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A LT E R N AT I V E D I S P U T E R E S O LU T I O N

A D L AWA N , Q U I M O S I N G ,
R O M E R O, S A N T O S

A system, using means and methods allowed by


law and approved by the parties, for the purpose
of resolving or facilitating the resolution of
disputes and controversies between them, in an
expeditious and speedy manner, without resorting
to court adjudication.

A LT E R N AT I V E D I S P U T E
R E S O LU T I O N S Y S T E M
Refers to 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 the issues, which
includes arbitration, mediation, conciliation, early
neutral evaluation, mini-trial, or any combination
thereof.
(Sec. 3[a] RA 9285)

L E G A L B A S I S O F A LT E R N AT I V E
DI S PU TE R E S O LUT IO N

1987 CONSTITUTION: mandates the Supreme Court to


promulgate rules that shall provide a simplified and
inexpensive procedure for the speedy disposition of cases.
Pursuant to the constitutional provision.

Supreme Court issued S.C. Circular, Memoranda and


Administrative Orders of 2001

making mediation as mandatory in certain types


of civil cases.
The 1997 Rules of Civil Procedure requires the courts to
consider the possibility of an amicable settlement or of a
submission to alternative modes of resolution.

RA 876 : Arbitration Law

19 July 1953

Authorized the making of arbitration and submission


agreements and provided for the appointment of arbitrators
and the procedure for the arbitration in civil controversies.

RA 9285 : Alternative Dispute Resolution Act (ADR Law) of 2004


2 April 2004
which declares that it is a policy of the State to encourage and
actively promote the use of Alternative Dispute Resolution
systems as an important means to achieve speedy and impartial
justice and declog court dockets.

FORMS OF A.D.R.
1.

ARBITRATION

2.

MEDIATION

3.

CONCILIATION

4.

NEUTRAL AND EARLY NEUTRAL EVALUATION

5.

MINI-TRIAL

6.

ANY COMBINATION OF THE FOREGOING

7.

ANY OTHER ADR FORM (INNOMINATE ADR FORM)

M E D I AT I O N

General meaning:

an intervention between conflicting


parties to promote reconciliation,
settlement, or compromise

CHAPTER 2 OF RA 9285

V O L U N TA RY
M E D I AT I O N

M E D I AT I O N
A voluntary process in which a mediator, selected
by the disputing parties, facilitates communication
and negotiation, and assists the parties in
reaching a voluntary agreement regarding a
dispute.
(Sec. 3[q] , RA 9285)

C L A S S I F I C AT I O N
1.

INSTITUTIONAL

. When administered by, and conducted under the rules of mediation of


such institution.
. An agreement to submit a dispute to mediation by this type shall
include the following agreements:
To be bound by the internal mediation and administrative policies
of such institution
To have such rules govern the mediation of the dispute and for the
mediator, the parties and their respective counsels and non-party
participants to abide by such rules.
2. AD HOC
. one where the parameters of the mediation set by the parties are only
for the particular dispute

C H A R A C T E R I S T I C S O F M E D I AT I O N :
1. Place of Mediation may be the subject of agreement.
2. Assistance of lawyers or non-parties is allowed but may
also be waived in writing but such waiver may be
rescinded at any time.
3. Agreement by parties to institutional mediation
necessarily includes an agreement that the parties, the
mediator, their lawyers or nonparty participant are bound
by the internal rules and administrative policies of the
mediation institution. Should there be a conflict between
the institutions rules and RA 9285, the latter shall prevail.

4. Information obtained through mediation which would


otherwise not have been subject to the modes of discovery
sanctioned by rules of procedure is considered privileged
and confidential and cannot be introduced as evidence.
There are exceptions to the privilege in RA 9285 as
enumerated under Section 11 thereof.
5. If settlement is reached during mediation, parties prepare
settlement agreement, with assistance of their respective
counsel and of mediator. The mediator certifies that the
terms of the agreement has been adequately explained to
the parties in a language know to them. If parties agree,
they may be deposited with the appropriate Clerk of the
Regional Trial Court of the place where any one of the
parties reside. Should there be a need to invoke the power
of the courts to enforce the agreement, a petition may be
filed in that court, which shall proceed summarily to hear
the petition.

