PART V Civ Pro

PART I
CIVIL PROCEDURE
Bar Review Guide 2014
Justice Magdangal M. de Leon
I. General Principles
A. Concept of Remedial Law
Procedure in general
The means whereby the court reaches out to restore rights and remedy wrongs, and includes
every step which may be taken from beginning to the end of a case (Maritime Company of the
Philippines vs. Paredes, 19 SCRA 569 [1967]).
Kinds of procedure
1. As to purpose
a. civil procedure – refers to the enforcement of a private right
b. criminal procedure – refers to the prosecution of an offense
2. As to formality
a. formal procedure – requires a set and definite process to be observed in order that
the remedy can issue
b. summary procedure – where remedy sought is granted without delay, and without the
necessity of observing the procedure fixed for ordinary cases
What is civil procedure?
The method of conducting a judicial proceeding to resolve disputes involving private parties for
the purpose of enforcing private rights or obtaining redress for the invasion of rights.
Action and suit
In the Philippines, the terms “action” and “suit” are synonymous (Lopez vs. Compania de
Seguros (16 SCRA 855 [1966])
B. Substantive Law as Distinguished from Remedial Law
1. Substantive law – the law that creates, defines regulates and extinguishes rights and
obligations
2. Remedial law – the law that provides the procedure or remedy for enforcement of rights
and obligations through the courts of justice.
C. Rule-making Power of the Supreme Court
The Supreme Court has the constitutional power to promulgate rules concerning pleading,
practice and procedure in all courts (Art. VIII, Sec. 5[5], Constitution).
The power of Congress under the 1935 and 1973 Constitutions to repeal, alter or supplement
rules concerning pleading, practice and procedure was taken away in the 1987 Constitution
(Echegaray vs. Secretary of Justice, G.R. No. 132601, January 19, 1999).
1. Limitations on the rule-making power of the Supreme Court [SUN]
(a) The rules shall provide a simplified and inexpensive procedure for the
speedydisposition of cases,
(b) The rules shall be uniform for all courts of the same grade, and
(c) The rules shall not diminish, increase, or modify substantive rights. (Art. VIII, Sec.
5[5], Constitution).
In determining whether a rule prescribed by the Supreme Court, for the practice and procedure
of the lower courts, abridges, enlarges, or modifies any substantive right, the test is whether the
rule really regulates procedure, that is, the judicial process for enforcing rights and duties
recognized by substantive law and for justly administering remedy and redress for a disregard or
infraction of them. If the rule takes away a vested right, it is not procedural. If the rule creates a
right such as the right to appeal, it may be classified as a substantive matter; but if it operates
as a means of implementing an existing right then the rule deals merely with procedure. (Fabian
vs. Desierto, G.R. No. 129742, September 16, 1998, 295 SCRA 40.)
Procedural and substantive rules
Test – whether rule really regulates procedure, the judicial process for enforcing rights and
duties recognized by substantive law and for justly administering remedy and redress for a
disregard or infraction thereof.
If it takes away a vested right, it is not procedural. If the rule creates a right such as the right to
appeal – substantive.
If it operates as a means of implementing an existing right – procedural,
Exs. where to prosecute an appeal or transferring venue of appeal – (a) appeals from decisions
of Ombudsman in administrative cases be made to CA, or (b) requiring that review of NLRC
decisions be filed with CA (St. Martin Funeral Home vs. NLRC, 295 SCRA 494 [1998])
2. Power of the Supreme Court to amend and suspend procedural rules
Inherent power of SC to SUSPEND its own rules or to EXEMPT a particular case from the
operation of said rules (pro hac vice) whenever demanded by justice (Rep. vs. CA, 107 SCRA
504 [1981]; De la Cruz vs. Court of Appeals, 510 SCRA 103).
The right to create rules necessarily carries with it the power to suspend the effectivity of its
creation.
The power to suspend or even disregard rules can be so pervasive and compelling as to
alter even that which the Court itself had already declared to be final (Apo Fruits Corp. vs. Land
Bank of the Philippines, G.R. No. 164195, October 12, 2010).
D. Nature of Philippine Courts
1. Meaning of a court
A court is a tribunal with the authority to adjudicatelegal disputesbetween parties and carry out
the administration of justice in civil, criminal, and administrative matters in accordance with
the rule of law.
The system of courts that interpret and apply the law are collectively known as the judiciary
2. Court as distinguished from a judge

A judge is a person who presides over court proceedings, either alone or as part of a panel of
judges. The judge conducts the trial impartially and in an open court. The judge hears all the
witnesses and any other evidence presented by the parties of the case, assesses the credibility
of the parties, and then issues a ruling on the matter at hand based on his or her interpretation
of the law and his or her own personal judgment.
3. Classification of Philippine courts
1. Regular Courts- Courts authorized to engage in the general administration of justice.
2. These courts derive their powers from the Constitution. At the apex is the Supreme Court.
Below the Supreme Court are three tiers of lower-level courts that initially decide controversies
brought about by litigants in the first instance.
a. Supreme Court
b. Court of Appeals
c. Regional Trial Court
d. Municipal Trial Court
2. Special Courts - Tribunals that have limited jurisdiction over certain types of cases or
controversies that special courts can hear are limited only to those that are specifically provided
in the special law creating such special courts. Outside of the specific cases expressly mentioned
in the provisions of the statute creating the special court, these courts have no authority to
exercise any powers of adjudication.
a. Sandiganbayan
b, Court of Tax Appeals
c. Shari’a Court
3. Quasi-Judicial Agencies - Technically, judicial powers pertain to and are exercised only by
courts. However, the Philippine system of government allows administrative agencies to exercise
adjudicatory powers in certain types of controversies, particularly if same would facilitate the
attainment of the objectives for which the administrative agency had been created. Unlike
regular and special courts, quasi-courts do not possess judicial powers. Instead they possess
and in fact, exercise what are termed as quasi-judicial powers.
4. Courts of original and appellate jurisdiction
a. Court of original jurisdiction – one where a case is originally commenced
1) Municipal Trial Court
2) Regional Trial Court
3) Court of Appeals
4) Supreme Court
b. Court of appellate jurisdiction – one which has power or review over the decisions or orders
of a lower court
2) Court of Appeals
3) Supreme Court
5. Courts of general and special jurisdiction
a. General jurisdiction – courts which take cognizance of all kinds of cases, civil or criminal,
except those assigned to special courts and courts of limited jurisdiction
b. Special jurisdiction – courts which have the power to hear only certain types of cases, or are
clothed with special powers for the performance of specified duties beyond which they have no
authority of any kind.
1) Sandiganbayan
2) Court of Tax Appeals
3) Shari’a Court
6. Constitutional and statutory courts
a. Constitutional – those created by the Constitution
1) Supreme Court
b. Statutory – those created by the legislature
1) Court of Appeals
3) Municipal Trial Court
4) Sandiganbayan
5) Court of Tax Appeals
6) Shari’a Court
7. Courts of law and equity
Philippine courts are both courts of law and equity. Hence, both legal and equitable jurisdiction is
dispensed with in the same tribunal. (. U.S. vs. Tamparong, 31 Phil. 321)
However, equity does not apply when there is a law applicable to a given case (Smith Bell Co.
vs. Court of Appeals, 267 SCRA 530). It is availed of only in the absence of a law and is never
availed of against statutory law or judicial pronouncements (Velez vs Demetrio, G.R. No.
128576, August 13, 2002).
8. Principle of judicial hierarchy
Pursuant to this doctrine, direct resort from the lower courts to the Supreme Court will not be
entertained unless the appropriate remedy cannot be obtained in the lower tribunals.
Rationale: (a) to prevent inordinate demands upon the SC’s time and attention which are better
devoted to those matters within its exclusive jurisdiction, and (b) to prevent further
overcrowding of the SC’s docket.
Thus, although the SC, CA and the RTC have CONCURRRENT jurisdiction to issue writs of
certiorari, prohibition, mandamus, quo warranto, habeas corpus and injunction, such
concurrence does not give the petitioner unrestricted freedom of choice of court forum.
The SC will NOT ENTERTAIN DIRECT RESORT to it unless the redress desired cannot be obtained
in the appropriate courts, and exceptional and compelling circumstances, such as cases of
national interest and of serious implications, justify the extraordinary remedy of writ of
certiorari, calling for the exercise of its primary jurisdiction (Heirs of Bertuldo Hinog vs.
Melicor, 455 SCRA 460 [2005]).
9. Doctrine of non-interference or doctrine of judicial stability
This principle holds that courts of equal and coordinate jurisdiction cannot interfere with each
other’s orders (Lapu-lapu Dev and Housing Corp vs. Group Management Corp, 338 SCRA 493).
Hence, a RTC has no power or authority to nullify or enjoin the enforcement of a writ of
possession issued by another Regional Trial Court (Suico Industrial Corp vs; CA, 301 SCRA 212).
