By:

PMAJ (ATTY) MARIE CRIS V SUAREZ

Course Description:
❑This course deals with the study of the process of dealing and
resolving conflicts/disputes resolution and crises management.
❑It includes the art of intervention through mediation and
reconciliation of disagreements between stakeholder’s agencies.
❑It includes handling of crises that the criminal justice personnel are
commonly encountered.
❑The study significantly provides mechanisms on how to adopt
strategies in dealing with potential and actual crises which are being
addressed by concerned agencies and authorities from law
enforcement, corrections and communities
 Tables of Specification
(30%) (50%) (20%)
Remembering Understanding Applying Analyzing Evaluating Creating
A. DISPUTE RESOLUTION AND CRISIS/INCIDENT Percentage Number of
Weight Items and Recall Explain, Using the Understanding, hypothesizing, Generating
MANAGEMENT
Distribution information Interpret, information in critiquing,
and summarize, another familiar Comparing, experimenting, Designing,
Recognizing, examine, situation organizing, judging constructing,
The registered criminologist can perform the Distribution listing, describing, deconstructing, planning,
paraphrase,
competencies under the following sub-topics: 20% 100 classify Implementing interrogating, producing,
retrieving, carrying out, using, finding inventing
naming, finding executing
2% 10
1. Know and understand the Principles of Negotiation,
Arbitration, Mediation, and Conciliation, and the
Court Annexed Mediation; Judicial Mediation; and
Litigation as Mode of Dispute Resolution. .40% 2 1 - 1 - - -

2. Compare and differentiate Restorative Justice from

Retributive Justice. (Methods, Techniques, and
.60% 3 - 1 1 1 - -
Strategies of Negotiation, Arbitration, Mediation,
and Conciliation).

3. Understand and Interpret R.A. 9285 “Alternative

Dispute Resolution Act of 2004” and other
.20% 1 - 1 - - - -
applicable policies and issuances of the Court or
Agency concern.
4. Discuss and apply the principles of Police Critical
Incident Management
.20% 1 - - 1 - - -
5. Identify and demonstrate the various Types, 2 1
Characteristics, Phases, and methods of Critical
.40% - - 1 - -
Incident Management
6. Determine and evaluate the various types of Crises,
Disaster Management and Assessment.
.20% 1 - - 1 - - -
Understanding Human Behavior -
emphasizes human actions in relations to events taking place inside the
1. Nuerological
Psychology body

2. Behavioral focuses on those external activities of the organism

is defined as the science that studies behavior and mental processes.
3. Cognitive focuses on the brain processes and transforms information in various ways

4. Psychoanalytical emphasizes unconscious motives

5. Humanistic focuses on the subject’s experience, freedom of choice and motivation

Psychology on Human Adjustment -

Satisfaction of a need
Elements of Human Adjustment -
1. A need which arises;

2. Purposive behavior; and

3. A goal.
Reasons why Some People Fail to reach their
Goal -

Environmental
Difficulties
What is a Conflict?
• A conflict is an activity which takes place
when conscious beings (individuals or
groups) wish to carry out mutually
inconsistent acts concerning their wants,
needs or obligations. (Nicholson, M.,
1992)

• Intra-personal vs inter-personal conflicts.

• CONFLINGERE – “to come together for a

battle”
Conflict Theories
❑ Conflict theory states that tensions and conflicts arise
when resources, status, and power are unevenly
distributed between groups in society and that these
conflicts become the engine for social change.

❑ Conflict theory originated in the work of Karl Marx

(bourgeoisie vs proletariat)

❑ Other theories –
1. Feminist theory;
2. Critical race theory;
3. Postmodern theory and postcolonial theory;
4. Queer theory;
5. Post-structural theory, and
6. Theories of globalization and world systems.
What is Republic Act No. 9285?
• This Act is known as the "Alternative Dispute Resolution Act of
2004."

What is the policy of the State regarding

Alternative Dispute Resolution (ADR)?
• It is hereby declared the policy of the State to actively promote party autonomy
in the resolution of disputes or the freedom of the party to make their own
arrangements to resolve their disputes. Towards this end, the State shall
encourage and actively promote the use of Alternative Dispute Resolution (ADR)
as an important means to achieve speedy and impartial justice and declog court
dockets. As such, the State shall provide means for the use of ADR as an efficient
tool and an alternative procedure for the resolution of appropriate cases.
Likewise, the State shall enlist active private sector participation in the settlement
of disputes through ADR.
Does RA 9285 limits the power of the
Supreme Court to adopt any ADR System?
• No. This Act shall be without prejudice to the adoption by the
Supreme Court of any ADR system. (Sec. 2, RA 9285)

What is Alternative Dispute Resolution?

• Alternative Dispute Resolution System means any process or
procedure used to resolve a dispute or controversy, other than by
adjudication of a presiding judge of a court or an officer of a
government agency, as defined under RA 9285, in which a neutral
third party participates to assist in the resolution of issues, which
includes arbitration, mediation, conciliation, early neutral evaluation,
mini-trial, or any combination thereof. (Sec. 3, para a, RA 9285)
Alternative Dispute Resolution System (ADR)
• Any process or procedure used to resolve a dispute or
controversy
• Out of court resolution *other than by adjudication of a presiding
judge of a court or an officer of a government agency.
• A neutral third party; to assist in the resolution of issues,
• "Model Law" means the Model Law on International Commercial
Arbitration adopted by the United Nations Commission on
International Trade Law on 21 June 1985;
• New York Convention means 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;
What is Arbitration?
• Arbitration means a voluntary dispute resolution process in which
one or more arbitrators, appointed in accordance with the agreement
of the parties, or rules promulgated pursuant to RA 9285, resolve a
dispute by rendering an award. (Sec. 3, par. d, RA 9285)

Who is an Arbitrator?
• Arbitrator means the person appointed to render an award, alone or
with others, in a dispute that is the subject of an arbitration
agreement. (Sec. 3, par. e, RA 9285)
 ADR Provider vs ADR Practitioner