1. Economic Benefits
Years of experience prove that mediation can drastically bring
litigation expenses down.
2. Rapid Settlements
A case is filed in court can take approximately one year to get a trial
date. Assuming the case gets settled in 3 years, the other party can
file for appeal that typically takes another 3-5 years to resolve. Sum
the time, the cost and the stress, and the cost is the most
unproductive time of ones life. While conflict is unresolved, litigants
are in for a rollercoaster of emotional, mental, relational, and
financial burdens.
3. Mutually Satisfactory Outcomes & Preservation of Relationships
Parties are generally more satisfied with solutions that they
themselves crafted and mutually agreed upon, as opposed to
solutions that are imposed by a third party decision-maker.

4. High Rate of Compliance


Parties who reach their own agreement in mediation are also
generally more likely to follow through and comply with its
terms than those whose resolution was imposed by a third
party decision-maker.
5. Greater Degree of Control and Predictability of Outcome
Parties sense a greater sense of control in mediation. Gains
and losses are more predictable in a mediated settlement.
When parties engage in a deep process where the focus is
on needs, the parties often end up getting more than what
they originally aspired for.

A P P L I C AT I O N A N D I N T E R P R E TAT I O N
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
the principles of integrity of determination by the
parties, and

The policy that the decision-making authority in the


mediation process rests with the parties.

(Sec. 8 RA 9285)

CASES COVERED
1. All civil cases, settlement of estates and cases covered by the
Rule on Summary Procedure. Typical cases would be collection
of debts, ejectment of tenants in apartment dwellings, and
inheritance disputes among family members.
2.

Cases cognizable by the Lupong Tagapamayapa under the


Katarungang Pambarangay Law such as disputes between
neighbors of the same barangay over property.

3. The civil aspect of Batas Pambansa 22, which covers the debts
paid through bouncing checks.
4. The civil aspect of quasi-offenses under negligence like motor
vehicle accidents that has damaged the vehicle or injured
passengers or pedestrians.

CASES NOT COVERED


Section 6 of R.A. No. 9285

1.

Labor disputes covered by Presidential Decree No. 442 (The Labor


Code of the Philippines, as amended, and its Implementing Rules and
Regulations);

2.

The civil status of persons;

3.

The validity of marriage;

4.

Any ground for legal separation;

5.

The jurisdiction of courts;

6.

Future legitime;

7.

Criminal liability;

8.

Those which by law cannot be compromised; and

9.

Disputes referred to court-annexed mediation.

W H AT I S C O N F I D E N T I A L
I N F O R M AT I O N ?
Any information, relative to the subject of mediation or arbitration,
expressly intended by the source not to be disclosed, or obtained
under circumstances that would create a reasonable expectation
on behalf of the source that the information shall not be disclosed.
(1) Communication, oral or written, made in a dispute resolution
proceedings, including any memoranda, notes or work product of
the neutral party or non-party participant, as defined in RA 9285;
(2) An oral or written statement made or which occurs during
mediation or for purposes of considering, conducting, participating,
initiating, continuing of reconvening mediation or retaining a
mediator; and
(3) Pleadings, motions manifestations, witness statements,
reports filed or submitted in an arbitration or for expert evaluation.

ARE PROCEEDINGS CONFIDENTIAL?

General Rule: Yes, information obtained through mediation


proceedings shall be confidential, subject to the principles
and guidelines provided under Section 9.
Exceptions:
1. Those enumerated in Section 11.
2. Waiver of confidentiality in Section 10.

