OFFICE OF THE PRESIDENT

HOUSING AND URBAN DEVELOPMENT COORDINATING COUNCIL

HOUSING AND LAND USE REGULATORY BOARD

Overview of

Alternative Dispute
Resolution (ADR)
Atty.
Atty. Cesar
Cesar A.
A. Manuel,
Manuel, MNSA
MNSA

Director,
Director, Legal
Legal Services
Services Group
Group
Supervising
Supervising Director,
Director, HOA
HOA Special
Special Project
Project Team
Team
Trained
Mediator
for
the
Executive
Branch,
CoRe
Trained Mediator for the Executive Branch, CoRe Group
Group

Training on Mediation Process for HOA Disputes and

Community Organizing for Federation of HOAs for VisMin
21-23 November 2012 | Cebu

OFFICE OF THE PRESIDENT

HOUSING AND URBAN DEVELOPMENT
COORDINATING COUNCIL

HOUSING AND LAND USE REGULATORY

BOARD

RA 9285
Alternative Dispute
Resolution Act of 2004
April 2, 2004

ADR System
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
this Act, 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 (a),
3
Chapter 1, RA 9285)

Modes

Arbitration

Mediation

Conciliati
on
4

Arbitration
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 this Act,
resolve a dispute by rendering an
award. (Sec. 3 (d), Chapter 1, RA
9285)
5

Arbitration
Decision
Arbitrator

Disputant

Disputant

Arbitrator appointed by the parties

Formal process regulated by arbitration procedures
Parties input ideas and background
Adversarial proceedings
Focus is on rights and past events
Decision, which is based on evidence and technical
assessment, is imposed on the parties by the Arbitrator

Conciliation

(under HLURB
Rules)

An alternative mode of settling disputes whereby

parties to a dispute without a verified complaint
allow a third party, called the conciliator, to
conduct conciliation proceedings in order for the
parties to arrive at an amicable settlement. (Sec.
2, Rule 2, HLURB MC No. 08, S. 21 March 2011)

The Conciliator
Prior to the conduct of the conciliation
conference, the conciliator shall
explain the nature, objectives and
rules of the proceedings. The
conciliator shall facilitate the
dialogue/discussion between the parties
to encourage the settlement of the
dispute without need of filing of a formal
complaint. The conciliator may meet
or communicate with the parties
together or individually. (Sec. 14, Rule
3, HLURB MC No. 08, S. 21 March 2011)

Mediatio
n
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 (q), Chapter
1, RA 9285)
9

Mediatio
n
Mediator
Disputant

Disputant
Decision

Mediator agreed to by the parties

Informal Process controlled by the Mediator
Mediator is independent and impartial facilitator
Parties fully participate in deciding issues, creating,
evaluating and agreeing options
Focus is on the present and future and solving problem
10
Outcome aims for mutually accepted win-win

In HLURB
Parlance
Conciliation

Mediation

11

OFFICE OF THE PRESIDENT

HOUSING AND URBAN DEVELOPMENT
COORDINATING COUNCIL

HOUSING AND LAND USE REGULATORY

BOARD

Mediation as
Preferred ADR
Mechanism for
HOA Disputes
12

Mediation (under the 2009 Rules)

Rule X. Mediation and Amicable Settlement
Section 1. Mandatory mediation

Section 2. Confidentiality of mediation proceedings

Section 3. Mediation conference

Section 4. Role of the mediator

Section 5. Appearance of parties mandatory

Section 6. Effect of non-appearance in mediation conference

Section 7. Compromise agreement; judgment upon

compromise
Section 8. Termination of mediation conference
13

Mediation

(under the 2009

Rules)

Mandatory Mediation.- The conduct of mediation in adversarial

cases filed before the Regional Offices is mandatory. However,
mediation shall still be available at any stage of the adjudication
proceedings, even on appeal upon the request of both parties. (Sec.
1, Rule X, 2009 HLURB Revised Rules of Procedure)
Role of the mediator.- Prior to the conduct of the proceedings, the
mediator shall explain to the parties the objectives, nature and rules
of the mediation process and upon the parties agreement to submit
to the same, proceed to facilitate communication and negotiation in
order to assist the parties in reaching a voluntary agreement
regarding their dispute. (Sec. 4, Rule X, 2009 HLURB Revised Rules
of Procedure)
14

Mediation

(under the 2009

Rules)

Compromise agreement; judgment upon

compromise.- If a compromise is reached, the agreement
shall be reduced in writing, signed by the parties and
attested by the mediator who shall then return the case to
the Arbiter together with the compromise agreement.
Forthwith, the arbiter shall render judgment based on the
compromise agreement which shall be immediately
executory and not appealable. (Sec. 7, Rule X, 2009 HLURB
Revised Rules of Procedure)
15

Mediation

(under the 2009

Rules)

Termination of mediation conference.- Where no

compromise or settlement is reached within thirty (30) days
from the date of the initial conference, the mediator shall
terminate the mediation proceedings unless both parties agree
to an extension which shall in no case exceed a period of
fifteen (15) days. Upon termination, the mediator shall
forthwith return the case to the Arbiter with a certificate
attesting that Rule X, Section 1 of these Rules has been
complied with. (Sec. 8, Rule X, 2009 HLURB Revised Rules of
Procedure)