•ADR Provider - means •ADR Practitioner -

institutions or persons shall refer to individuals
accredited as mediator, acting as mediator,
conciliator, arbitrator, conciliator, arbitrator or
neutral evaluator, or any neutral evaluator.
person exercising similar
functions in any
Alternative Dispute
Resolution system.
What is the liability of ADR providers/
Practitioners?
• The ADR provides /practitioners shall have the same civil liability for
acts done in the performance of their official duties as that of public
officers, upon a clear showing of bad faith, malice or gross negligence.
What is Early Neutral Evaluation?
• This means an ADR process wherein parties and their lawyers are
brought together early in a pre-trial phase to present summaries of
their cases and receive a nonbinding assessment by an experienced,
neutral person, with expertise in the subject in the substance of the
dispute. (Sec. 3, par. n, RA 9285)
What is Mediation?
• Mediation means a voluntary process in which a mediator, selected
by the disputing parties, facilitates communication and negotiation,
and assist the parties in reaching a voluntary agreement regarding a
dispute. (Sec. 3, par. q, RA 9285)

Who is a Mediator?
• Mediator means a person who conducts mediation. (Sec. 3, par. r, RA
9285)
What is Mediation Party?
• This means a person who participates in a mediation and whose
consent is necessary to resolve the dispute. (Sec. 3, par. s, RA 9285)

What is Mediation-Arbitration?

• "Mediation-Arbitration" or Med-Arb is a step dispute resolution

process involving both mediation and arbitration. (Sec. 3, par. t, RA
9285)
What is Mini-trial?
• This means a structured dispute resolution method in which the
merits of a case are argued before a panel comprising senior
decisionmakers with or without the presence of a neutral third
person after which the parties seek a negotiated settlement (Sec. 3,
par. u, RA 9285)
Mode of Dispute Resolutions

I. Mediation, and Conciliation, and

II.Arbitration,
III.Negotiation
IV.Judicial Dispute Resolution (JDR) (Mediation
and Litigation)
V.Court Annexed Mediation (CAM);
How arbitration, mediation and conciliation
are different from each other?
• Arbitration is a process where the parties submit their case to a
neutral third party who on the basis of discussion determine the
dispute and comes to a solution.
• In mediation, the mediator generally sets out alternatives for the
parties to reach out an agreement.
• Dispute resolution through conciliation involves the assistance of a
neutral third party who plays an advisory role in reaching an
agreement.
What are the cases wherein Republic Act
No. 9285 does not apply?
a. Labor disputes;
b. The civil status of persons;
c. The validity of a marriage;
d. Any ground for legal separation;
e. The jurisdiction of courts;
f. Future legitime;
g. Criminal liability;
h. Those which by law cannot be compromised; and
i. Those disputes referred to court-annexed mediation. (Article 1.3, IRR, RA
9285)
What is the Office for Alternative Dispute
Resolution?
• The Office for Alternative Dispute Resolution (OADR) is as an agency
attached to the Department of Justice. It shall have a Secretariat and
shall be headed by an Executive Director, who shall be appointed by
the President of the Philippines, taking into consideration the
recommendation of the Secretary of Justice. (Article 2.1., IRR, RA
9285)
What are the powers of the OADR?
a. To act as appointing authority of mediators and arbitrators when the parties agree in writing that it
shall be empowered to do so;
b. To conduct seminars, symposia, conferences and other public fora and publish proceedings of said
activities and relevant materials/information that would promote, develop and expand the use of ADR;
c. To establish an ADR library or resource center where ADR laws, rules and regulation, jurisprudence,
books, articles and other information about ADR in the Philippines and elsewhere may be stored and
accessed;
d. To establish training programs for ADR providers/practitioners, both in the public and private sectors;
and to undertake periodic and continuing training programs for arbitration and mediation and charge
fees on participants. It may do so in conjunction with or in cooperation with the IBP, private ADR
organizations, and local and foreign government offices and agencies and international organizations;
e. To certify those who have successfully completed the regular professional training programs
provided by the OADR;
f. To charge for services rendered such as, among others, for training and certifications of ADR providers;
g. To accept donations, grants and other assistance from local and foreign sources; and
h. To exercise such other powers as may be necessary and proper to carry into effect the provisions of
the ADR Act. (Art. 2.2., IRR, RA 9285)
What are the functions of OADR?
a. To promote, develop and expand the use of ADR in the private and public sectors through
information, education and communication;
b. To monitor, study and evaluate the use of ADR by the private and public sectors for purposes of,
among others, policy formulation;
c. To recommend to Congress needful statutory changes to develop, strengthen and improve ADR
practices in accordance with international professional standards;
d. To make studies on and provide linkages for the development, implementation, monitoring and
evaluation of government and private ADR programs and secure information about their respective
administrative rules/procedures, problems encountered and how they were resolved;
e. To compile and publish a list or roster of ADR providers/practitioners, who have undergone
training by the OADR, or by such training providers/institutions recognized or certified by the OADR
as performing functions in any ADR system. The list or roster shall include the addresses, contact
numbers, e-mail addresses, ADR service/s rendered (e.g. arbitration, mediation) and experience in
ADR of the ADR providers/practitioners;
f. To compile a list or roster of foreign or international ADR providers/practitioners. The list or roster
shall include the addresses, contact numbers, e-mail addresses, ADR service/s rendered (e.g.
arbitration, mediation) and experience in ADR of the ADR providers/practitioners; and
g. To perform such other functions as may be assigned to it. (Art. 2.3., IRR, RA 9285)
 Secretariat