C O N F I D E N T I A L I T Y O F I N F O R M AT I O N
(PRINCIPLES AND GUIDELINES)
(a) Information obtained through mediation shall be
privileged and confidential.
(b) A party, a mediator, or a nonparty participant may refuse
to disclose and may prevent any other person from
disclosing a mediation communication.
(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) The following persons involved or previously involved in a mediation


may not be compelled to disclose confidential information obtained
during mediation:
(1) the parties to the dispute;
(2) the mediator or mediators;
(3) the counsel for the parties;
(4) the nonparty participants;
(5) any persons hired or engaged in connection with the mediation
as secretary, stenographer, clerk or assistant; and
(6) any other person who obtains or possesses confidential
information by reason of his/her profession.

(e) The protections of the law 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
information gathered in mediation. A mediator who is
wrongfully subpoenaed shall be reimbursed the full cost of
his attorney's fees and related expenses.
(Sec. 9, RA 9285)

WA I V E R O F C O N F I D E N T I A L I T Y

A privilege arising from the confidentiality of information maybe waived:

In a record, or orally during a proceeding by the mediator and the


mediation parties.

By a nonparty participant if the information is provided by such


nonparty participant.

A person who discloses confidential information shall be precluded from


asserting the privilege 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 damages in a judicial proceeding
against the person who made the disclosure.

A person who discloses or makes a representation about a mediation is


preclude from asserting the privilege, 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 of
disclosure.

(Sec. 10 RA 9285)

E XC E P T I O N S T O P R I V I L E G E
(a) If mediation communication is:
(1) in an agreement evidenced by a record
authenticated by all parties to the agreement;
(2) available to the public or that is made during a
session of a mediation which is open, or is required by law
to be open, to the public;
(3) a threat or statement of a plan to inflict bodily injury
or commit a crime of violence;
(4) internationally used to plan a crime, attempt to
commit, or commit a crime, or conceal an ongoing crime
or criminal activity;

(5) 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 a public agency participates in
the child protection mediation;
(6) sought or offered to prove or disprove a claim or complaint of
professional misconduct or malpractice filed against mediator in a
proceeding; or
(7) sought or offered to prove or disprove a claim of complaint of
professional misconduct of malpractice filed against a party,
nonparty participant, or representative of a party based on conduct
occurring during a mediation.

(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
confidentiality, and the mediation communication is sought or
offered in:
(1) a court proceeding involving a crime or felony; or
(2) 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 subsection (a) or (b), only the portion of the
communication necessary for the application of the
exception for nondisclosure may be admitted. The admission
of particular evidence for the limited purpose of an
exception does not render that evidence, or any other
mediation communication, admissible for any other purpose.

P R O H I B I T E D M E D I AT O R
R E P O RT S
A mediator may not make a report, assessment, evaluation,
recommendation, finding, or other communication regarding
a mediation to a court or agency or other authority that
make a ruling on a dispute that is the subject of a mediation,
except:
(a) Where the mediation occurred or has terminated, or
where a settlement was reached.
(b) As permitted to be disclosed under Section 13.
(Sec. 12, RA 9285)

H O W C A N T H E PA RT I E S B E S U R E T H AT T H E M E D I AT O R
I S N O T B I A S E D T O WA R D S O N E PA RT Y A N D T H AT
THERE IS NO CONFLICT OF INTEREST?

Sec. 13 provides that before accepting a mediation, an individual


who is requested to serve as a mediator shall:
(1) make an inquiry that is reasonable under the
circumstances to determine whether there are any known facts
that a reasonable individual would consider likely to affect the
impartiality of the mediator, including a financial or personal
interest in the outcome of the mediation and any existing or past
relationship with a party or foreseeable participant in the
mediation; and
(2) disclosure to the mediation parties any such fact known or
learned as soon as is practical before accepting a mediation.

H O W C A N A M E D I AT E D S E T T L E M E N T
B E E N F O RC E D ?
Sec. 17 provides the following operative principles:
(a) A settlement agreement following successful mediation shall be
prepared by the parties with the assistance of their respective
counsel, if any, and by the mediator.
The parties and their respective counsels shall endeavor to make
the terms and condition thereof complete and make adequate
provisions for the contingency of breach to avoid conflicting
interpretations of the agreement.
(b) The parties and their respective counsels, if any, shall sign the
settlement agreement. The mediator shall certify that he/she
explained the contents of the settlement agreement to the parties
in a language known to them.