The principle also bars a court from reviewing or interfering with the judgment of a co-equal
court over which it has no appellate jurisdiction or power of review (Villamor vs. Salas, 203
SCRA 540).
The doctrine of judicial stability or non-interference in the regular orders or judgments of a co-
equal court, as an accepted axiom in adjective law, serves as an insurmountable barrier to
the competencia of the Makati court to entertain the habeas corpus case on account of the
previous assumption of jurisdiction by the Cavite court, and the designation of petitioners as
guardians ad litem of the ward. This is based on the policy of peaceful co-existence among
courts of the same judicial plane. (Panlilio vs. Salonga, G.R. No. 113087, June 27, 1994).
II. Jurisdiction
“Juris” and “dico” – I speak by the law.
Power or capacity conferred by the Constitution. or by law to a court or tribunal to entertain,
hear and determine certain controversies, and render judgment thereon
A. Jurisdiction over the parties
1. How jurisdiction over the plaintiff is acquired
Over person of plaintiff – acquired upon filing of complaint or initiatory pleading and paying
docket or filing fees;
2. How jurisdiction over the defendant is acquired
Over person of defendant – service on him of coercive process in the manner provided by law
(summons) or his voluntary submission to the jurisdiction of the court or tribunal (voluntary
appearance).
What is the effect of voluntary appearance?
The defendant’s voluntary appearance in the action shall be equivalent to SERVICE OF
SUMMONS.
However, inclusion in a motion to dismiss on other grounds aside from lack of jurisdiction over
the person of the defendant shall not be deemed a voluntary appearance (Rule 14, Sec. 20).
NOTE:
a. Filing of a motion for reconsideration and appeal is tantamount to voluntary
submission to the jurisdiction of the court.
b. Any mode of appearance in court by a defendant or his lawyer is equivalent to service
of summons, absent any indication that the appearance of counsel was precisely to
protest the jurisdiction of the court over the person of defendant (Delos Santos vs.
Montesa, 221 SCRA 15 [1993]).
B. Jurisdiction over the subject matter
1. Meaning of jurisdiction over the subject matter
a. subject matter
1. The power to hear and determine cases of the general class to which the proceeding
in question belongs.
2. Determined by the LAW IN FORCE at the time of its institution. Once the court
acquires jurisdiction, it may not be ousted by any subsequent law placing jurisdiction in
another tribunal, except (a) when the law itself so provides or (b) the statute is clearly
intended to apply to actions pending before its enactment.
3. Matter of legislative enactment which none but the legislature can change.
4. Once jurisdiction is acquired, court RETAINS it until the final determination of the
case
5. Never acquired by consent or acquiescence of the parties or by laches, nor by
unilateral assumption thereof by a tribunal.
6. Determined by the ALLEGATIONS in the complaint and the CHARACTER of the relief
sought.
7. Does not depend on pleas or defenses of defendant in an answer or motion to
dismiss.
2. Jurisdiction versus the exercise of jurisdiction
Jurisdiction is the authority to decide a cause, and not the decision rendered therein. Where
there is jurisdiction over the person and the subject matter, the decision in all other questions
arising in the case is but an exercise of suchjurisdiction. The errors which the court may commit
in the exercise of jurisdiction are merely errors of judgment which are the proper subject of an
appeal. The errors raised by petitioners in their petition for annulment of judgment assail the
content of the decision of the trial court and not the court’s authority to decide the suit. In other
words, they relate to the court’s exercise of its jurisdiction, but petitioners failed to show that
the trial court did not have the authority to decide the case. (Tolentino vs. Leviste, 443 SCRA
274 [2004]).
3. Error of jurisdiction as distinguished from error of judgment
An error of judgment is one in which the court may commit in the exercise of its jurisdiction, and
which error is reversible only by an appeal. Error of jurisdiction is one where the act complained
of was issued by the court without or in excess of jurisdiction and which error is correctible only
by the extraordinary writ of certiorari. Certiorari will not be issued to cure errors by the trial
court in its appreciation of the evidence of the parties, and its conclusions anchored on the said
findings and its conclusions of law. As long as the court acts within its jurisdiction, any alleged
errors committed in the exercise of its discretion will amount to nothing more than mere errors
of judgment. (Julie’s Franchise Corporation vs. Ruiz, G.R. No. 180988, August 28, 2009, 597
SCRA 463.)
4. How jurisdiction is conferred and determined
Conferred by the LAW IN FORCE at the time of its institution. Determined by the ALLEGATIONS
in the complaint and the CHARACTER of the relief sought
5. Doctrine of primary jurisdiction
The doctrine of primary jurisdiction precludes the courts from resolving a controversy over which
jurisdiction has initially been lodged with an administrative body of special competence. (Fajardo
vs. Flores, G.R. No. 167891, January 15, 2010)
6. Doctrine of adherence of jurisdiction
Once jurisdiction attaches it cannot be ousted by the happening of subsequent events although
of such a character which should have prevented jurisdiction from attaching in the first instance
[the rule of adherence of jurisdiction] (Ramos vs. Central Bank of the Philippines, 41 SCRA
565;. Lee vs. Presiding Judge, MTC of Legaspi City, Br I, 145 SCRA 408).
Once the court acquires jurisdiction, it may not be ousted by any subsequent law placing
jurisdiction in another tribunal, except (a) when the law itself so provides or (b) the statute is
clearly intended to apply to actions pending before its enactment.
Once jurisdiction is acquired, court RETAINS it until the final determination of the case
7. Objections to jurisdiction over the subject matter
When can the issue of jurisdiction be raised?
General rule– jurisdiction over the subject matter or nature of the action may be challenged AT
ANY STAGE of the proceedings.
Exception– when there is ESTOPPEL.
Party assailing jurisdiction of court must raise it at the first opportunity. While an order or
decision rendered without jurisdiction is a total nullity and may be assailed at any stage, a
party’s ACTIVE PARTICIPATION in the proceedings. without questioning the jurisdiction until an
adverse resolution is issued will BAR or ESTOP such party from attacking the court’s jurisdiction,
especially when an adverse judgment has been rendered (Soliven vs. Fastforms Phils. , Inc. ,
440 SCRA 389 [2004]).
A party cannot invoke the jurisdiction of the court to secure affirmative relief against his
opponent and after failing to obtain such relief, repudiate such jurisdiction (Salva vs. CA, 304
SCRA 632 (1999) .This includes the filing of a counterclaim. Such practice cannot be tolerated
for reasons of public policy (Oca vs. CA, 278 SCRA 642 [2002]).
The earliest opportunity of a party to raise the issue of jurisdiction is in amotion to dismiss filed
before the filing or service of an answer. Lack of jurisdiction over the subject matter is a ground
for a motion to dismiss (Sec. 1[b], , Rule 16). If no motion to dismiss is filed, the defense of lack
of jurisdiction may be raised as an affirmative defense in the answer (Sec. 6, Rule 16).
Under the omnibus motion rule, a motion attacking a pleading like a motion to dismiss shall
include all grounds then available, and all objections not so included shall not be deemed
waived, except lack of jurisdiction over the subject matter (Sec. 8, Rule 15).
Jurisdiction over the subject matter may be raised at any stage of the proceedings, even for the
first time on appeal (Francel Realty Corporation vs. Sycip, 469 SCRA 424 [2005])
Courts may take cognizance of the issue even if not raised by the parties themselves. No reason
to preclude the CA, for example, from ruling on this issue even if the same had not been
resolved by the trial court (Asia International Auctioneers, Inc. vs. ,G.R. No. 163445, December
18, 2007).
8. Effect of estoppel on objections to jurisdiction
Heirs of Bertuldo Hinog vs. Melicor, G.R. No. 140954, April 12, 2005
After recognizing the jurisdiction of the trial court by seeking affirmative relief in their motion to
serve supplemental pleading upon private respondents, petitioners are effectively barred by
estoppel from challenging the trial court’s jurisdiction. If a party invokes the jurisdiction of a
court, he cannot thereafter challenge the court’s jurisdiction in the same case. To rule otherwise
would amount to speculating on the fortune of litigation, which is against the policy of the Court.
Salva vs. CA, 304 SCRA 632 (1999)
Facts:Squatters around San Jose Airport in Occidental Mindoro were relocated in NFA lot. Actual
occupants of lot filed forcible entry complaint against relocated families and Mindoro Governor
Josephine Sato.
Plaintiffs won in MTC. RTC affirmed. Sato filed notice of appeal. CA dismissed appeal for being
wrong remedy and ordered entry of judgment. MTC issued writ of execution. Sato filed certiorari
and prohibition with CA which was dismissed. Sato filed MR on the ground that MTC had no
jurisdiction because the squatters were relocated on a different lot. CA granted MR and
dismissed plaintiffs’ complaint for forcible entry.
Ruling: SC reversed CA decision – issue of jurisdiction never raised before MTC, RTC and CA.