Public Information and

OADR
Promotion Division

Training Division

Records and Library

Division
Advisory
Council Mediation profession
Arbitration profession
ADR organizations
IBP
Academe
What is the Role of the Advisory Council?
• The Advisory Council shall advise the Executive Director on policy,
operational and other relevant matters. The Council shall meet
regularly, at least once every two (2) months, or upon call by the
Executive Director. (Art. 2.6., IRR, RA 9285)
MEDIATION
MEDIATION
• It is an alternative to the traditional court process in order to resolve
disputes. Mediation is the process by which a neutral third party, the
“Mediator”, assists people to resolve their dispute and reach a
voluntary settlement. A mediator is not a judge, he or she helps
people negotiate a fair settlement of their dispute.
What are the advantages of Mediation?
• Cost efficient
• Time efficient
• Confidential Process
• Less adversarial
What are the Terms Applicable to the
Segment/Discussion on International
Commercial Arbitration?
1. Ad hoc Mediation means any mediation other than institutional or court-annexed.
2. Institutional Mediation means any mediation process conducted under the rules of a mediation institution.
3. Court-Annexed Mediation means mediation process conducted under the auspices of the court and in
accordance with Supreme Court approved guidelines, after such court has acquired jurisdiction of the dispute.
4. Court-Referred Mediation means mediation ordered by a court to be conducted in accordance with the
agreement of the parties when an action is prematurely commenced in violation of such agreement.
5. Certified Mediator means a mediator certified by the Office for ADR as having successfully completed its
regular professional training program.
6. Mediation means a voluntary process in which a mediator, selected by the disputing party voluntary
agreement regarding a dispute.
7. Mediation Party means a person who participates in a mediation and whose consent is necessary to resolve
the dispute.
8. Mediator means a person who conducts mediation.
9. Non-Party Participant means a person, other than a party or mediator, who participates in a mediation
proceeding as a witness, resource person or expert. (Rule 2, par. B, IRR, RA 9285)
What is the scope of application of the
Implementing Rules?
• These Rules apply to voluntary mediation, whether ad hoc or
institutional, other than court-annexed mediation and only in default
of an agreement of the parties on the applicable rules.