(c) If the parties so desire, they may deposit such settlement


agreement with the appropriate Clerk of a Regional Trial Court of
the place where one of the parties resides. 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
such rules of procedure as may be promulgated by the Supreme
Court.
(d) 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 under Republic Act No. 876, otherwise
known as the Arbitration Law, notwithstanding the provisions of
Executive Order No. 1008 for mediated dispute outside of the
CIAC.

M E D I AT O R

The person who conducts mediation

A person does not need to possess special


qualifications, background or profession unless the
special qualifications of a mediator are required in the
mediation agreement.

W H AT D O E S A M E D I AT O R D O ?
During mediation proceedings, the mediator will have to:
1.

Monitor and analyze what is happening,

2.

Set the order of discussion and keep track of time,

3.

Distinguish the real issues behind the conflict,

4.

Manage the interaction and facilitate communication

5.

Patiently hear both sides of the story without judgment and


help each side understand the others perspective,

6.

Offer positive suggestions or options that will help resolve


the problem.

Q U A L I F I C AT I O N S O F A M E D I AT O R
1.

At least 30 years of age with a bachelors degree.

2.

Proficient in oral and written communication in English


and Filipino

3.

Possesses a good moral character and willingness to


learn new skills and be of service to the public.

4.

Must complete mediation seminar-workshops and pass


a written exercise to test their proficiency in oral and
written communication from the Philippine Judicial
Academy (PHILJA).

5.

Must be certified to have finished the training and


evaluated on their overall performance.

S E L E C T I O N O F A M E D I AT O R

The Supervisor of the PMC Unit shall assist


the parties select a mutually acceptable
Mediator from a list of duly accredited
Mediators and inform the parties about the
fees, if any, and the mode of payment.

If the parties cannot agree on a Mediator,


then the Supervisor shall assign the
Mediator.

The trial court shall immediately be notified


of the name of the Mediator, and shall
thereafter confirm the
selection/appointment of the Mediator.

PROCESS
( M E D I AT I O N U N D E R A D R A C T )

Step 1: Filing a Request for Mediation


1. File a dispute for mediation
2. Completely fill out the Request for Mediation Form
.You may hand deliver or submit via facsimile or
email.Please make sure that you fill out all the pertinent
information.
3. Pay the filing fee.

STEP 2: NOTICE OF
M E D I AT I O N
The Secretariat shall send a Notice of Mediation to
both the complainant and respondent indicating
the schedule of the preliminary
conference.Should the parties wish to send a
representative; a notarizedSpecial Power of
Attorneywill be required.Please refer to
Mediation Forms for details of the Special Power of
Attorney.

S T E P 3 : AT T E N D T H E
P R E L I M I N A RY C O N F E R E N C E
The preliminary conference will be an opportunity for both
parties to understand the process and guidelines for
mediation.
The NCM shall raffle off the case to a mediator from its
roster.This step will require parties to agree on the
mediator who will handle the case.Should, for any reason,
the mediator is unable to handle the case, the parties shall
each pick three (3) names from the roster of available
mediators.The common name will be chosen.If no common
name appears, the NCM shall recommend a mediator to be
agreed upon by all parties.

STEP 4: SIGN THE AGREEMENT TO


M E D I AT E F O R M

Parties are given a copy of theAgreement to Mediatefor


their review.They shall sign the Agreement to Mediate Form
to signify their intent to formally enter into the mediation
process.