Raised for the first time in MR. Party assailing jurisdiction of court must raise it at the first
opportunity. While an order or decision rendered without jurisdiction is a total nullity and may
be assailed at any stage, a party’s ACTIVE PARTICIPATION in the proceedings. Without
questioning the jurisdiction until an adverse resolution is issued will bar or estop such party from
attacking the court’s jurisdiction. Settled rule: a party cannot invoke the jurisdiction of the court
to secure affirmative relief against his opponent and after failing to obtain such relief, repudiate
such jurisdiction.
C. Jurisdiction over the issues
1. Authority to try and decide the issues raised by the pleadings of the parties.
2. Conferred by the PLEADINGS or EXPRESS CONSENT of the parties.
3. An issue not duly pleaded may be tried and decided if no timely objection is made by
the parties.
4. In certain cases, as in probate proceedings, jurisdiction over the issues is conferred
by law.
D. Jurisdiction over the res or property in litigation
Acquired by the court over the property or thing in contest, and is obtained by seizure under
legal process of the court.
May result either from the SEIZURE of thing under legal process whereby it is brought into
actual custody of law, or INSTITUTION of legal proceedings whereby the power of the court over
the thing is recognized and made effective.
E. Jurisdiction of Courts
1. Supreme Court
A. Original Jurisdiction
1. Exclusive
Petitions for issuance of writs of certiorari, prohibition, and mandamus against the
following:
a. Court of Appeals
b. Commission on Elections En Banc
c. Commission on Audit (Sec. 7, Art. IX-A, 1987 Constitution)
d. Sandiganbayan
e. Court of Tax Appeals En Banc
f. Ombudsman in criminal and non-administrative disciplinary cases
2. Concurrent
a. with Court of Appeals
1) Petitions for writs of certiorari, prohibition, and mandamus against the Civil
Service Commission
2) Petitions for writs of certiorari, prohibition and mandamus against the
National Labor Relations Commission under the Labor Code (Sec. 9, Batas 129
[1983], as amended by Rep. Act No. 7902 [1995], St. Martin’s Funeral Homes
vs. National Labor Relations Commission, G.R. No. 130866, September 16,
1998, 295 SCRA 494)
b. with Court of Appeals and Regional Trial Courts
1) Petitions for habeas corpus and quo warranto
2) Actions brought to prevent and restrain violations of laws concerning
monopolies and combinations in restraint of trade (Sec. 17, Rep. Act No. 296
[1948], as amended by Rep. Act No. 5440 [1968])
c. with Court of Appeals, Sandiganbayan and Regional Trial Courts
1) Petitions for certiorari, prohibition and mandamus relating to an act or
omission of a municipal trial court, or of a corporation, a board, an officer or
person
2) Petitions for issuance of writ of amparo (Sec. 3, A.M. No. 07-9-12-SC or “The
Rule on the Writ of Amparo,” effective October 24, 2007)
3) Petitions for issuance of writ of habeas data (Sec. 3, A.M. No. 08-1-16-SC
effective February 2, 2008)
d. with Regional Trial Courts
Actions affecting ambassadors and other public ministers and consuls (Sec. 5[1], Article
VIII, 1987 Constitution; Sec. 21[2], Batas Blg. 129 [1983])
B. Appellate Jurisdiction
1. Ordinary Appeal
From the Court of Appeals, in all criminal cases involving offenses for which the
penalty imposed is reclusion perpetua or life imprisonment; or a lesser penalty is
imposed for offenses committed on the same occasion or which arose out of the same
occurrence that gave rise to the more severe offense for which the penalty of death is
imposed (Sec. 13[c], Rule 124, as amended by A.M. No. 00-5-03-SC, effective October
15, 2004, Sec. 13[b], Rule 124)
2. Petition for Review on Certiorari
a. Appeals from Court of Appeals (Sec. 17, Rep. Act No. 296 [1948], as
amended by Rep. Act No. 5440 [1969]; Sec. 5[2], Article VIII, 1987
Constitution; Rule 45, 1997 Rules of Civil Procedure)
b. Appeals from the Sandiganbayan on pure questions of law, except cases
where the penalty imposed is reclusion perpetua, life imprisonment, or death
(Sec. 7, Pres. Decree No. 1606 [1979], as amended by Rep. Act No. 8249
[1997]; Nunez vs. Sandiganbayan, Nos. L-50581-50617, January 20, 1982, 111
SCRA 433; Rule 45, ibid. )
c. Appeals from judgments or final orders of Regional Trial Courts exercising
original jurisdiction in the following:
1) All cases in which the constitutionality or validity of any treaty,
international or executive agreement, law, presidential decree,
proclamation, order, instruction, ordinance, or regulation is in question;
2) All cases involving the legality of any tax, impost, assessment, or toll,
or any penalty imposed in relation thereto;
3) All cases in which the jurisdiction of any lower court is in issue;
4) All cases in which only an error or question of law is involved.(Sec.
5[2-a, b, c, and e], Article VIII, 1987 Constitution; Sec. 17, Rep. Act No.
296 [1948], as amended; Sec. 9[3], Batas Pambansa Blg. 129 [1983];
Rule 45, ibid. ; Sec. 2[c], Rule 41; Sec. 3[e], Rule 122)
d. Appeals from decisions or final resolutions of the Court of Tax Appeals
en banc (Rule 16, Sec. 1, A.M. No. 05-11-07-CTA or “The Revised Rules of the
Court of Tax Appeals;” Sec. 1, Rule 45, as amended by A.M. No. 07-7-12-SC
dated December 12, 2007; See also Rep. Act No. 9282 [2004])
3. Petition for certiorari filed within thirty (30) days from notice of the judgment/final
order/resolution sought to be reviewed against the following: (Rule 64, 1997 Rules of
Civil Procedure)
a. Commission on Elections (Sec. 7, Article IX-A, 1987 Constitution;Aratuc vs.
COMELEC, No. L-49705-09, February 8, 1979, 88 SCRA 251)
b. Commission on Audit (Ibid. , 1987 Constitution)
2. Court of Appeals
1. Exclusive
a. Actions for annulment of judgments of Regional Trial Courts (Sec. 9[2], Batas
Blg. 129 [1983]; Rule 47, 1997 Rules of Civil Procedure)
b. Petitions for certiorari, prohibition, and mandamus involving an act or
omission of a quasi-judicial agency, unless otherwise provided by law (Sec. 4,
Rule 65, as amended by A.M. No. 07-7-12-SC dated December 12, 2007)
2. Concurrent
a. with Supreme Court
1) Petitions for writs of certiorari, prohibition, and mandamus against
the Civil Service Commission (Rep. Act No. 7902 [1995])
2) Petitions for writs of certiorari, prohibition and mandamus against the
National Labor Relations Commission under the Labor Code (Sec. 9,
Batas 129 [1983], as amended by Rep. Act No. 7902 [1995], St.
Martin’s Funeral Homes vs. National Labor Relations Commission, G.R.
No. 130866, September 16, 1998, 295 SCRA 494)
b. with Supreme Court and Regional Trial Courts
1) Petitions for habeas corpus and quo warranto
2) Actions brought to prevent and restrain violations of laws concerning
monopolies and combinations in restraint of trade (Sec. 17, Rep. Act No.
296 [1948], as amended by Rep. Act No. 5440 [1968])
c. with Supreme Court, Sandiganbayan, and Regional Trial Courts
1) Petitions for certiorari, prohibition and mandamus relating to an act
or omission of a municipal trial court, or of a corporation, a board, an
officer, or person
2) Petitions for issuance of writ of amparo (Sec. 3, A.M. No. 07-9-12-SC
or “The Rule on the Writ of Amparo,” effective October 24, 2007)
3) Petitions for issuance of writ of habeas data (Sec. 3, A.M. No. 08-1-
16- SC, effective February 2, 2008)
1. Ordinary Appeal
a. Appeals from Regional Trial Courts, except those appealable to the Supreme
Court under
b. Appeals from Regional Trial Courts on constitutional, tax, jurisdictional
questions involving questions of fact which should be appealed first to the Court
of Appeals (Sec. 17, subparagraph 4 of the fourth paragraph of Rep. Act No.
296 [1948] as amended, which was not intended to be excluded by Sec. 9[3],
Batas Pambansa Blg. 129 [1983])
c. Appeals from decisions and final orders of the Family Courts (Sec. 14, Rep.
