2. LEGAL BASIS FOR ADR
• Executive Order No. 523
which instituted the use of
Alternative Dispute
Resolution in all government
agencies
• Republic Act No. 9285 or the
Alternative Dispute
Resolution Act of 2004
3. OBJECTIVES
1. Manage disputes at the lowest possible level
2. Provide an alternative procedure and enhance the
existing mechanism in managing disputes
3. Develop capabilities of personnel in managing
disputes at all levels
4. ● refers to any disagreement
among parties that may result
in a complaint
DISPUTE
5. refers to any process 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 in which a neutral third party
participates to assist in the resolution of issues.
ALTERNATIVE DISPUTE RESOLUTION
6. ADRs in DEPED
• Rule No. 11, 2017 RACCS
• DepEd Order No. 15, s. 2012
• DepEd Order No. 35, s. 2004
8. APPLICABILITY
• Light Offenses where the act is purely personal on the part of the
private complainant and the person complained of and there is no
apparent injury committed to the government, settlement of offenses
may be considered.
• Settlement can no longer be applied for the second offense of the
same act
9. GUIDELINES
• Allowed only for administrative offenses where the act is purely personal
between the private complainants and the person complained of and there is no
apparent injury to the government.
• DA or its authorized representative motu proprio shall determine whether the
offense can be the subject of settlement. The person complained of shall be
required to comment and indicate therein whether he/she willing to submit the
case for settlement.
• The person complained of may move for the settlement of the complaint
anytime before the issuance of the formal charge.
• If the person complained of opts for settlement, the DA or authorized
representative shall issue an order requiring the appearance of parties.
• If settlement succeeds, a Compromise Agreement shall be executed between
the parties and attested by the disciplining authority or authorized representative
10. GUIDELINES
• The Compromise Agreement shall be binding on the parties which cannot
be impugned unless proven that there was duress or fraud in its execution
on the part of any of the parties;
• A decision shall be issued by the disciplining authority based on the
Compromise Agreement which may include, among others, the provisional
dismissal of the complaint
• In the event that the proceedings fail, the DA or authorized representative
shall issue an order terminating the process and continue with the
investigation of the case
• In case of non-compliance by the person complained of with the
Compromise Agreement , the case may be reopened for investigation until
its final determination.
12. MEDIATION
refers to the process that facilitates communication and negotiation that assists the
disputants towards reaching a voluntary and mutually acceptable settlement agreement
13. The end goal of mediation is for parties to
reach an agreement and NOT to DECIDE in
behalf of the parties.
14. SUBJECT OF MEDIATION
1.Complaints/ Grievances/ Disputes
concerning an act or omission of
DepED officials/employee,
2.Alleged to be unreasonable, unfair,
oppressive, discriminatory, illegal,
unjust, improper or inefficient,
AND
3.Fall under Light Offenses where the
corresponding penalty is
REPRIMAND
4.Similar offenses which parties
agree to settle through mediation
1. Sexual Harassment cases
2. Child Abuse Cases
3. Cases involving VAWC
4. Disciplinary cases not provided under paragraph 1, Section 4
of the policy guidelines which shall be resolved pursuant to
Uniform Rules on Administrative Cases
5. Issues and problems related to performance evaluation
system
6. Motu proprio cases
15. FORM OF COMPLAINT
• in any form, either oral or in
writing or filed through
electronic means.
• Requirement:
• the requesting party shall indicate
his or her complete address and
contact number and those of the
parties complained of
16. Mediation Unit
• Composition:
• three members who are non-mediators
with one coming from the Legal unit.
• Duties:
• manage disputes at their levels
• monitoring and evaluation of the
implementation of the mediation program
• monitoring and evaluation of the
performance of the mediators
• maintain a roster of trained mediators.
17. Mediation Process
Complaint/
Grievance/
Request for
Assistance
•Shall be addressed to the Head of Office, who shall thereafter refer the same to the Mediation Units.
Initial
Evaluation
•Determination by the Mediation Unit of whether:
•It is appropriate for mediation.
•It is practicable for disputants to attend mediation.
•There is need for emergency relief that makes mediation impracticable.
Docketing
•Docketing shall be using the reference code numbers provided in Annex A of the DepEd Order
Selection of
Mediator
•Mediation Unit shall provide a roster of mediators from which parties will select their common choices.
•In the event that more than one common choices is made, Mediation Unit shall make the selection. If there is no common choice, the mediation
unit shall choose by raffle.
18. Mediation Process
Initial
Conference
•Initial conference shall be made within 15 days from the date of acceptance of the selected mediator. Subsequent conferences shall be
scheduled by the parties.
•The parties shall sign an agreement to mediate during the initial conference and agree to abide by the policy guidelines.
•If the disputants fail to appear on the initial conference, the mediator shall schedule another.