16

Mediation (Prior to the filing of

cases in HLURB under the 2009 Rules)

The following shall be attached to the complaint upon filing:
xxx
In homeowners association cases, a certification
issued by the chairman of the Election Committee in
cases involving elections, or by the chairman of the
Grievance Committee or any other committee
constituted to resolve any matter in controversy at
the association level, as the case may be, stating
under oath that the parties have been invited to
participate in the proceedings to settle the dispute
but that no amicable settlement was reached; and
xxx
(Sec. 2.D.A., Rule IV, 2009 HLURB Revised Rules of Procedure)

17

Mediation

(under the 2011 Rules)

Rule 10. Conference, Mediation and

Amicable Settlement
Section 34. Mandatory mediation

Section 35. Mediation Proceedings

Section 36. Confidentiality of Mediation Proceedings

Section 37. Appearance of parties mandatory

Section 38. Effect of Failure to Appear in the Mediation Proceedings

Section 39. Compromise Agreement and Judgment Upon

Compromise

Section 40. Termination of Mediation Proceedings

18

Mediation

(under the 2011

Rules)

Mandatory Conference.- The conduct of conference, including

mediation, is mandatory provided the period to conclude the same shall
not exceed thirty (30) calendar days from the date of initial conference.
Within three (3) days from receipt of the Answer, the Arbiter shall forthwith
issue the corresponding notices to the parties for the conduct of the
mandatory conference for the following purposes:
a) To consider the possibility of an amicable settlement through
mediation;
b) The scheduling by the Arbiter of the mediation which shall be signed
by the parties and shall serve as notice to them;
c) The definition and simplification of the issues;
d) The possibility of entering into admissions or stipulations of facts;
e) The submission by the parties of additional documentary evidence;
and,
f) The resolution of all other preliminary matters.
The holding of the mandatory conference shall be terminated within thirty
(30) days from the date of initial conference. (Sec. 34, Rule 10, 2011 19

Mediation (under the 2011 Rules)

Compromise Agreement and Judgment Upon
Compromise.- If a compromise is reached, the agreement
shall be reduced in writing, signed by the parties and attested
to by the Arbiter or Mediator. When conducted by the latter,
the Mediator shall return the case to the Arbiter together with
the compromise agreement. The Arbiter shall forthwith render
judgment based on the compromise agreement which shall be
immediately final and executory. (Sec. 39, Rule 10, 2011
HLURB Revised Rules of Procedure)
20

Mediation

(under the 2011

Rules)

Termination of Mediation Proceedings.- Where no

compromise or settlement is reached the Arbiter or Mediator
conducting the mediation shall terminate the proceedings
and shall issue a certificate attesting thereto. The case shall
then be returned to the Arbiter immediately upon the
termination of the mediation proceedings if such is
conducted by the Mediator. (Sec. 40, Rule 10, 2011 HLURB
Revised Rules of Procedure)

21

Mediation

(Prior to the filing of cases

in HLURB under the 2011 Rules)

The following shall be attached to the complaint upon filing:

xxx
In homeowners association cases, a certification issued
by the chair of the Election Committee in cases involving
elections, or by the chair of the Grievance Committee or
any other committee constituted to resolve any matter in
controversy at the association level, as the case may be,
stating under oath that the parties have been invited to
participate in the proceedings to settle the dispute but
that no amicable settlement was reached; and
xxx
(Sec. 15.g.3., Rule 5, 2011 HLURB Revised Rules of Procedure)
22

OFFICE OF THE PRESIDENT

HOUSING AND URBAN DEVELOPMENT
COORDINATING COUNCIL

HOUSING AND LAND USE REGULATORY

BOARD

Settling Grievances in HOAs

The Grievance Committee

: Institutionalizing the
Grievance Procedure in
HOAs

23

Proposed Procedure
1) Commencement (Filing of Request)
2) Scheduling of the Conference
3) Termination of the Proceedings

Non-appearance of the Parties

Compromise Agreement

4) Filing System for Records of the

Proceedings
5) Confidentiality

24

Commencement
The grievance procedure commences when a
request is filed before the HOA Grievance
Committee in triplicate plus such number of
copies as there are respondents, after
service in person to the respondent/s of the
notice to undergo conciliation proceedings
together with the copy of the request.
25

Scheduling of the Conference

The HOA Grievance Committee

shall invite the parties in writing
at least five (5) days prior to
the scheduled conciliation
conference.

26

Termination of the Proceedings

Non-Appearance of the
Parties
Failure of the parties to appear on
the scheduled conciliation
conference, shall be a ground for a
motu propio termination of the
proceeding.
27

Termination of the Proceedings

Compromise Agreement
In the event that a compromise is
reached, the same shall be reduced
in writing for compliance by the
parties. The compromise agreement
shall have the force and effect of law
between the parties and shall be
immediately executory.
A copy of the compromise agreement
shall be signed by both parties and
by the Grievance Committee as
28
witness.

Filing System for Records

of the Proceedings

The records of the

proceeding, as well as
the compromise
agreement shall be filed
with the HOA Admin.
Office
29

Confidentiality

The proceedings before the HOA

Grievance Committee, including all
evidence presented, shall remain
confidential in character and may not
be furnished to any person not a party
to the case in any proceeding.

30

Thank
You!
31