• These Rules shall also apply to all cases pending before an

administrative or quasi-judicial agency that are subsequently agreed
upon by the parties to be referred to mediation. (Article 3.1., IRR, RA
9285)
Ad hoc, Institutional and Court-Annexed
Mediation, Definition –
1. Ad hoc Mediation means any mediation other than institutional or
court-annexed.
2. Institutional Mediation means any mediation process conducted
under the rules of a mediation institution.
3. Court-Annexed Mediation means mediation process conducted
under the auspices of the court and in accordance with Supreme Court
approved guidelines, after such court has acquired jurisdiction of the
dispute.
What is the State policy on Mediation?
• In applying and construing the provisions of these Rules, consideration
must be given to the need to promote candor of parties and mediators
through confidentiality of the mediation process, the policy of fostering
prompt, economical and amicable resolution of disputes in accordance
with principles of integrity of determination by the parties and the policy
that the decision-making authority in the mediation process rests with the
parties.
• A party may petition a court before which an action is prematurely brought
in a matter which is the subject of a mediation agreement, if at least one
party so requests, not later than the pre-trial conference or upon the
request of both parties thereafter, to refer the parties to mediation in
accordance with the agreement of the parties. (Article 3.2., IRR, RA 9285)
SELECTION OF A MEDIATOR
• Do parties have the right to select a Mediator?
• Yes. The parties have the freedom to select a mediator.
• Is it required that a Mediator has special qualifications by
background or profession?
• ADR act does not require that a mediator shall have special qualifications by
background or profession, unless required in the mediation agreement.
• May a party waive his right to participate in Mediation?
• Yes, except as otherwise provided in RA 9285
• When a Mediator be replaced?
• If the mediator selected is unable to act as such for any reason, the parties
may, upon being informed of such fact, select another mediator.
• What are the grounds wherein a Mediator may refuse or withdraw such?
a. If any of the parties so requests the mediator to withdraw;
b. The mediator does not have the qualifications, training and experience to enable
him/her to meet the reasonable expectations of the parties;
c. Where the mediator's impartially is in question;
d. If continuation of the process would violate any ethical standards;
e. If the safety of any of the parties would be jeopardized;
f. If the mediator is unable to provide effective services;
g. In case of conflict of interest; and
h. In any of the following instances, if the mediator is satisfied that:
1. One or more of the parties is/are not acting in good faith;
2. The parties' agreement would be illegal or involve the commission of a crime;
3. Continuing the dispute resolution would give rise to an appearance of impropriety;
4. Continuing with the process would cause significant harm to a non-participating person or
to the public; or
5. Continuing discussion would not be in the best interest of the parties, their minor
children or the dispute resolution process. (Article 3.5., IRR, RA 9285)
Ethical Conduct of a Mediator
1. Competence
2. Impartially
3. Confidentiality
4. Consent and Self-Determination
5. Separation of Mediation from Counseling and Legal Advice
6. Charging of Fees
7. Promotion of Respect and Control of Abuse of Process.
8. Solicitation or Acceptance of any Gift.
ROLE OF PARTIES AND THEIR COUNSELS IN
MEDIATION
• May a party designate a lawyer to assist him in Mediation?
• Yes, except as otherwise provided by the ADR Act or by there Rules, a party
may designate a lawyer or any other person to provide assistance in the
mediation.
Roles of a Counsel in Mediation Proceedings
a. The lawyer shall view his/her role in the mediation as a collaborator
with the other lawyer in working together toward the common goal of
helping their clients resolve their differences to their mutual
advantage;
b. The lawyer shall encourage and assist his/her client to actively
participate in positive discussions and cooperate in crafting an
agreement to resolve their dispute;
c. The lawyer must assist his/her client to comprehend and appreciate
the mediation process and its benefits, as well as the client’s greater
personal responsibility for the success of mediation in resolving the
dispute;
d. In preparing for participation in mediation, the lawyer shall confer
and discuss with his/her client the following:
❑The mediation process as essentially a negotiation between the parties
assisted by their respective lawyers, and facilitated by a mediator, stressing it
its difference from litigation, its advantages and benefits, the clients
heightened role in mediation and responsibility for its success and explaining
the role of the lawyer in mediation proceedings,
❑The substance of the upcoming mediation such as;
• 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 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; and
• The best, worst and most likely alternative to a non-negotiated settlement. (Article 3.15.,
IRR, RA 9285)
What other matters a Counsel must do to
assist in the Mediation?
a. shall give support to the mediator so that his/her client will fully
understand the rules and processes of mediation;
b. shall impress upon his/her client the importance of speaking for
himself/herself and taking responsibility for making decisions during the
negotiations within the mediation process.;
c. may ask for a recess in order to give advice or suggestions to his/her client
in private, if he/she perceives that his/her client is unable to bargain
effectively; and
d. shall assist his/her client and the mediator put in writing the terms of the
settlement agreement that the parties have entered into. That lawyers shall
see to it that the terms of the settlement agreement are not contrary to law,
morals, good customs, public order or public policy. (Article 3.16., IRR, RA
9285)
Articles to 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 held the parties reach a satisfactory resolution to their dispute but
has no authority to impose a settlement on the parties.
c. The parties shall personally appear for mediation and may be assisted by a lawyer. A
party maybe represented by an agent who must have full authority to negotiate and settle
the dispute.
d. The mediation process shall, in general, consists of the following stages:
• opening statement of the mediator
• individual narration by the parties;
• exchange by the parties;
• summary of issues;
• generation and evaluation of options; and
• closure
Articles to be considered in the conduct of
Mediation? (contn)
e. The mediation proceeding shall be held in private. Person, other
than the parties, their representatives and mediator, may attend only
with the consent of all the parties,
f. the mediation shall be closed:
• by the execution of a settlement agreement by the parties;
• by the withdrawal of any party from mediation; and
• by the written declaration of the mediator that any further effort at
mediation would not be helpful. (Article 3.17., IRR, RA 9285
Where is the Place of Mediation?
• The parties are free to agree on the place of mediation. Failing such
agreement, the place of mediation shall be any place convenient and
appropriate to all parties. (Article 3.18., IRR, RA 9285)
EFFECT OF AGREEMENT TO SUBMIT A DISPUTE
TO MEDIATION UNDER INSTITUTIONAL RULES
• What does an agreement to submit a dispute to mediator by an
institution include?
• 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. (Article 3.19., IRR, RA 9285)
Operative Principles to Guide Mediation
✓A settlement agreement following successful mediation shall be prepared by the parties
with the assistance of their respective counsels.
✓The parties and their respective counsels, if any, shall sign the settlement agreement.
✓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/ties with the Clerk of Court
of the Regional Trial Court (a) where the principal place of business in the Philippines of
any of the parties is located; (b) if any of the parties is an individual, where any of those
individuals resides; or (c) in the National Capital Judicial Region. Where there is a need to
enforce the settlement agreement, a petition may be filed by any of the parties with the
same court in which case, the court shall proceed summarily to hear the petition, in
accordance with the Special ADR Rules.
✓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
What are the principles and guidelines on the
information obtained through Mediation?
a. Information obtained through mediation shall be privileged and confidential.
b. A party, mediator, or non-party participant may refuse to disclose and may prevent any other person from disclosing a
