishing
command. When command is transferred, the process must include a briefing
that captures all essential information for continuing safe and effective
operations.
I. Chain of Command and Unity of Command
At all times during disaster operations, chain of command and unity of
command shall be observed. This is to ensure clarity in reporting relationships
and eliminate the confusion caused by multiple, conflicting directives.
J. Unified Command
In incidents involving multiple jurisdictions, a single jurisdiction with
multiagency involvement, or multiple jurisdictions with multiagency
involvement, a Unified Command approach should be applied to allow
agencies with different legal, geographic, and functional authorities and
responsibilities work together effectively without affecting individual agency
authority, responsibility, or accountability.
K. Accountability
Effective accountability of resources at all jurisdictional levels and within
individual functional areas during incident operations is essential. To this end,
Check-In/Check-Out, Incident Action Planning, Unity of Command, Personal
Responsibility, Span of Control, and Resource Tracking must be adhered to
within the ICS. m. Dispatch/Deployment Resources should respond only
when requested or when dispatched by an appropriate authority through
established resource management systems. Resources not requested must
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refrain from spontaneous deployment to avoid overburdening the recipient

and compounding accountability challenges.
L. Information and Intelligence Management
The incident management organization must establish a process for
gathering, analyzing, assessing, sharing, and managing incident-related
information and intelligence.
4) INCIDENT COMMAND AND GENERAL STAFF

The Incident Command, which comprises the Command and General Staff, shall be
responsible for overall management of the incident. The Command and General Staff are
typically located at the Incident Command Post (ICP).
A. Incident Command
The command function may be conducted in one of two general ways:
3. Single Incident Command - Single incident command maybe applied
when an incident occurs within a single jurisdiction and there is no
jurisdictional or functional agency overlap. Overall incident management
responsibility rests on the appropriate jurisdictional authority. In some
cases where incident management crosses jurisdictional and/ or functional
agency boundaries, a single IC may be designated if agreed upon.
4. Unified Command (UC) - UC for incident management may be applied
when a disaster or emergency affects several areas or jurisdictions or
requires multiagency engagement. Unified Command, as an incident
management option, provides the necessary guidelines to enable agencies
with different legal, geographic, and functional responsibilities to
coordinate, plan, and interact effectively. As a team effort, UC allows all
agencies with jurisdictional authority or functional responsibility for the
incident to jointly provide management direction through a common set of
incident objectives and strategies and a single IAP. Each participating
agency maintains its authority, responsibility, and accountability.
B. Command Staff
In an incident command organization, the Command Staff typically includes a
Public Information Officer, a Safety Officer, and a Liaison Officer, who report directly
to the IC/UC and may have assistants as necessary. Additional positions may be
required, depending on the nature, scope, complexity, and location(s) of the
incident(s), or according to specific requirements established by the IC/UC.
• Public Information Officer - The Public Information Officer is responsible for
interfacing with the public and media and/or with other agencies with incident-
related information requirements. Whether the command structure is single or
unified, only one Public Information Officer should be designated per incident.
Assistants may be assigned from other involved agencies, departments, or
organizations. The IC/UC must approve the release of all incident related
information. In large-scale incidents or where multiple command posts are
established, the Public Information Officer should participate in or lead the Joint
Information or Media Center in order to ensure consistency in the provision of
information to the public.
• Safety Officer - The Safety Officer monitors incident operations and advises the
IC/UC on all matters relating to operational safety, including the health and
safety of emergency responder personnel. The ultimate responsibility for the
safe conduct of incident management operations rests with the IC/UC and
supervisors at all levels of incident management. The Safety Officer is, in turn,
responsible to the IC/UC for the systems and procedures necessary to ensure
ongoing assessment of hazardous environments, including the incident Safety
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Plan, coordination of multiagency safety efforts, and implementation of