S T E P 5 : M E D I AT I O N
S E SS I O N S
Each mediation session lasts three (3) hours.Should it run beyond three (3) hours, it
shall be counted as another mediation session.
The mediator begins with his opening statement which will include:
1.

basic information about himself

2.

provide the role of a mediator

3.

discuss the rules of the mediation sessions and get the parties' commitment to
abide by these rules

4.

get the parties' approval to proceed

Parties are each given uninterrupted time to express their statements.There will be a
series of exchanges between the parties and / or private caucuses with each of the
party.
All information gathered during the mediation sessions shall be kept confidential and
may not be used outside the mediation process.

S T E P 6 : E N D O F T H E M E D I AT I O N
P R O C E SS
A mediation case may end with any of the following:
1 Successful Mediation:Parties sign anAgreement
where details of settlement are enumerated.
2 Failure of mediation:Parties decide to end the
mediation sessions without an agreement.The parties may
opt to bring the case to other processes such as conciliation,
arbitration or litigation.
Parties are asked to fill out aMediator's Evaluation Form
despite the outcome of the case.

M E D I AT I O N F E E S
ACCORDING TO NCM

ACCEPTANCE FEE: P10,000 per case


MEDIATION FEE: Range of P10,000 to P30,000 per session, per
mediator
* Please note that mediation fees are set by each mediator
based on their level of professional experience in mediation.
MISCELLANEOUS FEES: Expenses directly related to the
mediation sessions shall be covered by the parties. This may
include rental of mediation room (if held outside of the NCM
premises), meals, printing, postage and other logistical
expenses. This may also include professional fees of third party
experts that may be requested by both parties during the
mediation session.

M E D I AT I O N C E N T E R
IN THE PHILIPPINES

ADDRESS:
3 R D F L O O R , C O M M E R C E A N D I N D U S T RY P L A Z A B L D G . ,
1 0 3 0 C A M P U S AV E N U E C O R N E R PA R K AV E N U E ,
M C K I N L E Y T O W N C E N T E R , F O RT B O N I FA C I O ,
TA G U I G C I T Y , M E T R O M A N I L A

K I N D S O F M E D I AT I O N N O T
UNDER RA 9285:
1.

Court-annexed mediation

2.

Court-referred mediation

C O U RT- A N N E X E D M E D I AT I O N

NOT covered by ADR Law

Any mediation process conducted under the


auspices of the court, after such court has
acquired jurisdiction of the dispute.

It is mandatory, being part of pre-trial.

The judge refers the parties to the Philippine


Mediation Centre (PMC) for the mediation of
their dispute by trained and accredited
mediators.

C O U RT- R E F E R R E D
M E D I AT I O N
A mediation ordered by a court to be conducted in
accordance with an agreement of the parties
when an action is prematurely commenced in
violation of such agreement.

PROCESS
( C O U RT- A N N E X E D M E D I AT I O N )

S T E P 1 : O R D E R O F M E D I AT I O N

The TC for civil cases with stamped-mark


Mediatable is mandated to issue an
order during the pre-trial referring the
case to the Philippine Mediation Center
(PMC) unit for mediation and directing the
parties to proceed immediately to the
PMC unit. The order will be personally
given to the parties during the pre-trial.
There are PMC units in courthouses or
near the court premises to mediate the
parties.

STEP 2:SELECTION OF
M E D I AT O R
The Supervisor of the PMC unit will assist the parties to
select a mutually acceptable mediator from the list of
available mediators. The mediator will be considered an
officer of the court. Lawyers may attend the mediation
proceedings, but they must cooperate with the mediator to
reach an amicable settlement of the case.

STEP 3: CONFERENCE

The mediator will hold a conference with all the parties


involved in the case and will make serious attempts to settle
the matter quickly.
If no settlement is reached, the mediator may, with the
consent of both parties, hold separate caucuses with each
party to enable the mediator to determine their respective
real interests in the dispute. Thereafter, another joint
conference may be held to consider various options
proposed by the parties to the mediator to resolve the
dispute.

STEP 4: SUBMISSION OF
R E P O RT
The mediator will submit to the trial court status report on
the progress of the proceedings at the end of the mediation
period. The mediator is mandated not to record the
proceedings in any manner, but he may take down personal
notes to guide him. The PMC will not keep a file of mediation
proceedings except the report of the mediator. This is
because court-annexed mediation proceedings like those
voluntary mediation proceedings under the ADR Law are
confidential.