confidential information.
c. Confidential information shall not be subject to discovery and shall be inadmissible in any adversarial proceeding, whether
judicial or quasi- judicial. However, evidence or information that is otherwise admissible or subject to discovery does not
become inadmissible or protected from discovery solely by reason of its use in a mediation.
d. In such an adversarial proceeding, the following persons involved or previously involved in a mediation may not be
compelled to disclosed 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.
e. The protections of the ADR Act shall continue to apply even if a mediator is found to have failed to act impartially.
f. 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. (Article 3.21., IRR,
RA 9285)
May the privilege of confidentiality of
information be waived?
Yes, under the following circumstances, a privilege of confidentiality of information is
deemed waived:
a. A privilege arising from the confidentiality of information may be waived in a record or
orally during a proceeding by the mediator and the mediation parties.
b. With the consent of the mediation parties, a privilege arising from the confidentiality of
information may likewise be waived by a non-party participant if the information is
provided by such non-party participant.
c. A person who discloses confidential information shall be precluded from asserting the
privilege under Article 3.21 (Confidentiality of Information) to bar disclosure of the rest of
the information necessary to a complete understanding of the previously disclosed
information. If a person suffers loss or damage as a result of the disclosure of the
confidential information, he/she shall be entitled to damages in a judicial proceeding
against the person who made the disclosure.
d. A person who discloses or makes a representation about a mediation is precluded from
asserting the privilege mentioned in Article 3.21 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. (Article 3.22., IRR, RA 9285)
EXCEPTIONS:
a. There is no privilege against disclosure –
• 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 disapprove a claim or complaint of professional misconduct or
malpractice filed against a party, non-party participant, or representative of a party based on
conduct occurring during a mediation. (Article 3.21)
b. If a court or administrative agency finds, after a hearing in camera, that
the party seeking discovery of the proponent of the evidence has shown that
the evidence is not otherwise available, that there is a need for the evidence
that substantially outweighs the interest in protecting confidentially, and the
mediation communication is sought or offered in:
• a court proceeding involving a crime or felony; or
• 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 sub-
section (a) or (b) hereof, only the portion of the communication necessary
for the application of the exception for non-disclosure may be admitted. The
admission of a particular evidence for the limited purpose of an exception
does not render that evidence, or any other mediation communication,
admissible for any other purpose. (Article 3.23., IRR, RA 9285)
May a Mediator be allowed to make a report to
communicate matters regarding Mediation?
a. to state that the mediation occurred or has terminated, or where a
settlement was reached; or
b. as permitted to be disclosed under Article 3.23 (Exception to the
Privilege of Confidentiality of Information).
ARBITRATION
• It is a process of dispute
resolution in which a third
party neutral (arbitrator)
renders a decision after a
hearing at which both parties
have an opportunity to be
heard.
What are the subject matters of Arbitration
law
• Two or more persons or parties may submit to the arbitration of one
or more arbitrators any controversy existing between them at the
time of the submission and which may be the subject of an action, or
the parties to any contract may in such contract agree to settle by
arbitration a controversy thereafter arising between them. Such
submission or contract shall be valid, enforceable and irrevocable,
save upon such grounds as exist at law for the revocation of any
contract.
• Such submission or contract may include question arising out of
valuations, appraisals or other controversies which may be collateral,
incidental, precedent or subsequent to any issue between the parties.
(Sec. 2, RA 876)
Who are disqualified to arbitrate?
• A controversy cannot be arbitrated where one of the parties to the
controversy is an infant, or a person judicially declared to be
incompetent, unless the appropriate court having jurisdiction approve
a petition for permission to submit such controversy to arbitration
made by the general guardian or guardian ad litem of the infant or of
the incompetent.
What is the form of the Arbitration
Agreement?
• A contract to arbitrate a controversy thereafter arising between the
parties, as well as a submission to arbitrate an existing controversy
shall be in writing and subscribed by the party sought to be charged,
or by his lawful agent.
Explain the form of an Arbitration
Agreement
• The Arbitration agreement, as defined in Articles 1.6 A4, shall be in
writing. An agreement is in writing if it is contained in a document
signed by the parties or in an exchange of letters, telex, telegrams or
other means of telecommunication which provide a record of the
agreement, or in an exchange of statements of claim and defense in
which the existence of an agreement, or in an exchange of statements
of claim and defense in which the existence of an agreement is
alleged by one party and not denied by another.
Preliminary Procedure of Arbitration
An Arbitration shall be instituted by:
a. In the case of a contract to arbitrate future controversies by the service by either party
upon the other of a demand for arbitration in accordance with the contract.
b. In the event that one party defaults in answering the demand, the aggrieved party
may file with the Clerk of the Court of First Instance having jurisdiction over the
parties, a copy of the demand for arbitration under the contract to arbitrate, with a
notice that the original demand was sent by registered mail or delivered in person to
the party against whom the claim is asserted.
c. In the case of the submission of an existing controversy by the filing with the Clerk of
the Court of First Instance having jurisdiction, of the submission agreement, setting
forth the nature of the controversy, and the amount involved, if any. Such submission
may be filed by any party and shall be duly executed by both parties.
d. In the event that one party neglects, fails or refuses to arbitrate under a submission
agreement, the aggrieved party shall follow the procedure prescribed in
subparagraphs (a) and (b) of Section 5 of RA 876. (Sec. 5, RA 876)
What are the rules when a substantive claim
is before a court?
The following are the rules when a substantive claim is before the court:
a. A court before which an action is brought in a matter which is the subject of an
arbitration agreement shall, if at least one party so requests of both parties
thereafter, refer the parties to arbitration unless it finds that the arbitration
agreement is null and void, inoperative or incapable of being performed.
b. Where an action referred to in the previous paragraph has been brought ,
arbitral proceedings may nevertheless be commenced or continued, and an award
may be made, while the issue is pending before the court.
c. Where the action is commenced by or against multiple parties, one or more of
whom are parties to an arbitration agreement, the court shall refer to arbitration
those parties who are bound by the arbitration agreement although the civil action
may continue as to those who are not bound by such arbitration agreement.
(Article 4.8., IRR, RA 9285)
May a party request for an interim measure of
protection before or during the arbitral
proceedings?
• Yes. It is not incompatible with an arbitration agreement for a party to
request from a court, before the constitution of the arbitral tribunal
or during arbitral proceedings, an interim measure of protection and
for a court to grant such measure.
COMPOSITION OF ARBITRAL TRIBUNAL
• How many Arbitrators may the parties agree upon?
• The parties are free to determine the number of arbitrators Failing such
determination, the number of arbitrators shall be three (3). (Article 4.10., IRR,
RA 9285)
Appointing the Arbitrators
The appointment of arbitrators is governed by the following procedures:
a. No person shall be produced by reason of his/her nationality from acting
as an arbitrator, unless otherwise agreed by the parties.
b. The parties are free to agree on a procedure of appointing the arbitrator
or arbitrators, subject to provisions of paragraphs (d) and (e) of this Article.

