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Pursuant to the provisions of Department Order No. 107, series of 2010, the following SEnA Rules of Procedure is hereby adopted:


SECTION 1. CONSTRUCTION.  – This Rules shall be construed in a manner that  shall  result  in  a  just,  expeditious  and  inexpensive   settlement  of  labor disputes through conciliation-mediation.
   
SECTION 2. DEFINITION OF TERMS. - For purposes of this Rules, the following terms are defined as follows:

a)  “Conciliation-Mediation” refers to the process of dispute management conducted  by  the SEADO, in  accordance  with  this  Rules,  to  facilitate  an amicable settlement of labor disputes.

b)   “Labor  Dispute”  refers  to all issues  or conflicts  that are covered  by this
Rules.

c)    “Referral” refers to the indorsement of unsettled issues through a document issued  by the SEAD referring  the unresolved  issue/s  to appropriate  DOLE Office or Agency that has jurisdiction over the dispute. It contains the names and addresses of the parties, the stipulated and admitted facts, summary of unresolved issues, causes of action and the relief sought without prejudice to amendments  on the complaint  by the parties  before  the Office  or Agency having jurisdiction over the dispute.

d)   “Request for Assistance (RFA)” refers to the request for the conduct of conciliation-mediation    under SEnA to   assist   the   parties   to   arrive   at   a settlement agreement.

e)   “Requesting  Party” refers to an employee, group of employees,  employer or union who files an RFA.

f)  “Responding  Party” refers to an employee, group of employees, employer or union requested to appear for conciliation-mediation  under SEnA.

g)   “Single Entry Approach or SEnA” refers to an administrative  approach to provide  a  speedy,  impartial,  inexpensive  and  accessible  settlement procedure of all labor issues or conflicts to prevent them from ripening into full  blown  disputes.   Conciliation-mediation   process   shall  be  utilized   as immediate intervention to effect amicable settlement among the differing parties.

h)   “Single  Entry  Assistance  Desk  or SEAD”  refers  to the desk/unit  in the DOLE Central/Regional/Provincial/Field Offices and Attached Agencies providing conciliation-mediation  services or assistance under SEnA.

i) “Single Entry Assistance Desk Officer (SEADO) or Desk Officer” refers to a person designated to provide assessment, evaluation, counseling and conciliation-mediation   services  before  the  filing  of  any  labor  complaint  or dispute.

j) “30-day   mandatory   conciliation-mediation    period”   refers   to  the   30 calendar days maximum period within which to conduct the mandatory conciliation-mediation  proceedings, and to refer the issue to the appropriate agency if unsettled.

SECTION  3.  COVERAGE.  -  As  far  as  practicable,  this  Rules  shall  be applicable to the following:

a)   Termination or suspension of employment issues;

b)   Claims for any sum of money, regardless of amount;

c) Intra-union  and  inter-union  issues  except  petition  for  certification  election, after exhaustion of administrative remedies;

d)   Unfair Labor Practice;

e)   Closures, retrenchments, redundancies, temporary lay-offs;

f)     OFW cases;

g)   Occupational  safety  and  health  standards  issues  except  those  involving imminent danger situation;

h)   Issues arising from other labor and related issuances (OLRI)

i)     Any other claims arising from employer-employee  relationship; and

j)     Cases  falling  under  the  administrative  and  quasi-judicial  jurisdiction  of  all DOLE offices and attached agencies, including NLRC, except:

1.   Notices of strikes or lockouts, or preventive mediation cases which shall remain with the National Conciliation and Mediation Board (NCMB); and
2.  Issues arising from the interpretation or implementation of the collective bargaining  agreement  and  those  arising  from  interpretation  or enforcement of company personnel policies which should be processed through the Grievance Machinery and voluntary arbitration.
3.  Issues  involving  violations  of  the  following  permits,  licenses  or registrations:

i.     Alien Employment Permit (AEP);
ii.     PRPA authority or license;
iii.     Working child permit (WCP) and violations of Republic Act No. 9231 (Anti-Child Labor Law);
iv.     Registration under Department Order No. 18-02;
v.     POEA issued licenses under the Migrant Workers’ Act, as amended;
vi.     Professional license issued by the PRC;
vii.   TESDA accreditations; and
viii.  Other similar permits, licenses or registrations  issued by the DOLE or its attached agencies.

