Revised Implementing Rules and Regulations of Article 234 [238] of the Labor Code of the Philippines, as amended

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Also, the matters contained in the following were written in accordance with the law, rules, and jurisprudence prevailing at the time of writing and posting, and do not include any future developments on the subject matter under discussion.

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AT A GLANCE:

Pursuant to the constitutional mandate to promote the preferential use of voluntary modes of settling disputes, particularly conciliation-mediation, it is the intent and purpose of these Rules to continuously strengthen and institutionalize the Single Entry Approach (SEnA), with the Department of Labor and Employment (DOLE) and its Regional Offices, the National Conciliation and Mediation Board (NCMB) and its Regional Branches, and the National Labor Relations Commission (NLRC) and its Regional Arbitration Branches as the primary implementing agencies.

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Subject matter of SEnA; exceptions

All issues arising from labor and employment shall be subject to mandatory conciliation-mediation under these Rules. Provision of conciliation-mediation services shall be initiated through a Request for Assistance (RFA) filed with the appropriate Single Entry Assistance Desk (SEAD) of the DOLE, NCMB or NLRC, which shall have 30 calendar days within which to facilitate a settlement or to take other appropriate action in the disposition of the RFA. 

 

Issues, claims or grievances covered by specific laws and separate rules and regulations shall not be subject to mandatory conciliation-mediation under these Rules. These include the following:

 

1. Actual strikes or lockouts, notices of strike or lockout, or notices of preventive mediation with the NCMB;
2. Issues arising from the interpretation or implementation of a collective bargaining agreement and the interpretation or enforcement of company personnel policies shall be processed through the grievance machinery;
3. Application for exemption from wage orders with the Regional Tripartrite Wages and Productivity Board;
4. Issues involving violations of the pertinent laws and rules on:
   1. Alien Employment Permits;
   2. Private employment agency authority or license;
   3. Working child permit and violation of R.A. No. 9231 (Special Protection of Children Against Child Abuse, Exploitation and Discrimination Act);
   4. Registration of contractors or subcontractors under DO No. 174, Series of 2017; 
   5. Professional licenses issued by the Professional Regulations Commission and violation of the Professional Code of Conduct;
   6. Technical Education and Skills Development Authority accreditation; and
   7. Other similar permits, licenses, or registration certificates issued by the DOLE or its attached agencies.
5. Issues arising from occupational safety and health standards involving imminent danger situations, dangerous occurrences or disabling injury, or lack or inadequacy of personal protective equipment;
6. Claims or violations arising from social security and welfare legislations;
7. Claims covered by agreement and quitclaim and release executed before a Single Entry Assistance Desk Officer (SEADO); and 
8. Inter-and intra union issues.

 

Issues arising from the employment of overseas Filipino workers, including money claims, shall continue to be accepted and acted upon by the DOLE, the NCMB, and the NLRC pursuant to these Rules. This is without prejudice to conciliation-mediation services on such issues as may be provided by the Department of Migrant Workers. 

 

Procedures in Requests for Assistance

1. Who May File – any requesting party may file an RFA. In case of the requesting party’s absence incapacity, his or her immediate family or duly authorized representative with a Special Power of Attorney (SPA) may file the RFA. In case the requesting party is a corporation or juridical entity, an SPA or Board Resolution or Secretary’s Certificate shall be presented by the duly authorized representative. 

 

In case of death of the requesting party, an heir or a representative may file the RFA by presenting the following documents:

 

1. Original or Philippine Statistics Authority-authenticated copy of death certificate; and 
2. Proof of relationship through original or Philippine Statistics Authority-authenticated copy of marriage contract or birth certificate.

2. Where to file – the RFA shall be filed physically with the SEAD of the DOLE, NCMB or NLRC office nearest to the requesting party’s residence or at the place of operation of the union or chapter of a federation or workers association, or at the employer’s principal place of business, at the election of the requesting party. The RFA may likewise be filed using the SEnA online filing system.

3. Coordinated conciliation-mediation – Coordinated conciliation-mediation by two or more SEADs shall be observed if the RFA is filed with the SEAD most convenient to the requesting party but outside the region where the employer principally operates. In such case, the office or agency where the RFA is field shall coordinate with the office or agency nearest the responding party to facilitate the conciliation-mediation conferences. The offices or agencies concerned shall utilize the mode of conferencing the best suits the situation.

4. Consolidation of RFA – where two or more RFAs involving the same responding party and the same issues are filed before different SEADs within the same region or office or unit, the RFAs shall be consolidated before the first SEAD taking cognizance of the RFAs, when practicable.

 

Notice of Conference – The date of the initial conference shall be set within the day of filing for RFAs filed onsite. For RFAs filed online, the date of the initial conference shall be set within two (2) days from assignment to the SEADO. Notice of Conference shall be served on the requesting and responding parties by personal service, or by electronic mail, courier, social messaging applications, or any other efficient or reliable mode of notifying the parties, taking into account the available modes of service within the SEADO’s area of responsibility. 

 

Schedule of conferences – The following shall be observed in the conduct of conferences:

 

1. Initial conference – initial conference shall be conducted within five (5) calendar days or the earliest available date but not to exceed ten (10) days from the date of assignment of the RFA to a SEADO.
2. Succeeding conferences – the SEADO may call as many conferences as may be reasonably necessary within the 30-day mandatory conciliation-mediation period with a view of facilitating a voluntary settlement of the issue or issues raised. 
3. Resetting – A conference may not be reset except on reasonable grounds and with concurrence of the other party. In such a case, the conference shall be held within three (3) calendar days or the earliest possible date from the original schedule, subject to the 30-day mandatory conciliation period. 
4. Extension – the 30-day conciliation-mediation period is non-extendible except upon mutual agreement of the parties when settlement is still possible. Such extension shall not exceed 15 calendar days.