Act No. 8369 [1997])
d. Appeals from Regional Trial Courts in criminal cases, where the penalty
imposed is reclusion perpetua, or life imprisonment, or where a lesser penalty is
imposed but for offenses committed on the same occasion or which arose out of
the same occurrence that gave rise to the more serious offense for which the
penalty of reclusion perpetuaor life imprisonment is imposed (Sec. 3[c], Rule
122, as amended by A.M. No. 00-5-03-SC, effective October 15, 2004; People
vs. Mateo, G.R. Nos. 147678-87, July 7, 2004, 433 SCRA 640)
e. Direct Appeal from land registration and cadastral cases decided by
metropolitan trial courts, municipal trial courts, and municipal circuit trial courts
based on their delegated jurisdiction
2. Petition for certiorari against decisions and final resolutions of the National Labor
Relations Commission (A. M. No. 99-2-01-SC; St. Martin Funeral Homes vs. National
Labor Relations Commission, G.R. No. 13086, September 16, 1998, 295 SCRA
494; Torres, et. al. vs. Specialized Packaging Development Corp. , et. al. , G.R.
No.149634, July 6, 2004, 433 SCRA 455)
3. Automatic review in cases where the Regional Trial Courts impose the death penalty
(Secs. 3[d] and 10, Rule 122, as amended by A.M. No. 00-5-03-SC, effective October
15, 2004; People vs. Mateo, supra)
4. Petition for review
a. Appeals from Regional Trial Courts in cases decided by the RTC in the
exercise of its appellate jurisdiction (Sec. 22, Batas Blg. 129 [1983]; Rule 42,
1997 Rules of Civil Procedure; Sec. 3[b], Rule 122)
b. Appeals from decisions of the Regional Trial Courts acting as Special Agrarian
Courts in cases involving just compensation to the landowners concerned (Land
Bank of the Philippines vs. De Leon, G. R. No. 143275, September 10, 2002,
388 SCRA 537)
c. Appeals from awards, judgments, final orders, or resolutions of, or authorized
by, quasi-judicial agencies in the exercise of their quasi-judicial functions.
Among these are: CSC, GSIS, NEA, CIAC, SEC, DAR, OP, CBAA, BPTTT, ERC,
LRA, CAB, BOI, PAEC, SSS, IC, ECC, Voluntary Arbitrator
d. Appeals from the Office of the Ombudsman in administrative disciplinary
cases (A.M. No. 99-2-02-SC; Fabian vs. Desierto, G.R. No. 129742, September
16, 1998, 295 SCRA 470)
3. Court of Tax Appeals
A. Exclusive appellate jurisdiction
1. Decisions of the Commissioner of Internal Revenue in cases involving
disputed assessments, refunds of internal revenue taxes, fees or other charges,
penalties in relation thereto, or other matters arising under the National Internal
Revenue or other laws administered by the Bureau of Internal Revenue;
2. Inaction by the Commissioner of Internal Revenue in cases involving disputed
assessments, refunds of internal revenue taxes, fees or other charges, penalties
in relations thereto, or other matters arising under the National Internal
Revenue Code or other laws administered by the Bureau of Internal Revenue,
where the National Internal Revenue Code provides a specific period of action, in
which case the inaction shall be deemed a denial;
3. Decisions, orders or resolutions of the Regional Trial Courts in local tax cases
originally decided or resolved by them in the exercise of their original or
appellate jurisdiction;
4. Decisions of the Commissioner of Customs in cases involving liability for
customs duties, fees or other money charges, seizure, detention or release of
property affected, fines, forfeitures or other penalties in relation thereto, or
other matters arising under the Customs Law or other laws administered by the
Bureau of Customs;
5. Decisions of the Central Board of Assessment Appeals in the exercise of its
appellate jurisdiction over cases involving the assessment and taxation of real
property originally decided by the provincial or city board of assessment
appeals;
6. Decisions of the Secretary of Finance on customs cases elevated to him
automatically for review from decisions of the Commissioner of Customs which
are adverse to the Government under Sec. 2315 of the Tariff and Customs
Code;
7. Decisions of the Secretary of Trade and Industry, in the case of
nonagricultural product, commodity or article, and the Secretary of Agriculture
in the case of agricultural product, commodity or article, involving dumping and
countervailing duties under Sec. 301 and 302, respectively, of the Tariff and
Customs Code, and safeguard measures under Republic Act No. 8800, where
either party may appeal the decision to impose or not to impose said duties.
B. Jurisdiction over cases involving criminal offenses:
1. Exclusive original jurisdiction over all criminal offenses arising from violations of the
National Internal Revenue Code or Tariff and Customs Code and other laws administered
by the Bureau of Internal Revenue or the Bureau of Customs: Provided, however, That
offenses or felonies mentioned in this paragraph where the principal amount of taxes
and fees, exclusive of charges and penalties, claimed is less than One million pesos
(P1,000,000.00) or where there is no specified amount claimed shall be tried by the
regular courts and the jurisdiction of the CTA shall be appellate. Any provision of law or
the Rules of Court to the contrary notwithstanding, the criminal action and the
corresponding civil action for the recovery of civil liability for taxes and penalties shall at
all times be simultaneously instituted with, and jointly determined in the same
proceeding by the CTA, the filing of the criminal action being deemed to necessarily
carry with it the filing of the civil action, and no right to reserve the filling of such civil
action separately from the criminal action will be recognized.
2. Exclusive appellate jurisdiction in criminal offenses
a. Over appeals from the judgments, resolutions or orders of the Regional Trial
Courts in tax cases originally decided by them, in their respected territorial
jurisdiction.
b. Over petitions for review of the judgments, resolutions or orders of the
Regional Trial Courts in the exercise of their appellate jurisdiction over tax cases
originally decided by the Metropolitan Trial Courts, Municipal Trial Courts and
Municipal Circuit Trial Courts in their respective jurisdiction.
c. Jurisdiction over tax collection cases
1. Exclusive original jurisdiction in tax collection cases involving final
and executory assessments for taxes, fees, charges and penalties:
Provided, however, That collection cases where the principal amount of
taxes and fees, exclusive of charges and penalties, claimed is less than
One million pesos (P1,000,000.00) shall be tried by the proper Municipal
Trial Court, Metropolitan Trial Court and Regional Trial Court.
2. Exclusive appellate jurisdiction in tax collection cases:
a. Over appeals from the judgments, resolutions or orders of the
Regional Trial Courts in tax collection cases originally decided by
them, in their respective territorial jurisdiction.
b. Over petitions for review of the judgments, resolutions or
orders of the Regional Trial Courts in the Exercise of their
appellate jurisdiction over tax collection cases originally decided
by the Metropolitan Trial Courts, Municipal Trial Courts and
Municipal Circuit Trial Courts, in their respective jurisdiction.
(Sec. 7, RA 1125, amended by RA 9282)
4. Sandiganbayan
1. Exclusive
a. Violation of Rep. Act No. 3019 [1960] (Anti-Graft) , Rep. Act No. RA 1379 [1955] and
Chapter II, Sec. 2, Title VII of Revised Penal Code; and other offenses committed by
public officials and employees in relation to their office, and private individuals charged
as co-principals, accomplices, and accessories including those employed in government-
owned or –controlled corporations, where one or more of the accused are officials
occupying the following positions in government, whether in a permanent, acting, or
interim capacity, at the time of the commission of the offense:
a. Officials of the Executive Branch xxx classified as salary grade “27” or higher
xxx specifically including xxx
b. Members of Congress xxx
c. Members of the Judiciary xxx
d. Members of Constitutional Commissions xxx
e. All other national and local officials classified as salary grade “27” and higher
In cases where none of the accused is occupying the above positions, the original
jurisdiction shall be vested in the proper Regional Trial Court or Metropolitan Trial Court,
etc. , as the case may be, pursuant to their respective jurisdictions. (Sec. 2, Rep. Act
No. 7975 [1995], as amended by Rep. Act No. 8249 [1997]
In cases where there is no specific allegation of facts showing that the offense was
committed in relation to the public office of the accused, the original jurisdiction shall
also be vested in the proper Regional Trial Court or Metropolitan Trial Court, etc. , as the
case may be. (Lacson vs. Executive Secretary, G.R. No. 128096, January 20, 1999, 310
SCRA 298)
b. Civil and criminal cases filed pursuant to and in connection with Executive Order Nos.
1, 2, 14, and 14-A. (Sec. 2, Rep. Act No. 7975 [1995] as amended by Rep. Act No. 8249
[1997]).
c. Violations of Rep. Act No. 9160, or “Anti-Money Laundering Act of 2001,” as amended
by Rep. Act No. 9194, when committed by public officers and private persons who are in
conspiracy with such public officers.
2. Concurrent with Supreme Court
Petitions for issuance of writs of certiorari, prohibition, mandamus, habeas corpus, and
injunction and other ancillary writs in aid of its appellate jurisdiction, including quo warranto
arising in cases falling under said Executive Order Nos. 1, 2, 14, and 14-A. (Ibid. , as amended
by Rep. Act No. 8249 [1997])
3. Concurrent with Supreme Court, Court of Appeals and Regional Trial Courts
a. Petitions for writ of amparo and writ of habeas data when action concerns public data
files of government offices (Sec. 3, A.M. No. 07-9-12-SC or “The Rule on the Writ of
Amparo,” effective October 24, 2007; Sec. 3, A.M. No. 08-1-16-SC, effective February 2,
2008)
b. Petitions for certiorari, prohibition, and mandamus, relating to an act or omission of a
Municipal Trial Court, corporation, board, officer, or person (Sec. 4, Rule 65, as
amended by A.M. No. 07-7-12-SC dated December 12, 2007)
Decisions and final orders of Regional Trial Courts in the exercise of their original or appellate
jurisdiction under Pres. Decree No. 1606 [1979], as amended, shall be appealable to the
Sandiganbayan in the manner provided by Rule 122 of the Rules of Court. (Sec. 5, Rep. Act No.