SECTION 1. WHERE TO FILE. - The request for assistance shall be filed at any SEAD or unit in the region/provincial/district/field office where the employer principally operates.

In case  of a union  or federation  representing  a local chapter,  the request shall  be  made  at the  regional/provincial/district/field  office  where  the  union  or local chapter is registered.

Where  two  or  more  RFAs  involving  the  same  responding  party  are  filed before different SEADs within the same region, the requests shall be endorsed to the  SEAD  where  the  employer  principally  operates  or  where  the  union/local chapter is registered, as the case may be.

If the request for assistance is filed with the SEAD most convenient to the requesting party but outside the region where the employer principally operates, the SEADO may entertain the same and proceed with the conciliation-mediation provided the same is not objected to by the employer. In case of objection, the SEADO shall immediately refer the request to the appropriate agency.

SECTION 2. EVALUATION, RECEIPT, DOCKETING OF RFA AND INITIAL CONFERENCE.  - a) Any employee  or group of employees,  employer  or union who comes for assistance shall be interviewed for evaluation purposes and shall be advised of the objectives and procedures of the SEnA Program.

b)   After the interview, the employee or group of employees, employer or union who comes for assistance may accomplish the required RFA Form with SEADO assistance.   The SEADO shall   make   an  entry   thereof   in  the SEnA Logbook indicating the following:

i.     reference number;
ii.     date of filing;
iii.   names and addresses of requesting and responding parties;
iv.  pendency of similar or related cases;
v.   nature and subject of the grievance/request; and vi.  disposition.

c) After which, the SEADO shall assign a docket number using the following format: SEAD (Name Regional Office)-(Province/Field/District Office)-(No. of Request under the Region)-(Month) - (Year).

Ex. SEAD ROIVA-LAG-01-12-07,  SEAD ROIVA-NLRC-RAB-10-10-10

d)   The SEADO assigned  to  handle  the  RFA  shall  immediately  schedule  the initial conference.

SECTION 3. NOTICE OF CONFERENCE. -  Using   the SEnA Notice   Form, the SEADO may utilize any of the following modes of service of notice:

a)   personal;
b)   registered mail;
c)    electronic mail; d)   courier;
e)   facsimile; or
f)     any other fast, economical and effective mode of notifying the parties taking into consideration the prevailing circumstances within the SEADO’s area of responsibility.

SECTION 4. COMPLAINT/REQUEST  FOR ASSISTANCE THROUGH LETTER.  - Where  a complaint/request  for  assistance  is accounted  through  a letter, e-mail or referral, the Head of Office shall respond by explaining the procedures of the SENA Program and require the personal appearance of the complainant to the SEAD pursuant to the provision of Section 1, Rule II.

SECTION  5.  ANONYMOUS  COMPLAINT/REQUEST.  -  In  case  of anonymous  complaint/request  for assistance,  the SEADO shall verify the same by requesting an interview with the responding party to facilitate compliance or correction if there are violations.

Refusal  or  non-appearance   of  the  responding   party  on  the  scheduled interview  would  automatically  result  to  a  directive  by  the  Head  of  Office  to conduct of inspection in the establishment. Compliance or correction of violations uncovered during the inspection shall be facilitated through conciliation-mediation services.


SECTION  1. DUTIES AND RESPONSIBILITIES.  - The SEADO shall exert best  efforts  to  assist  the  parties  arrive  at  a  settlement.   In  facilitating   the conciliation meeting, he/she shall:

a)   Clarify the issues and narrow down the disagreements;
b)   Validate the positions and the relief sought;
c)    Encourage parties to generate options and enter into stipulations;
d)   Offer  proposals   and  options  toward  mutually   acceptable   solutions   and voluntary settlement; and
e)   Facilitate the preparation of the settlement documents.

SECTION  2.  NORM  AND  CONDUCT.  -  The  SEADO  must  at  all  times conduct him/herself  with utmost courtesy  and in an upright manner whose first and primary duty is to implement  the provisions  of Department  Order No. 107, Series of 2010, taking into consideration the following guiding principles:

a)   Provision   of   speedy,   impartial,   inexpensive   and   accessible   settlement services; and
b)   Promotion of the use of conciliation-mediation as the primary mode in the settlement of all labor cases with only unresolved issues for referral to either voluntary arbitration, if both parties so agree, or compulsory arbitration to the National  Labor  Relations  Commission  (NLRC)  or  appropriate  agency  or office of the DOLE, as the case may be.