measures to promote emergency responder safety as well as the general safety
of incident operations. The Safety Officer has immediate authority to stop and/or
prevent unsafe acts during incident operations. It is important to note that the
agencies, organizations, or jurisdictions that contribute to joint safety
management efforts do not lose their individual identities or responsibility for
their own programs, policies, and personnel. Rather, each contributes to the
overall effort to protect all responder personnel involved in incident operations.
• Liaison Officer - The Liaison Officer is Incident Command’s point of contact for
DRRMC/other government agency representatives, NGOs, and the private
sector.to provide input on their agency’s policies, resource availability, and other
incident-related matters. Under either a single-IC or a UC structure,
representatives from assisting or cooperating agencies and organizations
coordinate through the Liaison Officer.
• Additional Command Staff - Additional Command Staff positions may also be
necessary, depending on the nature and location(s) of the incident or specific
requirements established by Incident Command.
C. General Staff
The General Staff is responsible for the functional aspects of the incident command
structure. The General Staff typically consists of the Operations, Planning, Logistics,
and Finance/Administration Section Chiefs. The Section Chiefs may have one or
more deputies assigned, with the assignment of deputies from other agencies
encouraged in the case of multijurisdictional incidents.
a. Operations Section
This Section is responsible for all tactical activities focused on reducing
the immediate hazard, saving lives and property, establishing situational control,
and _ restoring normal operations. Lifesaving and responder safety will always be
the highest priorities and the first objectives in the IAP. The Operations Section
Chief is responsible to Incident Command for the direct management of all
incident-related tactical activities. The Operations Section Chief will establish
tactics for the assigned operational period. An Operations Section Chief should
be designated for each operational period, and responsibilities include direct
involvement in development of the IAP.
The Operations Section is composed of the following:

1. Branches - Branches may be functional, geographic, or both, depending
on the circumstances of the incident. In general, Branches are established
when the number of Divisions or Groups exceeds the recommended span
of control. Branches are identified by the use of Roman numerals or by
functional area.
2. Divisions and Groups Divisions and/or Groups - They are established
when the number of resources exceeds the manageable span of control of
Incident Command and the Operations Section Chief. Divisions are
established to divide an incident into physical or geographical areas of
operation. Groups are established to divide the incident into functional
areas of operation. For certain types of incidents, for example, Incident
Command may assign evacuation or mass-care responsibilities to a
functional Group in the Operations Section. Additional levels of supervision
may also exist below the Division or Group level.
3. Resources - Resources may be organized and managed in three different
ways, depending on the requirements of the incident.
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• Single Resources: Individual personnel or equipment and any

associated operators.
• Task Forces: Any combination of resources assembled in
support of a specific mission or operational need. All resource
elements within a Task Force must have common
communications and a designated leader.
• Strike Teams: A set number of resources of the same kind and
type that have an established minimum number of personnel.
All resource elements within a Strike Team must have common
communications and a designated leader.
The use of Task Forces and Strike Teams is encouraged, when