8249 [1997])
5. Regional Trial Courts
1. Civil
a. Exclusive
1) Subject of the action not capable of pecuniary estimation;
Actions not capable of pecuniary estimation
1. Where it is primarily for the recovery of a SUM OF MONEY, the claim is considered
capable of pecuniary estimation – jurisdiction, whether in the MTC or RTC, would depend
on the AMOUNT of the claim.
2. Where the basic issue is other than the right to recover a sum of money, or where the
money claim is purely incidental to, or a consequence of the principal relief sought, the
subject of litigation may not be estimated in terms of money – jurisdiction exclusively of
RTC.
Exs. Expropriation specific performance support foreclosure of mortgage annulment of
judgment actions questioning the validity of a mortgageannulment of deed of
conveyance rescission
3. While actions under Sec. 33(3) of B.P. 129 are also incapable of pecuniary estimation,
the law specifically mandates that they are cognizable by the MTC, METC, or MCTC
where the assessed value of the real property involved does not exceed P20,000.00 in
Metro Manila, or P50,000.00, if located elsewhere. [1]
(Russel vs. Vestil, G.R. No. 119347, March 17, 1999).
2) Actions involving title to, or possession of real property or any interest therein - where
assessed value of property exceeds P20,000.00 (P50,000.00 in Metro Manila) , excluding
forcible entry and unlawful detainer
3) Actions in admiralty and maritime jurisdiction – where demand or claim exceeds P300,000.00
(P400,000.00 in Metro Manila)
4) Matters of probate, testate and intestate - where. gross value of estate exceeds P300,000.00
5) Cases not within exclusive jurisdiction of any court, tribunal, person or body exercising
judicial or quasi-judicial functions.
6) All other cases where demand – exclusive of interests, damages of whatever kind, attorney’s
fees, litigations expenses and cost, or value of property in controversy – exceeds P300,000.00
7) Additional original jurisdiction transferred under Sec. 5.2. of the Securities Regulation Code.
8) Application for issuance of writ of search and seizure in civil actions for infringement of
intellectual property rights (Sec. 3, A.M. No. 02-1-06-SC, effective February 15, 2002)
9) Violations of Rep. Act No. 9160 or “Anti-Money Laundering Act of 2001,” as amended by Rep.
Act No. 9194.
b. Concurrent
1) with Supreme Court Actions affecting ambassadors and other public ministers and
consuls (Sec. 21[1], Batas Blg. 129 [1983])
2) with Supreme Court and Court of Appeals Petitions for habeas corpus and quo
warranto Appeals (Sec. 5 [1], Article VIII, 1987 Constitution
3) with Supreme Court, Court of Appeals, and Sandiganbayan
a) Petitions for certiorari, prohibition, and mandamus, if they relate to an act or
omission of a municipal trial court, corporation, board, officer, or person (Sec. 4,
Rule 65, as amended by A.M. No. 07-7-12-SC, dated December 12, 2007)
b) Petitions for writ of amparo and writ of habeas data (Sec. 3, A.M. No. 07 9-
12-SC or “The Rule on the Writ of Amparo,” effective October 24, 2007; Sec. 3,
A.M. No. 08-1-16-SC, effective February 2, 2008)
4) with metropolitan trial courts, municipal trial courts, and municipal circuit trial courts
Application for Protection Order under Sec. 10, Rep. Act No. 9282, unless there is a
Family Court in the residence of petitioner.
5) with Insurance Commission Claims not exceeding PhP 100,000.00 (Sec. 416,
Insurance Code [1974], Pres. Decree No. 612 [1975]. Applicable if subject of the action
is not capable of pecuniary estimation; otherwise, jurisdiction is concurrent with
Metropolitan Trial Court, etc.
2. Criminal
a. Exclusive
Criminal cases not within the exclusive jurisdiction of any court, tribunal, or body. (Sec.
20, Batas Blg. 129 [1983]). These include criminal cases where the penalty provided by
law exceeds six (6) years imprisonment irrespective of the fine. (Rep. Act No. 7691
[1994]). These also include criminal cases not falling within the exclusive original
jurisdiction of the Sandiganbayan, where none of the accused are occupying positions
corresponding to salary grade “27” and higher. (Rep. Act No. 7975 [1995] and Rep. Act
No. 8249 [1997]).
But in cases where the only penalty provided by law is a fine, the Regional Trial Courts
have jurisdiction if the amount of the fine exceeds PhP 4,000. (Rep. Act No. 7691 [1994]
as clarified by Administrative Circular No. 09-94 dated June 14, 1994).
b. Appellate Jurisdiction
All cases decided by lower courts (metropolitan trial courts, etc.) in their respective
territorial jurisdictions. (Sec. 22, Batas Blg. 129 [1983])
6. Family Courts
A. Exclusive and Original Jurisdiction
1. Criminal cases where one or more of the accused is below eighteen (18) years of age
but not less than nine (9) years of age, when one or more of the victims is a minor at
the time of the commission of the offense: Provided, That if the minor is found guilty,
the court shall promulgate sentence and ascertain any civil liability which the accused
may have incurred. The sentence, however, shall be suspended without need of
application pursuant to Presidential Decree No. 1903, otherwise known as “The Child and
Youth Welfare Code;” (RA 8369 [Family Courts Act of 1997])
2. Petitions for guardianship, custody of children, habeas corpus in relation to the latter;
(Sec. 3, A.M. No. 03-04-04-SC, effective May 15, 2003; Sec. 3, A.M. No. 03-02-05-SC,
effective April 15, 2003)
3. Petitions for adoption of children and the revocation thereof; (Secs. A.20 and B.28,
A.M. No. 02-6-02-SC, effective August 22, 2002; See also Rep. Act No. 9523 or “An Act
Requiring Certification of the Department of Social Welfare and Development to Declare
A Child ‘Legally Available for Adoption’ as a Prerequisite for Adoption Proceedings,
Amending for this Purpose Certain Provisions of Republic Act No. 8552, otherwise
known as The Domestic Adoption Act of 1998, Republic Act No. 8043, otherwise known
as The Inter-Country Adoption Act of 1995, Presidential Decree No. 603, otherwise
known as The Child and Youth Welfare Code, and for Other Purposes,” approved on
March 12, 2009)
4. Complaints for annulment of marriage, declaration of nullity of marriage, and those
relating to marital status and property relations of husband and wife or those living
together under different status and agreements, and petitions for dissolution of conjugal
partnership of gains; (Sec. 2, A.M. No. 02-11-10-SC, effective March 15, 2003)
5. Petitions for involuntary commitment of a child, for removal of custody against child-
placement or child-caring agency or individual, and for commitment of disabled child;
(Secs. 4[b], 5[a][ii], 6[b], A.M. No. 02-1-19-SC, effective April 15, 2002)
6. Cases against minors cognizable under Rep. Act No. 9165, or “The Comprehensive
Dangerous Drugs Act of 2002;” (See also A.M. No. 07-8-2-SC, effective November 5,
2007)
7. Violation of Rep. Act No. 7610 [1991], otherwise known as the “Special Protection of
Children Against Child Abuse, Exploration and Discrimination Act,” as amended by Rep.
Act No. 7658 [1993] and as further amended by Rep. Act No. 9231 [2003];
8. (RA 9775 [Anti-Child Pornography Act of 2009]
9. Cases of violence against women and their children under Rep. Act No. 9262,
otherwise known as “Anti-Violence Against Women and their Children Act of 2004,”
including applications for Protection Order under the same Act;
10 Criminal cases involving juveniles if no preliminary investigation is required under
Sec. 1, Rule 112 of Revised Rules on Criminal Procedure (Sec. 1, A.M. No. 02-1-18-SC,
effective April 15, 2002)
7. Metropolitan Trial Courts/Municipal Trial Courts
1. Civil
a. Exclusive
1) Actions involving personal property valued at not more than PhP 300,000.00 (PhP
400,000.00 in Metro Manila)
2) Actions demanding sums of money not exceeding PhP 300,000.00 (Php4000,000.00
in Metro Manila) ; in both cases, exclusive of interest,damages, attorney’s fees, litigation
expenses and costs, the amount ofwhich must be specifically alleged, but the filing fees
thereon shall be paid.