 

Modes of conference and appearance of parties – conciliation-mediation conferences may be held face-to-face or through digital platforms provided these platforms are available to all parties. 

 

During face-to-face conferences, the parties shall ensure observance of health and safety protocols. 

 

Conciliation-mediation is a non-litigious and non-technical approach to dispute resolution. In all instances, the parties shall appear and represent themselves. Lawyers are not encouraged to attend or participate in the conferences except when they are the requesting party or the employer, or the duly authorized representative of either party.

 

Appearance of lawyers, agents, or representatives – where applicable, lawyers, agents, or attorneys-in-fact appearing on behalf of any of the parties shall present a special power of attorney or board resolution or secretary’s certificate granting them authority to represent and enter into a binding agreement for their principal in the following circumstances:

 

1. When the requesting or responding party has relocated to another region of the country or is already outside the country;
2. When the requesting or responding party is a minor or is physically incapacitated; or
3. When the requesting or responding party dies during the pendency of the RFA, the heir or the duly authorized representative of the deceased may appear and shall present the following:

1. 1. Original or PSA-authenticated copy of death certificate; and 
   2. Proof of relationship through original or PSA-authenticated copy of marriage contract/birth certificate.

 

Conciliation-mediation process- All RFAs must be processed at the DOLE, NCMB or NLRC office where the requesting party first sought assistance.

 

The conciliation-mediation process shall consist of the following:

1. Clarifying issues, validating positions, and determining underlying issues;
2. Narrowing down disagreements and broadening areas for settlement;
3. Encouraging parties to generate options and enter into stipulations;
4. Offering proposals and options toward mutually acceptable solutions and voluntary settlement;
5. Facilitating communication between the parties to help them arrive at a settlement agreement; and 
6. Monitoring voluntary and faithful compliance with the settlement agreement. 

 

Confidentiality of proceedings and minutes – information and statements given and exchanged during conciliation-mediation proceedings shall be treated as confidential and as privileged communication. These shall not be used as evidence in any arbitration proceedings except when there is a waiver of confidentiality. 

 

The parties shall not be allowed to use voice or video recorders or any electronic recording device during the proceedings. In case of violation, the voice and video recorders shall be surrendered to the SEADO, without prejudice to further appropriate legal action. 

 

Settlement of the RFA – the parties and the SEADO shall exhaust all out efforts to reach a voluntary settlement of the issues within the 30-day mandatory conciliation-mediation period.

 

The settlement agreement – the settlement agreement shall be in writing in the language or dialect clearly understood by the parties, signed by both of them and attested to by the SEADO. The SEADO shall ensure that the settlement agreement is fully explained to the parties and that the terms are fair, reasonable and not contrary to law, public morals, or public policy. The settlement agreement shall include:

 

1. All validated issues and how these issues were addressed;
2. The terms of settlement and its consideration, and the acceptance thereof by the parties. Where the settlement involves payment of monetary claims, it shall include the schedule of payment and whether payment shall be made fully at one time or in tranches. In case of payment in tranches, the agreement shall include the schedule and amounts of payment and the due dates;
3. As applicable, a waiver of all claims arising or related to the issues raised in the RFA subject of the settlement; and 
4. A declaration that settlement was arrived at voluntarily and without fraud, intimidation, violence, or coercion. 

 

For online and telephone conferences, the following may be observed:

1. The settlement agreement shall be prepared by the SEADO and shall be shared on screen and read to both parties;
2. The parties shall confirm their acceptance of the terms of the settlement agreement either through text, social media applications, or electronic mail. The SEADO shall print the confirmatory messages and attach these to the settlement agreement and records of the RFA.
3. For platforms with features that allow recording of the proceedings, only the reading of the settlement agreement and the parties’ concurrence to the same shall be recorded. This shall serve as proof of the parties’ acceptance of the settlement agreement.

 

Implementation of the agreement – the parties shall comply faithfully and in good faith with the settlement agreement. The responding party shall submit a compliance report to the SEADO, subject to verification by the latter, in case the settlement agreement involves any of the following:

1. Payment of monetary claims is in tranches or installment;
2. Reinstatement;
3. Lifting of suspension;
4. Any other positive action sought by the requesting party.

 

The waiver and quitclaim duly signed by both parties shall be issued only upon full compliance with the terms of the settlement agreement. 

 

Effect of settlement agreement – a settlement agreement reached by the parties and attested by the SEADO shall be final and immediately executory. It shall be binding on all DOLE offices and attached agencies except when the settlement agreement is established to be contrary to law, morals, public order, and public policy.

 

Effect of non-compliance with the settlement agreement – when a party reports to the SEADO that the terms of the settlement agreement has not been duly complied with by the other party, the SEADO shall immediately call the parties to a conference to exhaust avenues for voluntary compliance. If, thereafter, the concerned party still does not comply, the SEADO shall issue a referral to the DOLE Regional Office or NLRC Regional Arbitration Branch for the enforcement and execution of the settlement agreement. 

 

Related Articles:

• What is the 30-day Single Entry Approach (SENA) Mandatory Conciliation and can parties be absent during mandatory conciliation?
• Alternative Dispute Resolution in the Philippines

 

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