appropriate, to optimize the use of resources, reduce the span
of control over a large number of single resources, and reduce
the complexity of incident management coordination and
communications.
b. Planning Section
The Planning Section collects, evaluates, and disseminates incident
situation information and intelligence to the IC/UC and incident management
personnel. This Section prepares status reports, displays situation information,
maintains the status of resources assigned to the incident, and prepares and
documents the IAP, based on Operations Section input and guidance from the
IC/UC.
As shown in the ICS organization below, the Planning Section is
comprised of four primary Units, as well as a number of technical specialists to
assist in evaluating the situation, developing planning options, and forecasting
requirements for additional resources. Within the Planning Section, the following
primary Units fulfill functional requirements:
✓ Resources Unit: Responsible for recording the status of resources
committed to the incident. This Unit also evaluates resources committed
currently to the incident, the effects additional responding resources will have
on the incident, and anticipated resource needs.
✓ Situation Unit: Responsible for the collection, organization, and analysis of
incident status information, and for analysis of the situation as it progresses.
✓ Demobilization Unit: Responsible for ensuring orderly, safe, and efficient
demobilization of incident resources.
✓ Documentation Unit: Responsible for collecting, recording, and
safeguarding all documents relevant to the incident. * Technical Specialist(s):
Personnel with special skills that can be used anywhere within the ICS
organization.
The Incident Command System Organization
The ICS organization, as an on-scene level command and management
structure, should be located at the ICP, which is generally located at or in the
immediate vicinity of the incident site. It is not a permanent structure nor will replace
existing DRRMCs/ other similar organizations in public and private agencies or
entities. It is designed to enable effective and efficient incident management by
integrating a combination of facilities, equipment, personnel, procedures, and
communications operating within a common organizational structure.
5) POLICY STATEMENTS
1. In line with the policy of the state to develop, promote and implement a
comprehensive National Disaster Risk Reduction and Management Plan (NDRRMP)
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that aims to strengthen the capacity of the national government and the local
government units (LGUs), together with partner stakeholders, to build the disaster
resilience of communities, and to _ institutionalize arrangements and measures for
reducing disaster risks, including projected climate risks, and enhancing disaster
preparedness and response capabilities at all levels, an all-hazards Incident
Command System is hereby established and institutionalized in the PDRRMS as an
on-scene disaster response and management mechanism at all levels of DRRMCs,
including public and private sector agencies.
2. As part of this ICS institutionalization process, all concerned shall endeavor to carry
out capacity building programs for their ICS organization through the conduct of ICS
training, organization of an All-Hazard Incident Management Teams (IMTs),
development of stand-by arrangements and protocols for IMT notification, activation,
deployment and deactivation and other related activities. The National ICS Cadre
defined under this Memorandum Circular shall take the lead in undertaking the ICS
capacity building and development program under the leadership of the Office of Civil
Defense.
3. All incidents are expected to be managed locally through their Local DRRMCs by
using their own emergency response teams/personnel, such as Search and Rescue,
Rapid Damage and Needs Assessment and Incident Management Teams, as well as
material resources based on the following criteria:
3.1 The Barangay Development Committee (BDC), if a barangay is affected;
3.2 The city/municipal DRRMC, if two (2) or more barangays are affected;
3.3 The provincial DRRMC, if two (2) or more cities /municipalities are affected;
3.4 The regional DRRMC, if two (2) or more provinces are affected;
3.5 The NDRRMC, if two (2) or more regions are affected
4. The NDRRMC and intermediary Local DRRMCs shall always act as support to LGUs
which have the primary responsibility as first disaster responders to any incident
occurring within their jurisdictions. For this purpose, the National Council and
intermediary local DRRMCs shall continue to provide support functions to the
affected LGUs to ensure that tactical objectives at the field level are achieved, and
immediate emergency response operation is coordinated to assist in the transition
from on-scene emergency operations to early recovery and rehabilitation operations
to be undertaken by the regular member agencies / humanitarian assistance clusters
of DRRMCs in affected areas.
5. An NDRRMC Incident Management Team (NIMT) is constituted to be composed of

members of the National ICS Cadre as defined under this Circular. As such, the
NIMT is expected to serve as one of the emergency response teams of the National
Council to carry out on-scene incident management functions based on the above
criteria or whenever the situation warrants.
6) IMPLEMENTING MECHANISM
The DRRMCs at all levels shall serve as the mechanism to ensure the effective
implementation of this memorandum circular. Partner agencies in the ICS Capability
Building Program, namely, DILG – BFP and PNP, DOH, DSWD, MMDA, FNTI, PRC,
SBMA Fire Department, City Government of Olongapo, Davao Rescue 911 and
Amity Public Safety Academy are enjoined to work closely with OCD, as the Lead
Agency, to attain the desired results thereof.
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A TYPICAL INCIDENT COMMAND SYSTEM (ICS) ORGANIZATION
DRRMC EMERGENCY OPERATIONS CENTER (EOC) – ICS ORGANIZATION