• Any party may request the appointing authority to take the necessary
measure to appoint an arbitrator, unless the agreement on the
appointment procedure provides other means for securing the
appointment.
What are the grounds to challenge an
Arbitrator?
When a person is approached in connection with his/her possible appointment as
an arbitrator, he/she impartiality or independence. An arbitrator, from the time of
his/her appointment and throughout the arbitral proceedings shall, without delay,
disclose any such circumstance to the parties unless they have already been
informed of them him/her.

An arbitrator may be challenged only if circumstances exist that give rise to

justifiable doubts as to his/her impartiality or independence, or if he/she does not
possess qualifications agreed to by the parties.

A party may challenge an arbitrator appointed by him/her, or in whose

appointment he/she has participated, only for reasons of which he/she becomes
aware after the appointment has been made. (Article 4.12., IRR, RA 9285)
How is the hearing of Arbitration
conducted?
• Arbitrators may, at the commencement of the hearing, ask both parties for brief statements of
the issues in controversy and/or an agreed statement of facts.
• Thereafter the parties may offer such evidence as they desire, and shall produce such additional
evidence as the arbitrators shall require or deem necessary to an understanding and
determination of the dispute.
• The arbitrators shall be the sole judge of the relevancy and materiality of the evidence offered or
produced, and shall not be bound to conform to the Rules of Court pertaining to evidence.
• Arbitrators shall receive as exhibits in evidence any document which the parties may wish to
submit and the exhibits shall be properly identified at the time of submission. All exhibits shall
remain in the custody of the Clerk of Court during the course of the arbitration and shall be
returned to the parties at the time the award is made.
• The arbitrators may make an ocular inspection of any matter or premises which are in dispute,
but such inspection shall be made only in the presence of all parties to the arbitration, unless any
party who shall have received notice thereof fails to appear, in which event such inspection shall
be made in the absence of such party. (Sec. 15, RA 876)
 Principles of Negotiation
I. Negotiation Defined
II. Critical Points To Remember in Negotiation
III. The Negotiation Process
IV. Eight Sources of Power in Negotiation
V. Encouraging Cooperation
VI. Negotiating Through a Mediator
VII. Concluding a Negotiation
VIII.Ten Practical Tips for Improving Your Negotiation Skills
 I. Negotiation Defined
Negotiation
• is a process in which two or
more persons, groups or entities
with conflicting interests
voluntarily engage in a dialogue
or discussion in order to arrive at
an agreement that will benefit
all the parties concerned;
• The key word in any negotiation
is COMPROMISE.
 Principles of Negotiation
1. There are three components involved in
negotiation:
- negotiate,
- keep track of what is going on, and
- then decide.
 Principles of Negotiation
Parties concerned
• two or more persons, groups or
entities with conflicting
interests; Natural/Juridical
Persons
• neutral third party to participate
through assistance in the
resolution of issues
Exception: adjudication of a
presiding judge of a court or an
officer of a government agency
 II. Critical Points to Remember in Negotiation
• The goal of negotiation; to reach an
agreement, that will benefit both parties
• Open communication and ability to
empathize
• Accept the legitimacy of conflicting views
• Maintain a positive attitude
• Fosters stronger working relationship
• All options must be weighed before
agreeing to enter into negotiation;
• Always look beyond what the other party is openly demanding.

• As a team, always get the commitment of every team member before entering the meeting.
 III. The Negotiation Process

Drawing Up a The Negotiation

Preparing for
Negotiation Negotiation Stages and
Negotiation
Strategy Proper Critical Tasks
A. Preparing for Negotiation
1. All relevant tools and information must be prepared

2. Setting of goals

3. Planning of initial stance

4. Prepare backup and bottom-line positions.

5. Ready answers and solutions to the expected issues or concerns of the other party must be
prepared.
B. Drawing Up a Negotiation Strategy
a. what to do when both parties do not reach an agreement;
b. what the other party will do if they do not reach an agreement with the
negotiator;
c. the true issues in the negotiation;
d. the importance of the issues to the negotiator;
e. the importance of the issues to the other party;
f. the bargaining issue; and
g. the existence of trade-offs.
Drawing Up a Negotiation Strategy
Assessment on the following:
a. what to do when both parties do not reach an agreement;
b. what the other party will do if they do not reach an agreement with
the negotiator;
c. the true issues in the negotiation;
d. the importance of the issues to the negotiator;
e. the importance of the issues to the other party;
f. the bargaining issue; and
g. the existence of trade-offs.
 The Negotiation Proper
Eight Easy Steps in the Negotiation Process
1) All of the players should be clear with their interests and demands.
2) Identify and acknowledge all conflicts and issues which need to be
resolved.
3) Agree on a common goal
4) Bargain for a better deal
5) Trade concessions
6) Try to resolve the issues and problems of all those concerned
7) Compromise
8) Conclude with a formal or written agreement
 Four Negotiation Stages and Critical Tasks
a. The Preliminary Stage
b. The Opening Stage
c. The Exploratory Stage
d. The Conclusion or the Closing Stage
 Four Negotiation Stages and Critical Tasks
a. The Preliminary Stage
1) Create a climate conducive to the positive exchange of views and issues such as resolving all
past disputes/conflicts;
2) Establish rapport; and,
3) Get agreement on agenda and ground rules. Identify issues and roles. Establish timelines.
 Four Negotiation Stages and Critical Tasks
b. The Opening Stage
1) Opening position or initial offer must be clearly stated; and,
2) The other party’s opening position or initial demand must be clarified and must be tested in a
logical and rational manner.
 Four Negotiation Stages and Critical Tasks
c. The Exploratory Stage
1) Identify the other party’s underlying demands and needs through active listening and probing
through asking questions; and
2) Test alternative currencies of exchange must be tested. Concessions and compromises must be
made in order to arrive at a meeting point or an agreement.
 Four Negotiation Stages and Critical Tasks
d. The Conclusion or the Closing Stage
1) Currencies (or terms) must be matched to the needs. Agreement must be formalized after
resolving the potential problems and all lingering concerns; and
2) Ensure that what has been agreed upon is enacted or implemented as planned using the
appropriate form such as a contract or a memorandum of agreement.
IV. Eight Sources of Power in a Negotiation Process
• Power is defined as an individual’s ability to get things done by influencing other people.

• Power, however, is a means, not an end, and is largely based upon perception.

1. Information 5. Willingness to Take Risks

2. Time 6. Commitment

3. Less Need 7. Expertise

4. Credibility 8. Empathy
V. Encouraging Cooperation
a. Reaction

b. The other party’s negative emotions

c. The other party’s positional behavior

d. Dissatisfaction from the Other Party

e. The other party sees the negotiation as a win-lose proposition

VI. Negotiating Through a Mediator
1. A mediator in a negotiation can help both parties reach an agreement but cannot impose a settlement on
or make decisions for them;

2. A mediator helps parties make concessions when conflicts of interest are insignificant;

3. Mediation is a commonly used intervention option but is not necessarily the remedy for all disputes;

4. A mediator can help the parties reach an agreement, but not necessarily the best agreement;

5. A mediator cannot help if the negotiators are rude, hard-headed and confrontative;

6. The presence of a mediator may change completely or partly the actions, reactions and interactions of the
parties;

7. Mediators are unbiased and free of prejudices, looking after the best interests of both parties; and

8. A mediator is both a negotiator

VI. Seven Signs that the Closing Stage of the
Negotiation is Reached
1. You have clearly defined alternative options to fully satisfy and meet your primary need;