SECTION 1. SCHEDULE OF CONFERENCES.  -  a)  The SEADO may  hold as many conferences he/she deems necessary within the 30-day mandatory conciliation-mediation  period to facilitate a settlement agreement.

b)   The  resetting   of  the  scheduled   conference   shall   only   be  allowed   on meritorious  grounds and if the other party concurred to the resetting. In such a case, the conference shall be held not later than three (3) days from the original scheduled conference, and

c)    The 30-day period may be extended for only a maximum of seven (7) days when the parties mutually agree to such extension.

SECTION 2. SEnA GUIDING PRINCIPLES  IN LABOR STANDARDS  AND INTER-INTRA    UNION   CASES.   -   Conciliation-mediation    services   by   the SEADO in labor standards and inter-intra union cases shall observe the following guiding principles:

a)   In  labor  standards,   including   occupational   safety  and  health  standards issues, the conciliation-mediation services shall be towards facilitating an expeditious   and  non-litigious   compliance   by  the  responding   party  and ensuring   the   implementation   of  corrective   measures   on   the   identified violations in the establishment.

b)   In  Inter-Intra   union  issues,  the  conciliation-mediation   services   shall  be towards facilitating a settlement or an agreed expeditious process to resolve the  issue/s.  It should  not  in any  way  be  made  as  an  added  layer  to the periods set forth in Department Order No. 40, Series of 2003, as amended.

SECTION 3. APPEARANCE   OF  PARTIES. -  a)  The  parties,  as  far  as practicable, shall personally appear at all times.

b)   Lawyers may be allowed to join the conference only to render advice to their clients.

c)    Lawyers,  agents  or  attorneys-in-fact  may  appear  in  behalf  of  any  of  the parties  provided  they  could  show  a  special  power  of  attorney  granting  them authority to represent and enter into a binding agreement for their principal.
 
SECTION 4. PRE-TERMINATION OF THE 30-DAY MANDATORY CONCILIATION-MEDIATION PROCEEDINGS. - Any or both parties, within the 30-day period, may or cause to pre-terminate the proceedings by:

a)   verbal or written withdrawal by the requesting party;
b)   withdrawal  due to disinterest  caused  by non-appearance  of the requesting party in two (2) scheduled consecutive conferences despite due notice;
c)     request for Referral by the requesting party to the appropriate DOLE office or
Agency which has jurisdiction over the dispute;
d)   non-appearance  of the responding  party in two (2) scheduled  consecutive conferences despite due notice; or
e)   non-submission/resistance of the responding party to conciliation-mediation.

SECTION   5.  TERMINATION   OF  SEnA  PROCEEDINGS.   -  Any  of  the following shall render the SEnA proceedings closed and terminated:

1.     Pre-termination  of the 30-day mandatory conciliation-mediation  proceedings as defined in Section 4 hereof;
2.     Expiration  of  the  30-day  mandatory  period  unless  both  parties  mutually
request for extension; or
3.     Upon   compliance   with   the   settlement   agreement   as   defined   in   the succeeding Section.

SECTION 6. COMPLIANCE WITH SETTLEMENT AGREEMENT. - Upon full compliance of the settlement agreement, the SEnA proceeding is automatically terminated.

Any of the party may submit a written report of non-compliance  by the other within two (2) weeks from the date of agreement or agreed period of compliance. The absence of the same shall render the settlement agreement deemed duly complied with absent of proof to the contrary.

SECTION  7. ISSUANCE  OF  REFERRAL.  - The  Referral  shall  be  issued without delay on the date of the termination of the conciliation-mediation  services to the party who filed the RFA. The Referral shall be submitted to the appropriate DOLE office or agency named therein, or to voluntary arbitration, if both parties so  agree  to  submit  their  unresolved   issues,  as  compliance   to  the  30-day mandatory conciliation-mediation  process.