INTEROPERABILITY
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The above chart describes the relationship between and among the
DRRMC Chairperson as Responsible Official (RO), DRRMC Emergency
Operations Center and the ICS organization at the scene level. The DRRMC
through its Chairperson and likewise the Responsible Official, provides the
Incident Commander his policy directions and strategic objectives, the mission
and authority to achieve the overall priorities of the on-scene disaster response
operations, namely, life safety, incident stabilization and property/environmental
conservation and protection.
The DRRMC OpCen, which is generally located away from the
disaster site, supports the Incident Commander by making executive / policy
decisions, coordinating interagency relations, mobilizing and tracking
resources, collecting, analyzing and disseminating information and continuously
providing alert advisories/bulletins and monitoring of the obtaining situation. The
EOC does not command the on-scene level of the incident.
On the other hand, the Incident Commander manages the incident at
the scene with the support of the relevant Command and General Staff
depending on the complexity of the situation. The IC also keeps the
Responsible Official / DRRMC Chairperson and the EOC of all important
matters pertaining to the incident.
7) ORGANIZING AND MANAGING INCIDENTS AND EVENTS

Managing Planned Events
➢ Planned events are organized gatherings such as parades, fiestas, concerts,
conferences and other events usually characterized by having a high-density
population of audiences requiring security services.
Considerations for Planned Events
✓ Type of event
✓ Disaster/incident scenarios that may occur
✓ Location, size and expected duration
✓ Single or multi-agency participation
✓ Single of multi-jurisdictional or multi-national level event
✓ Command staff needs
✓ Kinds, types and number of resources
✓ Staging areas required
✓ Facilities for other requirements such as communication sanitation, medical, etc.
Initial Steps in Organizing fir any Incident
1. Size up the situation
2. Determine if there are lives at immediate risk
3. Establish the immediate objectives
4. Determine if there are enough and necessary resources on scene and/or
requested
5. Develop and incident action plan
6. Establish initial ICS organization
7. Consider span of control, personnel safety factors and environmental issues
8. Monitor work progress
9. Review and modify objectives and adjust the IAP as necessary
Factors in Determining the Size of the ICS Organization
✓ Administrative and jurisdictional authority
✓ Geographical areas involved
✓ Span of control considerations
✓ Functional specialties required
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✓ Logistical planning and other support needs

✓ Potential for growth and political importance
8) INCIDENT/EVENT ASSESSMENT AND MANAGEMENT BY OBJECTIVES

Situation Awareness
➢ It is the perception of what the current status of the incident and what you are
doing in relation to the incident and your objectives.
➢ It also involves the ability to predict changes in the status of the incident and your
future actions.
How to Generate Situation Awareness
✓ Identify current and potential problems.
✓ Recognize the need for action especially for atypical situations.
✓ Do NOT ignore information discrepancies.
✓ Seek and provide information before acting.
✓ Continue collecting information about the incident and assignment made.
✓ Identify deviations from the expected.
✓ Communicate your situation awareness to all team members.
Incident Complexity: Factors to Consider
✓ Impact to lives, properties and the economy
✓ Safety of the responders and the communities
✓ Potential hazards
✓ Weather and other environmental influences
✓ Likelihood of cascading events
✓ Potential human-induced threats such as crimes and terrorism
✓ Political sensitivity, external influences and media relations
✓ Areas involved and jurisdictional boundaries
✓ Availability of resources
Management by Objectives
• ICS is managed by objectives.
• Objectives are communicated throughout the entire ICS organization through
the incident planning process.
Objectives, Strategies and Tactics
▪ Objectives — state what will be accomplished.
▪ Strategies — establish the general plan or direction for accomplishing the
incident objectives,
▪ Tactics - specify how the strategies will be executed.
Establishing and Implementing Objectives
1. Understand agency policy and direction.
2. Assess incident situation.
3. Establish incident objectives.
4. Select appropriate strategies to achieve objectives.
5. Perform tactical direction.
6. Provide necessary follow-up.
9) THE FACILITIES
A. Facility — location where primary command functions are performed. Only one
Incident Command Post (ICP) for every incident.
Establishing the ICP
✓ Initially, the ICP shall be established near the incident area.
✓ ICP should not be moved/relocated unless absolutely necessary.
✓ There must be security and control access to the ICP as necessary.
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✓ ICP activation and location must be announced so appropriate personnel are