•Failure of one of the parties to attend two sessions without notice or justifiable cause shall warrant the termination fo the mediation.
Settlement
•The parties shall endeavor to settle the issue within 30 days.
Termination of
Proceedings
•If no settlement is made within 30 calendar days from date of initial conference, the mediator may close the mediation proceedings, unless there
is written request by all parties to extend the process.
•The extension shall only be fore maximum 30 days.
Execution/
Enforcement
•If the parties reach a settlement, an agreement shall be prepared and signed by the parties with the assistance of their respective
counsels, if there be any, and by the mediator.
•If there is a need to enforce the settlement agreement, the parties shall file appropriate petitions with the courts.
19. MEDIATOR
refers to a neutral/third party official or employee of DepEd certified by the
Department to handle or conduct a mediation process.
20. Qualifications
• Has the willingness to assist the parties
• Displays patience, empathy and integrity
• Has completed 40 classroom training on mediation
and 40 hours of internship
• Certified by recognized mediation training
institution and by DepED as a mediator
Duties
• Abide by the terms of the Agreement
to Mediate and the Code of Conduct of
Mediators
• Facilitate the negotiations between the
parties toward mutually acceptable
solution
• Assist the parties in drawing up the
written settlement agreement
• The mediator shall inhibit him/herself
in the litigation and/or investigation of
the same case in whatever capacity if
elevated to a court of law
• Shall not make any ruling, finding or
recommendation with respect to the
dispute even with the express request
of all parties involved.
Disclosure of interest
• Must immediately disclose to the mediation unit and the
parties all the circumstances that are likely to create an
impression of bias or prevent from acting promptly. Upon
receipt of disclosure, Mediation Unit chooses another
Mediator by raffle, unless otherwise decided by the parties.
MEDIATOR
21. ● Initial Conference – refers to the mandatory initial meeting in which the disputants involved in a
conflict/dispute are called to appear before a mediator to discuss the process, benefits and
advantages of mediation. Its purpose is to determine the readiness and willingness of the disputants
to submit their dispute to mediation.
● Private Caucus – refers to the process wherein the mediator, at his discretion, conducts separate
sessions privately and in confidence with each fo the disputing parties. This is the exploratory stage
during the mediation process, where each party is encouraged to speak more openly about the issues
and potential options for settlement.
● Settlement Agreement- refers to mutual concessions or the consensus arrived at by the contending
parties during the mediation proceedings, reduced into writing and signed by the disputants and the
mediator
22. THE PARTIES
Appearance of Parties
• The parties shall appear in person. In
case of agencies/organizations, the
parties may appoint representatives
to act for and on their behalf at the
mediation. The parties shall confer
upon their representatives the
necessary full authority or special
power of attorney to enter into
mediation and sign agreements
APPEARANCE OF LEGAL COUNSEL
• The absence of a counsel shall not
prevent the mediation to proceed.
• The parties may seek outside advise
that will aid them in making informed
decisions and in understanding the
implications of any proposal.
• The legal counsel may not participate
during the mediation. He or she will
only act as an observer.
23. CONFIDENTIALITY
Proceedings • All mediation proceedings shall be kept confidential. No transcript or any audio-visual
recording shall be taken during the mediation process.
• All notes and admissions of the parties involved in the dispute shall not be admitted in any
judicial or quasi-judicial proceedings
• The mediator may take down personal notes which shall not form part of the records of the
mediation process. These personal notes shall be destroyed immediately upon termination
of the mediation process
Issues to be
discussed
The mediator shall discuss the issues of confidentiality with the parties involved in the dispute
during the initial conference.
Privilege • All information obtained through mediation shall be construed as strictly privileged and
highly confidential.
• A mediator or party involved in the dispute or the counsel for the parties shall be prohibited
to disclose confidential information through all forms of media-print, broadcast or electronic.
• In a judicial or quasi-judicial proceeding, a mediator is prohibited to testify or to execute any
affidavit about any confidential information gathered during the mediation process.
24. CONFIDENTIALITY
Exception of the
Privilege
1. In an agreement evidence by a record authenticated by all parties to the agreement
2. Available to the public
3. A threat or statement of a plan to inflict bodily injury or commit a crime of violence
4. Intentionally used to plan a crime, attempt to commit a crime, or conceal an ongoing crime
5. Sought or offered to prove or disprove a claim or complaint of professional misconduct or malpractice filed against a mediator
in a proceeding; or
6. Sought or offered to prove or disprove a claim or complaint of professional misconduct or malpractice filed against a party,
non-party participant or representative of a party based on conduct occurring during the mediation.