The issuance of the Referral shall be motu proprio on the part of the SEADO in the following circumstances:

a)   Expiration  of  the  30-day  mandatory  conciliation-mediation   period,  unless there is a request for extension;
b)   Failure  of the parties  to reach an agreement  within the 30-day  mandatory conciliation-mediation  period; or
c)     Failure of the requesting  party to appear in two (2) scheduled  consecutive conferences despite due notice.

However, in case of pre-termination  of the proceedings, the issuance of the Referral shall be upon the request of any or both parties.
 
Delay  in  the  issuance  of  the  Referral  by  the SEADO shall  be  dealt  with accordingly as an administrative offense.

SECTION 8. CONTENTS OF REFERRAL. - The Referral must contain the names and addresses of the parties, summary of unresolved  issues, causes of action and the relief sought without prejudice to amendments on the complaint by the parties before the Office or Agency having jurisdiction over the dispute. For voluntary arbitration, the Referral should specify the issues to be arbitrated.

SECTION 9. CONFIDENTIALITY OF PROCEEDINGS; MINUTES. - a) Information and statements given in confidence at the conciliation-mediation proceedings shall be treated as privileged communication  and shall not be used as evidence in any arbitration proceedings, except:

1)   Stipulation of facts which form part of the settlement in accordance with
Rule V hereof;
2)   Facts which are of common knowledge; or
3)   Waiver of confidentiality.

b)   Any contents  appearing  in the minutes  of the proceedings (SENA Minutes Form)   or   personal   notes   taken   by   the SEADO or   the   parties   during   the proceedings are subject to the limitations provided under paragraph (a).

c)    Voice  or  video  recorders   or  any  electronic   recording   device   shall  be prohibited during the proceedings.


SECTION   1.  SETTLEMENT   AGREEMENT.   -  a)  In  case  of  voluntary settlement,  the SEADO shall reduce the agreement into writing using the SENA Settlement Form, indicating all stipulations agreed upon by the parties.

b)   Where the settlement agreement involves monetary claims, the SEADO shall endeavor to facilitate the settlement in full and shall attach a duly accomplished waiver and quitclaim to the settlement agreement as proof of full compliance.
c)    Where   the   payment   of  monetary   claims   is  agreed   to  be   in  several installments or tranches, the waiver and quitclaim shall be executed only upon payment of the last installment.
d)   In case of partial settlement, only those stipulations relating to issues settled shall be stated in the agreement while the unresolved issues shall be referred to appropriate DOLE Office or Agency.
e)   The SEADO shall, as far as practicable, make use of the language or dialect understood by both parties.
f)    The SEADO is  duty  bound  to  explain  to  the  parties  the  contents  of  their settlement agreement before they sign the same. He/she shall also sign the settlement agreement in the parties’ presence and attest the document to be the true and voluntary act of the parties.

SECTION  2.  EFFECT  OF  SETTLEMENT.   -  Any  settlement  agreement reached by the parties before the SEADO shall be final and binding.
 
SECTION  3. SETTLEMENT  AGREEMENTS  ON  MONETARY  CLAIMS.  - Where the parties entered into a compromise of monetary claims arising from violation of labor standards laws, the amount of the compromise shall be fair and reasonable, and not contrary to law, public morals and public policy.

The fairness/reasonableness  of settlement agreements shall depend on the totality of the circumstances, the degree of voluntariness and credibility of the consideration.

The  insistence  of  the  requesting  party  to  accept  a  given  amount  despite having knowledge of his/her rightful claims shall give rise to the presumption of absence of fraud, violence or coercion and his/her voluntariness to accept the settlement agreement.

The foregoing circumstances shall be fully disclosed in the settlement agreement.

SECTION 4. MONITORING  AND ENFORCEMENT  OF THE SETTLEMENT AGREEMENT. – The SEADO shall monitor the voluntary and faithful compliance with the settlement agreement by requiring the parties to submit, under oath, a written  report  of compliance  or non-compliance  within  two (2) weeks  from  the date of agreement or agreed period of compliance. A copy of the settlement agreement shall be submitted to the appropriate office/agency having jurisdiction over the issue/s therein.

Where   the  settlement   agreement   or  part  thereof   involves   payment   of monetary  claims, the same shall be made in the SEAD and in the presence  of the SEADO.