These include admiralty and maritime cases;
3) Actions involving title or possession of real property where the assessed value does
not exceed PhP 20,000.00 (Php 50,000.00 in Metro Manila) ;
4) Provisional remedies in principal actions within their jurisdiction, and in proper cases,
such as preliminary attachment, preliminary injunction, appointment or receiver and
delivery of personal property; (Rule 57, 58, 59, and 60)
5) Forcible entry and unlawful detainer, with jurisdiction to resolve issue of ownership to
determine issue of possession;
6) Probate proceedings, testate or intestate, where gross value of estate does not
exceed PhP 300,000.00 or in Metro Manila PhP 400,000.00; (Sec. 33, Batas Blg. 129
[1983] as amended by Rep. Act No. 7691 [1994])
7) Inclusion and exclusion of voters. (Sec. 38, Batas Blg. 881, Omnibus Election Code of
the Philippines [1985]).
b. Delegated
Cadastral and land registration cases assigned by Supreme Court where there is no controversy
or opposition and in contested lots valued at more than PhP 100,000 (Sec. 34, Batas Blg. 129
[1983] as amended by Rep. Act No. 7691 [1994])
c. Special
Petition for habeas corpus in the absence of all Regional Trial Court judges. (Sec. 35, Batas Blg.
129 [1983])
2. Criminal
a. Exclusive
1) All violations of city or municipal ordinances committed within their respective
territorial jurisdictions;
2) All offenses punishable with imprisonment of not more than six (6) years irrespective
of the fine and regardless of other imposable accessory or other penalties and the civil
liability arising therefrom; provided, however, that in offenses involving damage to
property through criminal negligence, they shall have exclusive original jurisdiction.
(Sec. 32, Batas Blg. 129 [1983] as amended by Rep. Act No. 7691 [1994])
3) All offenses committed not falling within the exclusive original jurisdiction of the
Sandiganbayan where none of the accused is occupying a position corresponding to
salary grade “27” and higher. (As amended by Rep. Act No. 7975 [1995] and Rep. Act
No. 8249 [1997])
4) In cases where the only penalty provided by law is a fine not exceeding PhP 4,000,
the Metropolitan Trial Courts, etc. have jurisdiction. (Administrative Circular No. 09-94,
dated June 14, 1994)
b. Special
Applications for bail in the absence of all Regional Trial Court judges. (Sec. 35, Batas Blg. 129
[1983])
8. Sharia's Courts
Presidential Decree (P.D.) No. 1083 created the Shari’a Courts, which have limited jurisdiction
over the settlement of issues, controversies or disputes pertaining to the civil relations between
and among Muslim Filipinos. Specifically, these controversies require the interpretation of laws
on Persons, Family Relations, Succession, Contracts, and similar laws applicable only to Muslims.
Despite the seeming exclusivity of the jurisdiction of the Shari’a Courts with regard to
controversies involving Muslims, the Supreme Court retains the power of review orders of lower
courts through special writs (R.A. 6734, Art. IX, Sec.1). This review extends to decisions made
by the Shari’a Courts
F. Jurisdiction over small claims; cases covered by the rules on Summary Procedure
and Barangay Conciliation
Small Claims Cases(A.M. No. 08-8-7-SC, effective October 1, 2008)
All actions which are: (a) purely civil in nature where the claim of relief prayed for by the
plaintiff is solely for payment or reimbursement or sum of money, and (b) the civil aspect of the
criminal action, or reserved upon the filing of the criminal action in court, pursuant to Rule 111
of the Revised Rules of Criminal Procedure, where the value of the claim does not exceed One
Hundred Thousand Pesos (P100,000.00) , exclusive of interest and costs.
Rule on Summary Procedure
A. Civil Cases
1. All cases of forcible entry and unlawful detainer, irrespective of the amount of
damages or unpaid rentals sought to be recovered. Where attorney's fees are awarded,
the same shall not exceed twenty thousand pesos (P20,000.00).
2. All other cases, except probate proceedings, where the total amount of the plaintiff's
claim does not exceed one hundred thousand pesos (P100,000.00) or, two hundred
thousand pesos (P200,000.00) in Metropolitan Manila, exclusive of interest and costs. "
(A.M. No. 02-11-09-SC, which took effect on November 25, 2002)
B. Criminal Cases:
1. Violations of traffic laws, rules and regulations;
2. Violations of the rental law;
3. Violations of municipal or city ordinances;
4. Violations of Batas Pambansa Bilang 22 (Bouncing Checks Law) (A.M. No. 00-11 01-
SC, which took effect on March 30, 2003)
5. All other criminal cases where the penalty prescribed by law for the offense charged is
imprisonment not exceeding six months, or a fine not exceeding one thousand pesos
(P1,000.00) , or both, irrespective of other imposable penalties, accessory or otherwise,
or of the civil liability arising therefrom: Provided, however, that in offenses involving
damage to property through criminal negligence, this Rule shall govern where the
imposable fine does not exceed ten thousand pesos (P10,000.00).
Barangay Conciliation
All disputes are subject to Barangay conciliation pursuant to the Revised Katarungang
Pambarangay Law [formerly P. D. 1508, repealed and now replaced by Secs. 399-422, Chapter
VII, Title I, Book III, and Sec. 515, Title I, Book IV, R.A. 7160, otherwise known as the Local
Government Code of 1991], and prior recourse thereto is a pre-condition before filing a
complaint in court or any government offices, except in the following disputes:
[1] Where one party is the government, or any subdivision or instrumentality thereof;
[2] Where one party is a public officer or employee and the dispute relates to the
performance of his official functions;
[3] Where the dispute involves real properties located in different cities and
municipalities, unless the parties thereto agree to submit their difference to amicable
settlement by an appropriate Lupon;
[4] Any complaint by or against corporations, partnerships or juridical entities, since
only individuals shall be parties to Barangay conciliation proceedings either as
complainants or respondents [Sec. 1, Rule VI, Katarungang Pambarangay Rules];
[5] Disputes involving parties who actually reside in barangays of different cities or
municipalities, except where such barangay units adjoin each other and the parties
thereto agree to submit their differences to amicable settlement by an appropriate
Lupon;
[6] Offenses for which the law prescribes a maximum penalty of imprisonment
exceeding one [1] year or a fine of over five thousand pesos (P5,000.00) ;
[7] Offenses where there is no private offended party;
[8] Disputes where urgent legal action is necessary to prevent injustice from being
committed or further continued, specifically the following:
[a] Criminal cases where accused is under police custody or detention [See Sec.
412 (b) (1) , Revised Katarungang Pambarangay Law];
[b] Petitions for habeas corpus by a person illegally deprived of his rightful
custody over another or a person illegally deprived of or on acting in his behalf;
[c] Actions coupled with provisional remedies such as preliminary injunction,
attachment, delivery of personal property and support during the pendency of
the action; and
[d] Actions which may be barred by the Statute of Limitations.
[9] Any class of disputes which the President may determine in the interest of justice or
upon the recommendation of the Secretary of Justice;
[10] Where the dispute arises from the Comprehensive Agrarian Reform Law (CARL)
[Secs. 46 & 47, R. A. 6657];
[11] Labor disputes or controversies arising from employer-employee relations [Montoya
vs. Escayo, et al. , 171 SCRA 442; Art. 226, Labor Code, as amended, which grants
original and exclusive jurisdiction over conciliation and mediation of disputes, grievances
or problems to certain offices of the Department of Labor and Employment];
[12] Actions to annul judgment upon a compromise which may be filed directly in court
[See Sanchez vs. Tupaz, 158 SCRA 459].