S T E P 5 : O U TC O M E O F
M E D I AT I O N
When the mediation results in realization of all claims of the
plaintiff, a motion to dismiss may be filed in court. If there
are obligations still to be complied with, the parties may
execute a compromise agreement which will then be
submitted to the court for approval. If the court finds the
compromise agreement to be in order, judgment will be
rendered in accordance therewith. If mediation fails, the
case will be returned to the court of origin per a Certificate
of Failed Mediation issued by the mediator.

M E D I AT I O N F E E S
The mediation fee shall be a certain percentage

of the filling fee, to be paid separately from the


filling fee, and in accordance with the Level of
Mediators and the schedules presented below:
LEVEL

AMOUNT
CHARGEABLE

MINIMUM FEE

MAXIMUM
FEE

Accredited mediators who have


handled less than 50 cases
(Level I)

20% of filling fee

P1, 000

P10, 000

Accredited mediators who


have handled more than 50
cases (Level II)

20% of filling fee

P2, 000

P30, 000

Accredited mediators who have


handled more than 100 cases
(Level III)

30% of filling fee

P3, 000

P50, 000

Before the start of the mediation, 50% of the

mediation fee shall be paid to the clerk of court.


Upon settlement of the case, the balance of the
mediation fee shall also be paid to the clerk of
court. If no compromise is reached, the down
payment is forfeited.

M E D I AT I O N C E N T E R
IN THE PHILIPPINES

A D D R E S S : 3 / F G U S A L I N G K ATA R U N G A N , F. Z O B E L , C O R .
J . P. R I Z A L S T. 1 2 0 0 , P H I L I P P I N E S

W H AT A R E T H E
C L A S S I F I C AT I O N S O F
M E D I AT I O N U N D E R A . D . R .
ACT?
DISTINGUISH.
1.

INSTITUTIONAL

. When administered by, and conducted


under the rules of mediation of such
institution.
2. AD HOC
. one where the parameters of the
mediation set by the parties are only for
the particular dispute

NAME 2 FORMS OF
ADR
1.

ARBITRATION

2.

MEDIATION

3.

CONCILIATION

4.

NEUTRAL AND EARLY NEUTRAL EVALUATION

5.

MINI-TRIAL

6.

ANY COMBINATION OF THE FOREGOING

7.

ANY OTHER ADR FORM (INNOMINATE ADR FORM)

W H AT D I D J U D G E PA R A S
SING DURING THE ONE
LY C E U M N I G H T PA R T Y
( A C Q U A I N TA N C E PA R T Y ) ?

PUSONG BATO

G I V E AT L E A S T T W O ( 2 )
Q U A L I F I C AT I O N S O F A
M E D I AT O R
1.

At least 30 years of age with a bachelors degree.

2.

Proficient in oral and written communication in English


and Filipino

3.

Possesses a good moral character and willingness to


learn new skills and be of service to the public.

4.

Must complete mediation seminar-workshops and pass


a written exercise to test their proficiency in oral and
written communication from the Philippine Judicial
Academy (PHILJA).

5.

Must be certified to have finished the training and


evaluated on their overall performance.

NAME 2 CASES
C OV E R E D BY
M E D I AT I O N ?
1. All civil cases, settlement of estates and cases covered
by the Rule on Summary Procedure. Typical cases would
be collection of debts, ejectment of tenants in apartment
dwellings, and inheritance disputes among family
members.
2. Cases cognizable by the Lupong Tagapamayapa under
the Katarungang Pambarangay Law such as disputes
between neighbors of the same barangay over property.
3. The civil aspect of Batas Pambansa 22, which covers the
debts paid through bouncing checks.
4. The civil aspect of quasi-offenses under negligence like
motor vehicle accidents that has damaged the vehicle or
injured passengers or pedestrians.