Waiver of the
Privilege
The privilege of confidentiality of information may be waived orally or in writing during the mediation proceedings by the
mediator and the parties involved in the dispute
Prohibitions and
Exceptions
A mediator shall not make a report, assessment, evaluation, recommendation, finding, or other forms of communication regarding
the mediation to a court or agency or other authority that makes a ruling on a disputant that is the subject of a mediation, except::
1. To state that a mediation took place or was terminated or that a settlement was reached; and
2. As permitted to be disclosed under Section 10.4 of this policy guidelines.
25. MEDIATION OF
PENDING CASES
• A pending case maybe subjected
to a mediation process as long as
it falls under those instances
covered by mediation or it is
within the jurisdiction of the
mediation unit and that both
parties agree to the process.
26. GROUNDS OF
TERMINATION
• A party withdraws from the mediation
process
• A written settlement agreement is
executed and duly signed by the parties
• No settlement is reached
• There are circumstances which exists as
described in sub-paragraphs c and d of
Section 10.4 (communications referring to
a threat/statement of a plan to inflict
bodily injury or commit a crime of
violence or intentionally used to plan a
crime, attempt a crime, or conceal and
ongoing crime)
WITHDRAWAL OF
PARTIES
TERMINATION OF PROCEEDINGS
• Any of the parties may withdraw in writing from the
mediation at any time during the mediation process
27. MOTION FOR
REOPENING
• There shall only be one motion for
the reopening of the mediation
proceedings that shall be
entertained.
28. RECORD
KEEPING
• All forms pertaining to the case must be kept
confidential by the Mediation Unit. No person other
than the mediation unit and the mediator in charge is
allowed to view the case filed. Minutes of the
mediation sessions prepared by the mediators to guide
them in the process shall be destroyed upon
termination or completion of the mediation process.
29. ADR Through Mediation aims to assist in the
speedy disposition of disputes between parties.
It covers Light Offenses subject to penalty of
Reprimand.
A different rule applies for grievances.
30. BEFORE I BEGIN…I am distributing to
you a piece of paper. This is the
template for the Grievance Form. I am
giving you all a chance to share
whatever dissatisfaction you are
experiencing in your own Schools
Division Offices.
32. 1. A grievance shall be resolved expeditiously at all times at the lowest level possible. However, if not
settled at the lowest level possible, an aggrieved party shall present his/her grievance step by step
following the hierarchy of positions.
2. The aggrieved party shall be assured freedom from coercion, discrimination, reprisal, and biased
action on the grievance.
3. Grievance proceedings shall not be bound by legal rules and technicalities. Even verbal grievance
must be acted upon expeditiously. The services of a legal counsel shall not be allowed.
4. The head of agency shall ensure equal opportunities for men and women to be represented in the
grievance committee.
BASIC POLICY
33. The Grievance Machinery shall apply to all levels of
officials and employees in the Department of Education
(DepEd), including non-career employees whenever
applicable.
SCOPE
34. What is a grievance?
It is a work-related issue that causes
employee dissatisfaction or
discontentment.
35. DIFFERENTIATE
Grievance Admin Complaint
Requestor Employee Any person
Responding Party DepEd, Co-Employee, Immediate Superior DepEd Employee
Basis/Grounds Work dissatisfaction Violations of Rules of Conduct for an Employee
Initiating Process Verbal/Written Document Formal Complaint/ Written Incident Reports
Action Negotiation Due Process
Resolution Agreement by Parties/Decision by
Committee
Decision by Disciplining Authority
36. The following shall be acted upon through the Grievance Machinery:
• Non-implementation of policies, practices and procedures on economic and
financial issues and other terms and conditions of employment.
• Non-implementation of policies, practices and procedures which affect
employees from recruitment to promotion and other human resource actions.
• Inadequate physical working conditions.
• Poor interpersonal relationships and linkages;
• Protest on appointments; and
• All other matters giving rise to employee dissatisfaction and discontentment
outside of those cases enumerated above.
37. Cannot be acted upon through the Grievance Machinery:
• Disciplinary cases which shall be resolved pursuant to the
Revised Rules of Procedure of the Department of Education in
Administrative Cases (DO No. 49, s. 2006);
• Sexual harassment cases as provided for in RA 7877; and
• Union-related issues and concerns.
39. The Department shall establish separate grievance
committees in the central, regional, division and district offices and
in schools. Only permanent officials and employees shall be
appointed or elected as members of the grievance committee. In
the appointment or election of the committee members, their
integrity, probity, sincerity and credibility shall be considered.
Officials who refuse to take action on a grievance brought to their
attention shall be liable for neglect of duty in accordance with the
civil service laws, rules and regulations.
40. GRIEVANCE COMMITTEE
Composition Jurisdiction
School Grievance Committee
1. Principal or Head Teacher
2. President of the Faculty Club
3. A teacher who is acceptable to both the aggrieved party and
the object of the grievance to be appointed by the Principal or
Head Teacher
The School GC shall have original jurisdiction over grievances of
teachers and non-teaching personnel in the school that were not
orally resolved.