G. Totality Rule [Note: This is out of place here]
STAGES IN CIVIL PROCEDURE
I. BEFORE FILING 0F THE ACTION
A. Actions in general
1. Cause of action
2. Right of action
B. Parties
1. Parties in general
2. Kinds of parties
3. Requirements
a. legal capacity
b. real party in interest
c. standing to sue
4. Joinder of parties
a. joinder of initial parties
1) compulsory
2) permissive
b. third (fourth, etc.) party
c. special joinder modes
1) class suit
2) intervention
3) interpleader
C. Referral to barangay conciliation
D. Selection of court
1. Kinds of civil actions
a. Ordinary and special
b. Personal, real
c. In personam, in rem, quasi-in rem
d. Local and transitory
2. Hierarchy of courts
3. Jurisdiction
4. Venue
5. Summary procedure
E. Pleadings, motions and notice
1. Pleadings in general
a. Formal requirements
1) Verification
2) Certification of non-forum shopping
b. Manner of making allegations in pleadings
2. Complaint
a. Joinder of causes of action
1) Permissive
2) Compulsory
3. Filing and service of pleadings and other papers
II. FILING OF THE ACTION
A. Commencement of the action
B. Docket fees
C. Raffle of cases
D. Provisional remedies, if necessary
III. COURT ACQUIRES JURISDICTION OVER THE PARTIES
A. Summons
1. Modes of Service of Summons
a. personal service
b. substituted service
c. constructive service (by publication)
d. extraterritorial service
B. Voluntary appearance
IV. INCIDENTS AFTER COURT ACQUIRES JURISDICTION OVER THE PARTIES
A. Plaintiff’s notice and motions
1. notice of dismissal of the complaint under Rule 17, Section 1
2. amended complaint under Rule 10, Section 2
3. motion for leave to file a supplemental complaint under Rule 10, Section 6
4. motion to declare defendant in default under Rule 9, Section 3
B. Defendant’s motions
1. motion to set aside order of default under Rule 9, Section 3
2. motion for extension of time to file responsive pleading under Rule 11, Section 11
3. motion for bill of particulars under Rule 12
4.motion to dismiss complaint under Rule 16
V. JOINDER OF ISSUES
A. Plaintiff’s motions and pleadings
1. Motions
a. To dismiss complaint under Rule 17, Sec. 2
b. To amend or supplement complaint under Rule 17, Secs. 3 and 6
c. For judgment on the pleadings under Rule 34
e. For summary judgment under Rule 35
f. To set pre-trial
2. Pleadings
a. Reply
b. Answer to counterclaim
3. Others
a. Pre-trial brief
B. Defendant’s motion and pleading
1. Motion
a. Motion to dismiss complaint due to fault of plaintiff under Rule 17, Sec. 3
2. Pleading
a. Answer with or without counterclaim
3. Others
a. Pre-trial brief
VI. PRE-TRIAL
A. Plaintiff’s motions
1. To present evidence ex parte and render judgment
B. Defendant’s motion
1. Motion to dismiss
C. Common motions
1. To postpone
2. For consolidation or severance
3 For trial by commissioner
D. Joinder
1. Joinder of claims or causes of action
2. Joinder of parties
VII. DEPOSITIONS AND DISCOVERY
A. Depositions
B. Interrogatories to parties
C. Admission by adverse party
D. Production or inspections of documents or things
E. Physical and mental examination of persons
VIII. TRIAL
A. Amendment to conform to or authorize presentation of evidence under Rule 10, Sec. 5
IX. AFTER TRIAL BUT BEFORE JUDGMENT
A. Common motion
1. To submit memorandum
B. Defendant’s motion
1. For judgment on demurrer to evidence
X. JUDGMENT
XI. AFTER JUDGMENT
A. Common motions
1. For reconsideration
2. For new trial
XII. APPEAL AND REVIEW
A. Before finality
1. Ordinary appeal
2. Petition for review
3. Petition for review on certiorari
B. After finality
1. Petition for certiorari
2. Petition for relief from judgment
3. Petition for annulment of judgment
XIII. EXECUTION AND SATISFACTION OF JUDGMENT
A. In general
1. Kinds of execution
a. Mandatory
b. Discretionary
B. Procedure for execution
1. In case of death of party
2. Of judgments for money
3. Of judgments for specific act
4. Of special judgments
C. Execution sales
1. Sales on execution
2. Conveyance of property sold on execution
3. Redemption of property sold on execution
E. Satisfaction of judgment
XIII. SPECIAL CIVIL ACTIONS
III. Civil Procedure
A. Actions
1. Meaning of ordinary civil actions
Civil action – one by which a party sues another for the enforcement or protection of a right, or
the prevention or redress of a wrong (Rule 1, Sec. 3)
May either be ordinary (Rules 1-56) or special (Rules 62-71) ; both are governed by the rules for
ordinary actions, subject to the specific rules prescribed for special civil actions.
2. Meaning of special civil actions
One by which a party sues another for the enforcement or protection of a right, or the
prevention or redress of a wrong, but subject to specific rules. Examples: interpleader,
declaratory relief, certiorari, prohibition, mandamus, quo warranto, eminent domain, foreclosure
or mortgage, partition, forcible entry, unlawful detainer and contempt.
3. Meaning of criminal actions
One by which the State prosecutes a person for an act or omission punishable by law.
4. Civil actions versus Special proceedings
Special proceedings – a remedy by which a party seeks to establish a status, a right or a
particular fact.
5. Personal actions and real actions[distinction important in determiningvenue]
Kinds of civil action (As to cause or foundation)
a. personal
Seeks the recovery of personal property, enforcement of a contract or the recovery of damages.
Venue: place where defendant or any of defendants resides or may be found, or where plaintiffs
or any of plaintiffs resides, at the election of plaintiff.
Transitory– may be filed in any place or places where parties may reside.
b. real
Seeks the recovery of real property, or an action affecting title to property or for recovery of
possession, or for partition, or condemnation of, or foreclosure of mortgage on real property.
Venue: province or city where property or any part thereof lies.
Local – may be filed in a fixed place, where property or any part thereof lies.
6. Local and transitory actions
Local Action- One which is required by the Rules to be instituted in a particular place in the
absence of an agreement to the contrary. Ex. Real action.
Transitory- One the venue of which is dependent generally upon the residence of the parties
regardless of where the cause of action arose. Ex. Personal action.
7. Actions in rem, in personam and quasi in rem[distinction important inservice of
summons]
Kinds of civil action (As to object)
a. in personam
Action against a person on the basis of his personal liability, or one affecting the parties
alone, not the whole world, and the judgment thereon is binding only against the
parties properly impleaded.
Exs. forcible entry or unlawful detainer, recover ownership of land, recover damages, specific
performance.
b. in rem
Action against the res or thing itself, instead of against the person.
A real action may at the same time be an action in personam and not necessarily an action in
rem.
In rem– to determine title to land, and the object of the suit is to bar indifferently all who might
be minded to make an objection against the right sought to be established. Seeks judgment with
respect thereto against the whole world.
In personam– concerns only the right, title and interest of the parties to the land, not the title of
the land against the whole world.
Exs. probate proceeding, cadastral proceeding, action affecting personal status of plaintiff (Rule
14, Sec. 15) , insolvency proceeding, land registration proceeding (not necessary to give
personal notice to owners or claimants to vest court with jurisdiction - publication of notice
brings in the whole world as a party in the case and vests court with jurisdiction to hear and
decide the case).
Contrast: in personam (a) cases involving auction sale of land for collection of delinquent taxes
are in personam – mere publication of notice not sufficient; (b) action to redeem, recover title to
or possession of real property (not an action against the whole world).
c. quasi in rem
Differs from true action in rem – individual is named as defendant, and purpose of proceeding is
to subject his interest therein to the obligation or lien burdening the property.
Neither strictly in personam nor in rem but it is an action in personam where a res is affected by
the decision.
Exs. partition, accounting under Rule 69 – actions essentially for the purpose of affecting
defendant’s interest in the property and not to render a judgment against him (Valmonte vs. CA,
252 SCRA 92 [1996]).
B. Cause of Action
1. Meaning of cause of action
Cause of action defined- a cause of action is the act or omission by which a party violates a
right of another (Rule 2, Sec. 2).
Elements of cause of action:
1. legal right of plaintiff
2. corresponding obligation of defendant to respect or not to violate such right
3. act or omissionof defendant which violates the legal right of plaintiff constituting a
breach of the obligation of defendant to plaintiff
2. Right of Action versus Cause of action
1. Cause of action
a. reason for bringing an action
b. formal statement of the operative facts that give rise to remedial rights.
c. matter of procedure and is governed by the pleadings filed by the parties
d. not affected by affirmative defenses (fraud, prescription, estoppel, etc.)
2. Right of action
a. remedy for bringing an action
b. the remedial right to litigate because of the operative facts
c. matter of right and depends on substantive law
d. affected by affirmative defenses (fraud, prescription, estoppel, etc.)
3. Failure to state a cause of action
Elements of a Cause of Action
A cause of action exists if the following elements are present:
1) a right in favor of the plaintiff by whatever means and under whatever law it arises
or is created;
2) an obligation on the part of the named defendant to respect or not to violate such
right; and
3) act or omission on the part of such defendant violative of the right of the plaintiff or
constituting a breach of the obligation of the defendant to the plaintiff for which the
latter may maintain an action for recovery of damages. (Parañaque Kings Enterprises,
Inc. vs. Court ofAppeals, G.R. No. 11538; February 16, 1997.)
The fundamentaltest forfailure tostatea cause of action is whether, admitting the veracity of
what appears on the face and within the four corners of thecomplaint, plaintiff is entitled to the
relief prayed for. Stated otherwise, may the court render a valid judgment upon the facts
alleged therein? Indeed, the inquiry is into the SUFFICIENCY, not the veracity of the material
allegations. If the allegations in thecomplaintfurnish sufficient basis on which it can be
maintained, it should not be dismissed regardless of the defenses that may be presented by
defendants. (AC Enterprise vs. Frabelle Properties Corp. , G.R. No. 166744, November 2, 2006,).
4. Test of the sufficiency of a cause of action
How to determine cause of action– by the FACTS ALLEGED in the complaint. Only issue:
ADMITTING such alleged facts to be true, may the court render a VALID JUDGMENT in
accordance with the prayer in the complaint?