2. The other party has also clearly defined satisfactory alternative options to meet their primary
need;

3. All the existing barriers to the effective conclusion of the negotiation have been identified and
resolved;

4. Both parties have freely discussed the alternative currencies for exchange vital to a happy
compromise/agreement;

5. The agreement has been thoroughly reviewed, summarized, and approved by both parties;

6. Both parties have agreed on the form of agreement; and

7. Both parties have agreed to take active roles in the implementation of the agreement.
VIII. Ten Practical Tips for Improving Your
Negotiation Skills
1. Before entering into negotiation, do your own creative research and fact-finding intelligence
networking, gathering pertinent information about the other party;

2. Be knowledgeable and well-rounded about the areas of concerns to increase your confidence
and to be able to formulate the right approach to take;

3. Draw up clear-cut objectives. Clearly state your aims and expectations;

4. Formulate short-term and long-term approaches to fully support your main objective;

5. Be firm, determined and decisive but polite, tactful, diplomatic, flexible and logical when
communicating and negotiating with the other party;
VIII. Ten Practical Tips for Improving Your
Negotiation Skills
6. Learn the art of active listening in order to better understand the other party’s ideas, opinions
and feelings;

7. Lay down your initial and final offers in the proper way and at the right time;

8. Set priorities and timelines that are realistic and attainable for both parties;

9. Introduce the third-party approach, e.g., using a mediator, arbitrator or independent tribunal,
as a means of breaking a stalemate and resolving disputes; and

10. Always negotiate towards agreements that are advantageous to everyone concerned either on
a short-term or long-term basis.
Hostage Negotiation
1. Complainant - the person notifying Law Enforcement of the offense.
2. Counter-Surveillance - any method either physical or technical employed by the offender(s) to
detect Law Enforcement involvement or the use of surveillance.
3. Courier - the person(s) delivering the concessions(s), which, purports to be, that being demanded
by the offenders.
4. Crisis Intervention - focuses on studying an individual’s life in order to defuse the destructive
effects of the unusual stress being experienced, and then assisting the individual in crisis to go
back to his or her normal condition before the crisis.
5. Crisis Negotiation - the use of communication techniques and strategies to influence a person to
change his/her behavior in accordance with goals within legal, ethical and moral constraints.
Hostage Negotiation
6. Hostage - an individual who has been held by the perpetrators against his/ her will.
7. Hostage-taker(s) - an individual or group of person who hold another person(s) against
his/her/their will as bargaining chips for purposes of demanding certain amount of money, self-
protection, thwarting any police action, or pursuing personal interest or that of the general public.
8. Hostage-taking - a situation in which the perpetrators hold person(s) captive against their will as
bargaining chips in a known location, refusing the demands of the authorities to surrender.
9. Hot debrief – short debriefing conducted by negotiating team prior to turnover to another set of
negotiating team.
10. Incident/On-Scene Commander - the senior officer in command of the incident.
Hostage Negotiation
11. Inside Agent - a person who is in any advantageous position (e.g. employed by the victim or victim’s
organization) which allows them to gather intelligence or carry out counter surveillance on behalf of the
offenders.
12. Intermediary - any person authorized by the Incident/On-Scene Commander to communicate with the
hostage-takers either upon the request of the latter or to facilitate smooth communication between the
designated negotiators and the hostage-takers. All actions of the intermediary are supervised by the
negotiators.
13. Kidnapper(s) - an individual or group of persons who kidnapped or held another person against his/her
will as bargaining chips for purposes of demanding certain amount of money, self-protection, thwarting
any police action, or pursuing personal interest.
14. Negotiation - to communicate on a matter of disagreement between two parties, with a view to first
listen to the other party’s perspective and then attempt to arrive at a resolution agreed by consensus.
15. Neighborhood Check – the process of getting information from a person who knew the victim
particularly in the neighborhood with the purpose of obtaining material information about the victim
and probable suspect.
Hostage Negotiation
16. Pay-off – the act of exchanging an agreed amount between the family and the kidnappers at a
designated time and place for the safe release of the victim.
17. Negotiator - a trained PNP personnel or any person authorized by the Incident/On-Scene
Commander to negotiate for and in behalf of the police
18. Proof of life - positive proof that the hostage is alive, obtained from a reliable or verified source.
19. Stockholm Syndrome - term that refers to a situation during hostagetaking where the victim
develops rapport and becomes sympathetic with his/her captor.
20. Stronghold - any location or structure, fixed or mobile, where the hostage is being held.
Hostage Negotiation
21. Suicide Intervention - the use of communication techniques and strategies to influence a person
to change behavior and reconsider his desire to commit suicide.
22. Tactical Interrogation - refers to the act of questioning or eliciting information from a suspect to
produce information of tactical or operational value.
23. Victim - the person/company/organization to whom the unwarranted demand or threat is directed
or intended, or is expected by the offenders to respond.
24. Victim Communicator - the individual communicating directly with the people making the
threat(s), demand(s) or issuing instructions.
25. Victimology – the process of obtaining a detailed account of the victim’s lifestyle and personality
that can assist in determining the nature of the disappearance, the risk level of the victim, and the
type of person who could have committed the crime. It also includes complete information
regarding the victim’s physical description, normal behavioral patterns, family dynamics and
known friends and acquaintances.
THEORY IN HOSTAGE/CRISIS NEGOTIATION
Concept
• The primary concern safe release of the hostages and safe surrender
of the hostage-takers or arrest of the perpetrators,
• Negotiations should offer the best options for the hostages, the
hostage-takers and the police.
• Negotiation must be conducted in accordance to the policy of no
substantive concession.
Objectives of Negotiation
Negotiation should be conducted primarily for the following objectives:

a. The safe release of the hostage;

b. The safe hand over of the perpetrators;

c. Arrest of the perpetrators;

d. Minimize harm to both the hostage and the hostage-takers; and

e. Minimize damage to properties.