District Grievance Committee
1. District Supervisor/Coordinator or his/her designated
representative
2. Principal of the school where the grievance originated
3. President of the District Teacher’s Association or his/her
designated representative.
The District GC shall have original jurisdiction over grievances of
employees in the district that were not orally resolved. It shall also
have appellate jurisdiction over grievances that were not resolved in
the Scholl GC.
School Division Grievance Committee
1. SDS or his/her designated representative
2. District Supervisor/Chair/Coordinator of the district where the
grievance originated
3. The President of the Schools Division Teachers Association or
his/her designated representative.
The Schools Division GC shall have original jurisdiction over
grievances of employees in the division that were not orally
resolved. It shall also have appellate jurisdiction over grievances
that were not resolved in the District GC.
41. GRIEVANCE COMMITTEE
Composition Jurisdiction
Regional Grievance Committee
1. Regional Director or his/her designated representative
2. Chief or Head of the Administrative Division
3. Two (2) division chiefs to be chosen among themselves
4. Two (2) members of the rank of file, one from the first
level and another from the second level, to be chosen
through a general election or any other mode of the like.
In case there is an accredited or recognized employees
union, the same shall designate said representatives.
The first level representative shall participate in the
resolution of the grievance of first level employees while
the second level representative shall participate in the
resolution of the grievance of second level employees.
The two (2) representatives from the rank and file shall
serve for a term of two (2) years.
5. Designated Bilis Aksyon Partner.
The Regional GC shall have original jurisdiction over
grievances of employees in the region that were not orally
resolved. It shall also have appellate jurisdiction over
grievances that were not resolved in the Schools Division
GC.
42. GRIEVANCE COMMITTEE
Composition Jurisdiction
Department Grievance Committee
1. Highest official responsible for Human Resource Management
2. Two (2) Division Chiefs, one from the OSEC proper and one from
the bureaus to be chosen from among themselves.
3. Two (2) members of the rank and file, one from the first level and
another from the second level, to be nominated by the accredited
or recognized employees union. The first level representative
shall participate in the resolution of the grievance of first level
employees while the second level representative shall participate
in the resolution of the grievance of second level employees. The
two (2) representatives from the rank and file shall serve for a
term of two (2) years.
4. Designated Bilis Aksyon Partner.
The Department GC shall have original jurisdiction over grievances
of employees in the different bureaus/services/centers and offices in
the Central Office that were not orally resolved. It shall also have
appellate jurisdiction over grievances that were not resolved by the
Regional GC.
44. a) Establish its own procedures and strategies. Membership in the grievance committee shall be
considered part of the member’s regular duties.
Develop and implement pro-active measures or activities to prevent grievance such as an employee
assembly which shall be conducted at least one every quarter, “talakayan”, counseling and other HRD
interventions. Minutes of the proceedings of these activities must be documented.
b) Conduct regular and continuing information drive on the Grievance Machinery among officials and
employees. “To avoid confusion and circuitry of action as well as to prevent direct complaints to the
Central, Regional and Division Offices”
c) Conduct dialogue between and among the parties involved.
d) Direct the documentation of the grievance including the preparation and signing of written agreements
reached by the parties involved.
e) Issue final certification on the Final Action on the Grievance (CFAG) which shall contain, among other
things, the history and final action taken by the agency on the grievance.
f) Submit a quarterly report of its accomplishments and status of unresolved grievance to the Civil Service
Commission Regional Office concerned.
50. a. The employee/aggrieved party shall be put at ease.
b. The employee/aggrieved party shall be encouraged to talk.
c. Privacy in discussion.
d. The case shall be heard fully.
e. A definite decision shall be reached.
In the oral discussion, the following shall be
observed :
54. GRIEVANCE REPORT
Aggrieved Party:
______________________________
Responding Party:
______________________________
Grievable Issue: (choose from the following)
• Non-implementation of Terms and Conditions of Employment
• Non Implementation of Human Resource/Personnel Action Policies
• Physical Working Conditions
• Interpersonal Linkages or Relationships
• Protest on Appointments
• Other matters of employee dissatisfaction
Grievance Committee:
Chairman: __________________________
Members:
__________________________
__________________________
__________________________
__________________________
57. ● Group yourselves by five members.
● Identify among yourselves who will serve as the parties, and
the members of the Grievance Committee
● Choose from the different grievances that each of the
members made, which of those will you choose to undergo for
a grievance proceedings.
● You will be provided with three minutes to prepare. Thereafter,
we will choose two teams to present a sample grievance
proceedings
● After the presentation, there will be critiquing.
Instructions