notified.
✓ Should be large enough to provide adequate working room for assigned
personnel.
✓ Should contain situation and resources status displays necessary for the incident.
✓ Must be positioned away from incident noise, the present and potential hazard
zone and confusion.
✓ Controls and assists the check-in of personnel who arrive at the incident via
privately owned vehicles or other private means.
When to expand the ICP?
• Incidents manage under unified command Long-term incidents
• Incidents requiring an on-scene communications center
• Incidents requiring a fully staffed planning function
• Incidents requiring a full Command Staff and Agency Representatives
positions.
B. Staging Area – temporary location for resources awaiting assignments. Incidents may
have several staging areas with map symbol
Establishing the Staging Area
✓ All staging will have a Manager.
✓ Staging areas will be given a name which describes their general location.
✓ Resources in staging area must on a three-minute available status.
✓ May include fueling and sanitation. May be designated for certain kinds of
resources.
C. The Base - is the location for primary support activities and the location for out-of-
service equipment (for repair) and personnel (for medication).
Establishing the Base
✓ There should be only one base established for each incident.
✓ Management of the base comes from the Logistics Section.
✓ A base manager will be designated upon the establishment of a base.
✓ It is advisable to pre-designate possible base locations.
D. Camp - a temporary location to provide services to the ICS personnel. Incidents may
have several camps and managed by a Camp Manager.
Establishing the Camp
✓ Location of camps can be moved.
✓ All base activities may be performed at the camp.
✓ Camp is designated by a geographic name or number.
E. The Helibase — a location where helicopter may be parked, maintained, fueled and
loaded and managed by a Helibase Manager.
Establishing the Helibase
✓ Large incidents may have more than one Helibase.
✓ Helibase can be located at airport or other off incident location.
✓ Designated by name of incident/event.
✓ It is not normally moved once it is established.
F. The Helispots
✓ A temporary location where helicopter can safely land and take off.
✓ Used to load or off-load personnel, equipment and supplies.
✓ May have several helispots.
10) TRANSFER OF COMMAND, DEMOBILIZATION AND CLOSE-OUT
Transfer of Command - the process of moving the responsibility of command from Incident
Commander to another IC.
The arrival of a more qualified person does not necessarily mean a change in incident
command. The more qualified individual may —
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✓ Assume command according to guidelines.

✓ Maintain current command as it is and monitor its activity and effectiveness.
✓ Request another more qualified IC as needed.
✓ Whenever possible, transfer of command should;
✓ Take place face-to-face
✓ Include a complete briefing
The effective time and date of the transfer should be communicated to the concerned
personnel.
Transfer of Command Briefing Agenda