In case of report of “settlement for a show” or where the settlement amount is reported  to have  been  retrieved  or confiscated  by  the  responding  party,  both parties  shall  be  summoned  by  the  Head  of  Office  where  the  settlement  was effected.  The Head of Office shall verify the report and should there be prima facie  proof  that the settlement  was  for a show,  the responding  party  shall  be required to pay the requesting party the full settlement amount with legal interest reckoned from the date of the settlement.

SECTION 5. RETALIATORY  ACTION. - Any retaliatory action/s against the requesting party by the responding party shall be strictly construed against the responding party.

SECTION 6. NON-COMPLIANCE WITH SETTLEMENT AGREEMENT; EXECUTION.   -  In  case   of  non-compliance   by  the  responding   party,   the requesting  party has the option to disregard  the settlement  agreement  and file the appropriate case before the appropriate forum, or enforce the terms of the agreement.   In   case   of   the   latter,   he/she   shall   request   a   Referral   from the SEADO to  the  proper  Regional  Arbitration  Branch (RAB) of  the NLRC for enforcement  of  the  agreement  pursuant  to  Rule  V,  Sec.  1  (i)  of  the  2005 Revised NLRC Rules, as amended. The same shall be docketed by the RAB as an arbitration case for enforcement of settlement agreement.
 
Upon agreement of the parties, or when the cause of action is within the jurisdiction  of  the  Office/Agency   where  the SEAD is  lodged,  the  appropriate DOLE Office/Agency may execute the settlement agreement.

SECTION  1. REGIONAL  COORDINATING  COUNCIL  (RCC). – The RCC, with tripartite participation, shall establish as many SEAD as it deems appropriate based on the number of SEADOs and volume of cases in the region.

At the  regional  level,  it shall  establish  a SEAD at the  Regional  Arbitration Branch   of  the  National   Labor   Relations   Commission (NLRC), the  Regional Branch   of   the   National   Conciliation   and   Mediation   Board   (NCMB)   and the DOLE Regional Office, or at the regional offices of the Philippine  Overseas Employment  Administration  (POEA)  and  Overseas  Workers’  Welfare Administration (OWWA).

At  the  provincial/district/field   level,  it  shall  establish  one SEAD in  every provincial/district/field  offices of the DOLE.

SECTION 2. DUTIES AND RESPONSIBILITIES OF THE REGIONAL DIRECTOR.  -  The  Regional  Director,  as  head  of  the  RCC,  shall  ensure  the effective  implementation  of the SEnA in his/her  region  and accordingly,  he/she shall:

a)   Evaluate   the   delivery   of   conciliation-mediation    services   by   the   RCC
members;
b)   Regularly  convene  the RCC  on SEnA matters  with  the participation  of the tripartite partners;

c)     Formulate an RCC implementation  plan of the SEnA with specific targets in terms of improvement of the regional performance; and

d)   Regularly submit a performance monitoring report of the RCC members.

SECTION  3.  REPORTING.  –  The  SEADOs  shall  report  their accomplishments  using  a prescribed  form  and  submit  the  same  to  the DOLE Regional Director as head of the RCC. The report shall, in turn, be consolidated and submitted to the Secretary of Labor and Employment through the Undersecretary for Labor Relations.

SECTION 4. SEnA National Training Team. - The Human Resource Development   Services (HRDS) and  the  National   Conciliation   and  Mediation Board (NCMB) shall form a National and Regional Training Teams to ensure that the training requirements for conciliation-mediation are delivered mobilizing all personnel   who   have   completed   the   ILO   conducted   Trainors’   Training   on Conciliation-Mediation.  The HRDS shall be the lead Office on training and shall submit  a  Coordinative  Training  Plan  for  Conciliation-Mediation   to  the Undersecretary  for  Labor  Relations  every  Year-End  and  Planning  Activity  of the DOLE.
 
SECTION 5. SUPPLETORY APPLICATION OF DOLE NCMB RULES AND REGULATIONS ON CONCILIATION-MEDIATION. - In the absence of any applicable provision in this Rules, and in order to carry out its objectives, the pertinent  provisions  of the DOLE NCMB rules on conciliation-mediation  may, in the interest of expeditious settlement of disputes, and whenever practicable and convenient, be applied by analogy or in a suppletory character and effect.


SECTION 1. EFFECTIVITY.  - This Rules shall take effect immediately  after publication in newspaper of general circulation.

City of Manila, Philippines, 25 February 2011.