Basic Facts in Negotiation
a. POLICE PERSPECTIVE - Time allows the police to assemble its resources
and draw a detailed plan on its actions. It increases opportunity for
external and internal intelligence gathering.
b. HOSTAGE PERSPECTIVE - for the hostages, time allows the following:
Increases human needs; Identifies as an individual; Reduces anxiety;
Exhaustion; Boredom; Increase opportunity for escape; and Increase
opportunity for bonding (Stockholm Syndrome).
c. HOSTAGE-TAKERS PERSPECTIVE - time allows and increases rationality
among the perpetrators i.e. the need for food, water, light, air-condition,
or anything which they think could remove those that destruct their
concentration or make them comfortable. Time might also reduce
expectations and increases suspicions or doubts on the police intentions.
Basic Facts in Negotiation
Sources of intelligence are as follows:
• Deliveries – Personnel who are tasked to deliver anything at the stronghold
may get valuable information.
• Releases – Released hostages may likewise provide some details of what
happened inside the stronghold.
• Technical – Technical capabilities of intelligence units could also acquire
information using specialized gadgets.
• Written statement - Statements of witnesses before and during the
incident are also vital.
• Forensic - Forensic data are also vital not only during negotiations but also
after the incident when evidence are needed for filing of appropriate
charges.
Basic Facts in Negotiation
• Preparations before vocalization
a. The details of what has happened
b. The details of the STRONGHOLD
c. The details of the HOSTAGES
d. The details of the HOSTAGE-TAKERS
Basic Facts in Negotiation
Stockholm Syndrome
a. About bonding and transference
b. Emotional bonding as a coping mechanism:
c. Between negotiator and hostage-taker – This should not take place
since the objectivity of the negotiation might be lost.
THE NEGOTIATORS
Qualities of Negotiators
1. Communication
2. Cognitive Skills
3. Relationship with People
4. Professional Competence
5. Personal Qualities
THE NEGOTIATORS
Qualities of Negotiators
1. Communication
2. Cognitive Skills
3. Relationship with People
4. Professional Competence
5. Personal Qualities
 MEMORANDUM CIRCULAR NO. 2020-081
PNP CRITICAL INCIDENT MANAGEMENT OPERATIONAL PROCUDERES
(CIMOP) (REVISED 2020)
• Crisis – a crisis or emergency is a threatening condition that requires urgent action or response

• Risks – the chance or possibility of danger, loss, injury, or other adverse consequence

• Crisis Management – involves plans and institutional arrangement to engage and guide the efforts of government, non-government, voluntary and private
agencies in comprehensive and coordinated ways to respond to the entire spectrum of crisis needs

• Special Events – events/activities which include the following:

1. Presidential Visits – all activities wherein the President of the Republic of the Philippines is the Guest of Honor and Speaker or official/unofficial visits of the
President ina nay part of the country;
2. International Events and Visits of Foreign VIPs/Guests – international events held in the country and visits of foreign VIPs/Guests; and
3. Yearly Recurring Events/Holidays like: Summer Vacation, Opening of Classes, Opening of the Regular Session of Congress and Sate of the Nation Address (SONA)
of the Philippine President, All Saints/Souls Day, Rizal Day, Labor Day, Independence Day, Yuletide Season, and Election/Plebiscite

• Planned Event – an event of national or international significance, where the overall responsibility for the security rests with the host economy/nation.

1. Contingency Planning – a forward planning process in a state or uncertainty, in which scenarios and objectives are agreed, managerial and technical actions
defined, and potential systems are put in place in order to prevent or better respond to an emergency or critical situation

2. Emergency Planning – decision-making prior to an actual crisis or disaster including the consideration or resources requires to mange and resolve the event. The
plan must also include the necessary steps during and after the crisis is resolved.

3. Incident Action Plan (IAP) – ensures that everyone is working towards the achievement of the same goal for that specific operational period.
CEREX – refers to Critical Emergency Response Exercise

Incident – an event or occurrence

Critical Incident – any incident or event whether human-induced or natural disaster including declaration or directives that requires implementation of special tasks by one or more
government agencies with the direct or indirect involvement of the PNP on the conduct of police interventions and operations

a. Human-Induced Critical Incident – refers to acts of terrorism, destabilization/public disturbances, biological health hazards caused by either terrorists or by major epidemic and
pandemic and/or criminal activities that require prompt implementation of police procedures or interventions to contain the incident and mitigate its impact as well as to
normalize the situation
a. Sabotage – is an act or acts with intent to injure, interfere with, or obstruct the national defense of a country or disrupt the normal activities of a civilized society by
willfully injuring or destroying, or attempting to injure or destroy, any national defense or war material, premises, or utilities, to include human and natural resources
b. Chemical/Biological/Radiological/Explosive (CBRNE) – an acronym for chemical, biological, radiological, nuclear, and explosive issues that could harm the society
through their accidental or deliberate release, dissemination, or impacts
c. Civil Disturbance – is typically a symptom of, and a form of protest against, major socio-political problems; the severity of the action coincides with public expression(s) of
displeasure.
d. Criminality – an act or omission against public law which tends to prejudice the community and is punishable by the courts of justice
e. Critical Mass Rally – the size and number of people conducting public assembly that cannot be normally suppressed by Civil Disturbance Management (CDM) security
forces that may escalate into bloody violence and general chaos

b. Natural Disaster – any event or force of nature that has catastrophic consequences, such as landslide, earthquake, typhoon, flood, storm surge, tsunami, lightning, tornado, forest
fire, and volcanic eruption
a. Epidemic – refers to increase, often sudden, number of cases of an infectious diseases above what is normally expected in a given population in a specific area
b. Pandemic – an epidemic of infectious disease that spread through human population across a large region, multiple continents or even worldwide.

• First Responder – any person or unit who arrive first at the place of incident and endeavors to render assistance to the victim and to protect and secure the incident scene.

a. Disaster Incident – 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.

b. Health hazards – are chemical, physical, or biological factors in our environment that can have negative impacts on our short or long-term health. Exposure can occur through
touch, inhalation, and ingestion.