1. Situation status.
2. Incident objectives and priorities IAP.
3. Current organization.
4. Resource assignment.
5. Resources ordered and en route.
6. Incident facilities
7. Incident communications plan
8. Incident prognosis, concerns and other issues
9. Introduction of command and general staff members
Documentation: ICS Form 201
• The initial IC can use the ICS Form 201 to document actions and situational
information required for transfer command.
• For more complex transfer of command situations, every aspect of the
incident must be documented and included in the transfer of command
briefing.
Stabilizing and De-escalating Incidents
When an in incident stabilizes and de-escalates;
• Incident management is returned to the original level of incident command.
• A transfer of command occurs.
Demobilization - this refers to the release and return of resources that are no longer
required for the support of the incident/event is over.
Planning for demobilization helps to;
✓ Eliminate waste
✓ Eliminate potential fiscal and legal impacts
✓ Ensure a controlled, safe, efficient, and cost effective release process.
Demobilization policies and procedures depends on the size of the incident and may
involve;
✓ Fiscal/legal policies and procedures
✓ Work rules
✓ Special license requirements
✓ Other requirements
Basic Parts of Demobilization Plan
• Demobilization process
• Responsibilities
• Release priorities
• Release procedures
• Directories
Close Out - is the formal meeting that shall take place with the RO and the IMT members.
The IC will stay with the incident until its conclusion and the close out meeting.
Things to discuss during the Close Out Meeting
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✓ Incident summary and actions taken Major events that may have lasting
ramifications
✓ Documentation, including components for finalization.
✓ Opportunity for the officials to bring up concerns.
✓ Evaluation of incident management by the officials.
Preparations for the Close Out Meetings
✓ PSC prepares the agenda and accompanying handouts/supporting
documents.
✓ IC approves the agenda.
Team Close Out Meeting
✓ IMT may hold a close out meeting to discuss team performance.
✓ The results of close out meeting can form part of the “after action review” or
“lessons learned” summary report.
Let’s Check
Let us try the following activities to check your understanding in this unit.
the following statements: (One point each)
_______________1. Responsible for the functional aspects of the incident command
structure.
_______________2. Maybe applied when an incident occurs within a single jurisdiction and
there is no jurisdictional or functional agency overlap.
_______________3. This refers to the release and return of resources that are no longer
required for the support of the incident/event is over.
_______________4. The location for primary support activities and the location for out-of-
service equipment (for repair) and personnel (for medication).
_______________5. Establish the general plan or direction for accomplishing the incident
objectives.
_______________6. Responsible for recording the status of resources committed to the
incident.
_______________7. Responsible for the collection, organization, and analysis of incident
status information, and for analysis of the situation as it progresses.
_______________8. Responsible for ensuring orderly, safe, and efficient demobilization of
incident resources.
_______________9. Responsible for collecting, recording, and safeguarding all documents
relevant to the incident.
_______________10. Maintaining an accurate and up-to-date picture of resource utilization
is a critical component of incident management and emergency response.
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Let’s Analyze
Let us try the following activities to know how deep your understanding
Activity 1.Describe the concept of Chain of Command. (10 points)
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In a Nutshell
Q&A List
1.
2.
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3.
4.
5.
KEYWORDS INDEX.
Incident Span of Demobilization Resource unit

Command Control
System
Helispot Helibase Facility Base
General Staff Liaison Safety Officer Interoperability
Officer
COURSE SCHEDULES
This section calendars all the activities and exercises, including readings
and lectures, as well as time for making assignments and doing other
requirements, in a programmed schedule by days and weeks, to help the
students in SDL pacing, regardless of mode of delivery (OBD or DED).
Note: reading assignments can be calendared for 3 days or for a week
with performance tasks (essay or reflection paper).
Semester Class Schedule (Start of Classes: August, 2020)
Activity Date Where to submit

Big Picture A: Let’s Check January 11 Quipper LMS
Activities
Big Picture A: Let’s Analyze January 11 Quipper LMS
Activities
Big Picture A: In a Nutshell January 11 Quipper LMS
Activities
First Exam January 29 Quipper LMS
Big Picture B: Let’s Check February 01 Quipper LMS
Activities
Big Picture B: Let’s Analyze February 01 Quipper LMS
Activities
Big Picture B: In a Nutshell February 01 Quipper LMS
Activities
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Second Exam February 12 Quipper LMS

Big Picture C: Let’s Check February 15 Quipper LMS
Activities
Big Picture C: Let’s Analyze February 15 Quipper LMS
Activities
Big Picture C: In a Nutshell February 15 Quipper LMS
Activities
Third Exam February 26 Quipper LMS
Big Picture D: Let’s Check March 01 Quipper LMS
Activities
Big Picture D: Let’s Analyze March 01 Quipper LMS
Activities
Big Picture D: In a Nutshell March 01 Quipper LMS
Activities
Final Exam March 10 Quipper LMS
Please note that this schedule may change from time to time. It is advisable that you
always keep in contact with your teacher for updates and always check your LMS or
Group Chatrooms.
Online Code of Conduct
• All teachers/Course Coordinators and students are expected to abide by an

honor code of conduct, and thus everyone and all are exhorted to exercise self-
management and self-regulation.
• Faculty members are guided by utmost professional conduct as learning
facilitators in holding DED conduct. Any breach and violation shall be dealt with
properly under existing guidelines, specifically on social media conduct (OPM
21.15) and personnel discipline (OPM 21.11).
• All students are likewise guided by professional conduct as learners in attending
DED courses. Any breach and violation shall be dealt with properly under existing
guidelines, specifically in Section 7 (Student Discipline) in the Student Handbook.
• Professional conduct refers to the embodiment and exercise of the University’s
Core Values, specifically in the adherence to intellectual honesty and integrity;
academic excellence by giving due diligence in virtual class participation in all
lectures and activities, as well as fidelity in doing and submitting performance
tasks and assignments; personal discipline in complying with all deadlines; and
observance of data privacy.
• Plagiarism is a serious intellectual crime and shall be dealt with accordingly. The
University shall institute monitoring mechanisms online to detect and penalize
plagiarism.
• All borrowed materials uploaded by the teachers/Course Coordinators shall be
properly acknowledged and cited; the teachers/Course Coordinators shall be
professionally and personally responsible for all the materials uploaded in the
online classes or published in SIM/SDL manuals.
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• Teachers/Course Coordinators shall devote time to handle DED courses and

shall honestly exercise due assessment of student performance.
• Teachers/Course Coordinators shall never engage in quarrels with students
online. While contentions intellectual discussions are allowed, the
teachers/Course Coordinators shall take the higher ground in facilitating and
moderating these discussions. Foul, lewd, vulgar and discriminatory languages
are absolutely prohibited.
• Students shall independently and honestly take examinations and do
assignments, unless collaboration is clearly required or permitted. Students shall
not resort to dishonesty to improve the result of their assessments (e.g.
examinations, assignments).
• Students shall not allow anyone else to access their personal LMS account.
Students shall not post or share their answers, assignment or examinations to
others to further academic fraudulence online.
• By handling DED courses, teachers/Course Coordinators agree and abide by all
the provisions of the Online Code of Conduct, as well as all the requirements and
protocols in handling online courses.
• By enrolling in DED courses, students agree and abide by all the provisions of
the Online Code of Conduct, as well as all the requirements and protocols in
handling online courses.
Monitoring of OBD and DED
• The Deans, Asst. Deans, Discipline Chairs and Program Heads shall be
responsible in monitoring the conduct of their respective DED classes through the
LMS. The LMS monitoring protocols shall be followed, i.e. monitoring of the
conduct of Teacher Activities (Views and Posts) with generated utilization graphs
and data. Individual faculty PDF utilization reports shall be generated and
consolidated by program and by department.
• The Academic Affairs and Academic Planning & Services shall monitor the
conduct of LMS sessions. The Academic Vice Presidents and the Deans shall
collaborate to conduct virtual CETA by randomly joining LMS classes to check
and review online the status and interaction of the faculty and the students.
• For DED, the Deans and Program Heads shall come up with monitoring
instruments, taking into consideration how the programs go about the conduct of
DED classes. Consolidated reports shall be submitted to Academic Affairs for
endorsement to the Chief Operating Officer.
Course prepared by:
KHRYSHA MAE B. LACROA, RCrim

Course Coordinators
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Course reviewed by:
LARCYNEIL P. PASCUAL, MEAL

Assistant Dean
Approved by:
GINA FE G. ISRAEL, EdD

Dean of College
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Work Plan for Lecture
Days
Monday Tuesday Wednesday Thursday Friday Saturday Sunday
Modality Synchronous Asynchronous Synchronous Asynchronous Synchronous Asynchronous
Type of • Teacher to • Learner to Learner to Learner to • Learner to
Teacher to Learner
interaction Learner Content Learner Content Content
• Uploading of • Utilization of • Group Sharing • Utilization of • Discussion • Utilization of
Learning SIM a. Collab SIM (Clarification or SIM
Materials b. Forum New lessons)
• Videos c. Zoom • Videos a. Collab • Videos
• Discussion b. Forum
a.Collab • Self-directed • Consultation • Self-directed c. Zoom • Self-directed
b.Forum Activities Activities Activities
Suggested c. Zoom • Supplementary Rest
Activities Activities Day
• Giving of
Formative • Quiz
Assessment
• Consultation
• Giving of
Performance
Task
Prepared by: Reviewed by: Approved by:
KHRYSHA MAE B. LACROA, RCrim LARCYNEIL P. PASCUAL, MEAL GINA FE G. ISRAEL, EdD
Course Teacher Assistant Dean Dean of College
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UNIVERSITY OF MINDANAO

Department of Criminal Justice Education

Physically Distanced but Academically Engaged

Self-Instructional Manual (SIM) for Self-Directed

Course/Subject: CRI 322 DISPUTE RESOLUTION AND

Name of Teacher: Khrysha Mae B. Lacroa, RCRIM

THIS SIM/SDL MANUAL IS A DRAFT VERSION ONLY; NOT

Part 1. Course Outline and Policies ...................................................... 1

Big Picture B: Unit Learning Outcomes ............................................. 27

Let’s Check .................................................................................... 46

Big Picture C: Unit Learning Outcomes ......................................... 50

Big Picture D: Unit Learning Outcomes ......................................... 65

Part 3. Course Schedule ......................................................................... 77

Course Outline: CRI 322 – DISPUTE RESOLUTION AND

Course Coordinator: KHRYSHA MAE B. LACROA

Course Outline Policy

Areas of Concern Details

Assessment Task Submission Submission of assessment tasks shall be on 3rd, 5th,

If the assessment task is done in real time through the

Since this course is included in the licensure

Please note that academic dishonesty such as

However, if the late submission of assessment paper

For group assessment tasks, the course coordinator

standards or other reasonable circumstances e.g.

Re-marking of Assessment Papers You should request in writing addressed to the

If disapproved by the course coordinator, you can

Submission of the final grades shall follow the

Preferred Referencing Style Depends on the discipline; if uncertain or inadequate,

Student Communication You are required to create an email account which is a

You can also meet the course coordinator in person

For students who have not created their student email,

Contact Details of the Program Jun Mark A. Asis, MSCrim

Course Information– see/download course syllabus in the QUIPPER LMS

CO Before you became a professional, you have to demonstrate technical and

1. Comprehend the concepts of alternative dispute resolution.

Big Picture in Focus: ULO a. Have a deep knowledge in its broader

1. Alternative Dispute Resolution — a means to achieve speedy and impartial justice

THE CONCEPT OF CONFLICT

A conflict is a struggle between people. The struggle may be physical, or between

Conflict theories are perspectives in sociology and social psychology that

MODERN APPROACH ON CONFLICT

Charles Wright Mills (1916-1962) an American sociologist, and a professor of

Human potential (e.g., capacity for creativity) is suppressed by conditions of

requirements of the so-called “civilizing process,” or “functional necessity”: creativity is

Concept of Conflict Resolution

Conflict resolution is conceptualized as the methods and processes involved in

Committed group members attempt to resolve group conflicts by actively

CONFLICT RESOLUTION STRATEGIES

1. Conflict Resolution Strategy #1: Avoiding

2. Conflict Resolution Strategy #2: Competing

3. Conflict Resolution Strategy #3: Accommodating

4. Conflict Resolution Strategy #4: Collaborating

5. Conflict Resolution Strategy #5: Compromising

ALTERNATIVE DISPUTE RESOLUTION SYSTEM IN THE PHILIPPINES (Republic Act

Policy of the State

• To enlist active private sector participation in the settlement of disputes through

• ADR Provider means the institutions or persons accredited as mediators,

Exception to the Application of the ADR Act

Liability of ADR Providers/Practitioners

What is International Commercial Arbitration?

• International Arbitration is an arbitration where the parties to an arbitration agreement

a. the place of arbitration if determined in, or pursuant to the arbitration

b. any place where a substantial part of the obligations of the commercial