In determining whether the complaint states a cause of action, the ANNEXES ATTACHED to the
complaint may be considered, they being part of the complaint.
5. Splitting a single cause of action and its effects
Rule 2, Sec. 4. Splitting a single cause of action; effect of.
If two or more suits are instituted on the basis of the same cause of action, the filing of one or a
judgment upon the merits in any one is available as a ground for the dismissal of the others.
Basic rule in filing of action(Rule 2, Secs. 3-4)
1. For one cause of action (one delict or wrong) , file only ONE ACTION or suit.
Generally, NO SPLITTING A SINGLE CAUSE OF ACTION. Reasons: a. to avoid multiplicity
of suits; b. to minimize expenses, inconvenience and harassment.
2. Remedy against splitting a single cause of action (two complaints separately filed for
one action) - defendant may file:
a. motion to dismiss on the ground of
(1) litis pendentia, if first complaint is still pending (Rule 16, Sec. 1 [e])
(2) res judicata, if first complaint is terminated by final judgment (Rule
16, Sec. 1 [f])
b. answer alleging either of above grounds as affirmative defense (Rule 16, Sec. 6)
If defendant fails to raise ground on time, he is deemed to have WAIVED them. Splitting
must be questioned in the trial court; cannot be raised for the first time on appeal.
Splitting a cause of action prohibited
May a lessee file with MeTC an action for forcible entry and damages against the lessor and a
separate suit with RTC for moral and exemplary damages plus actual and compensatory
damages based on the same forcible entry?
NO. Claims for damages sprung from the main incident being heard before MeTC. Unlawful
taking or detention of property of another is only one single cause of action regardless of
number of rights that may have been violated. All such rights should be alleged in a single
complaint as constituting one single cause of action (Progressive Development Corp. vs. CA, 301
SCRA 637 [1999])
6. Joinder and misjoinder of causes of action
Joinder of causes of actionis the assertion of as many causes of action as a party may have
against an opposing party in one pleading alone. It is not compulsory, but merely permissive.
(Rule 2, Sec. 5)
What are the requisites for joinder of causes of action? (Rule 2, Sec. 5)
1. Compliance with the rule on permissive joinder of parties under Rule 3, Sec. 6.
Must arise out of the same transaction or series of transactions AND there is a common
question of law or fact. Ex. A, owner of a property, can file an ejectment complaint
against B, C and D who are occupying his property without his consent.
2. A party cannot join in an ordinary action any of the special civil actions. – Reason:
special civil actions are governed by special rules. Ex. P500,000 collection cannot be
joined with partition because the latter is a special civil action.
3. Where the causes of action are between the SAME PARTIES but pertain to DIFFERENT
VENUES OR JURISDICTIONS, the joinder may be allowed in the RTC, provided ONE OF
THE CAUSES OF ACTION falls within thejurisdiction of the RTC and the venue lies
therein.
Exception: ejectment case may not be joined with an action within the jurisdiction of
the RTC as the same comes within the exclusive jurisdictionof the MTC.
Unlessthe defendant did not object thereto, answered the complaint, and went to trial
because he is precluded from assailing any judgment against him on the ground
of estoppel or laches (Valderrama vs. CA, 252 SCRA 406 [1996]).
N.B. As to joinder in the MTC, it must have jurisdiction over ALL THE CAUSES OF
ACTION and must have common venue.
4. Where the claims in all the causes of action are principally for recovery of money,
jurisdiction is determined by the AGGREGATE OR TOTAL AMOUNT claimed (totality
rule).
N.B. The totality rule applies only to the MTC – totality of claims cannot exceed the
jurisdictional amount of the MTC.
There is no totality rule for the RTC because its jurisdictional amount is without limit.
Exc. In tax cases where the limit is below P1 million. Amounts of P1 million or more fall
within the jurisdiction of the CTA.
Misjoinder of causes of action not ground for dismissal of an action
A misjoined cause may, on motion of a party or on the initiative of the court,
be severed and proceeded with separately (Rule 2, Sec. 6).
Note: Unlike splitting of a cause of action, a misjoinder is NOT a ground for the dismissal of an
action.
C. Parties to Civil Actions
1. Real Parties in interest; Indispensable parties; Representatives as parties;
Necessary parties; Indigent Parties; Alternative defendants
 Real Parties in interest;
Who are real parties in interest?
A real party in interest is the party who stands to be BENEFITED or INJURED by the judgment in
the suit or the party entitled to the avails of the suit.
Unless authorized by law or the Rules of Court, every action must be prosecuted and defended in
the name of the real party in interest. (Rule 3, Sec. 2).
A real party in interest PLAINTIFF is one who has a LEGAL RIGHT, while a real party in interest
DEFENDANT is one who has a correlative LEGAL OBLIGATION whose act or omission violates the
legal right of the former.
Real interest – a present substantial interest, as distinguished from a mere expectancy, or a
future, contingent, subordinate or consequential interest.
Minors represented by their parents were held as real parties in interest to file an action to annul
timber licenses issued by the state, under the following principles:
a. inter-generational responsibility
b. inter-generational justice
c. right of the people to a balanced and healthful ecology
d. minors represent themselves and the generations to come (Oposa vs. Factoran,
G.R. No. 101083, July 30,1993)
An action must be brought in the name but not necessarily by the real party in interest. In fact,
the practice is for an attorney-in-fact to bring action in the name of the plaintiff.
Standing to sue– one who is directly affected by and whose interest is IMMEDIATE AND
SUBSTANTIAL in the controversy has the standing to sue. In other words, he is a real party in
interest. He has a personal stake in the outcome of the controversy.
In a case involving constitutional issues, “standing” or locus standi means a personal interest
in the case such that the party has sustained or will sustained DIRECT INJURY as a result of the
government act that is being challenged.
Who are allowed to sue under this concept of locus standi? (Kilosbayan, Inc. vs. Morato,
246 SCRA 540 [1995])
1. Taxpayers – where there is a claim of illegal disbursement of public funds.
2. Voters – to question the validity of election laws because of their obvious interest in
the validity of such laws.
3. Concerned citizens – if the constitutional question they raise is of transcendental
importance which must be settled early.
4. Legislators – to question the validity of official action which they claim infringes on
their prerogatives as legislators.
 Indispensable parties;
Indispensable parties (Rule 3, Sec. 7)
An indispensable party is one without whom NO FINAL DETERMINATION can be had of an action.
He shall be joined either as plaintiff or defendant.
His interests in the subject matter of the suit and in the relief sought are so bound up with that
of the other parties that his LEGAL PRESENCE as party to the proceeding is an ABSOLUTE
NECESSITY.
Without the presence of indispensable parties to a suit or proceeding, the judgment of the court
cannot attain real finality (Servicewide Specialists, Inc. vs. CA, 251 SCRA 70 [1997]).
Examples of indispensable parties:
1. Vendors – in an action to annul the sale
2. Lot buyers – in an action for reconveyance of parcels of land which had already been
subdivided
3. Co-owners – in an action for partition
4. Possessor of land – in an action for recovery of possession
Where the obligation of the parties is solidary, either of the parties isindispensable, and the
other is not even a necessary party because complete relief is available from either. (Cerezo vs.
Tuazon, G.R. N0. 141538, March 23, 200
 Representatives as parties;
Representative parties (Rule 3, Sec. 3)
A representative party is one who represents or stands IN THE PLACE OF ANOTHER and who is
allowed to PROSECUTE OR DEFEND an action for the beneficiary.
The beneficiary shall be included in the title of the case and shall be deemed to be the real party
in interest.
Who are the representatives?
1.Trustee of an express trust
2. Guardian
3. Executor or administrator
4. Party authorized by law or the Rules of Court
5. Agent acting in his own name and for the benefit of an undisclosed principal may sue
or be sued without joining the principal except when the contract involves things
belonging to the principal.
 Necessary parties;
Necessary parties (Rule 3, Sec. 8)
A necessary or proper party is one who is not indispensable but who ought to be joined as party
a. if COMPLETE RELIEF is to be accorded as to those already parties, or
b. for a COMPLETE DETERMINATION or SETTLEMENT of the claim subject of the action.
Their presence is necessary to adjudicate the whole controversy but whose interests are so far
SEPARABLE that a final decree can be made in their absence without affecting them.
Non-inclusion of a necessary party does not prevent the court from proceeding in the action and
the judgment is WITHOUT PREJUDICE to the rights of such necessary party.
Examples of necessary parties:
1. Co-debtor – in a joint obligation
2. Subsequent mortgagees or lien holders – in judicial foreclosure of mortgage
3. Possessor (tenant, etc.) – in an action for recovery of ownership of land (the owner is
the indispensable party)
4. Owner – in an action to recover possession of land (the possessor is the indispensable
party)
 Indigent Parties;
Rule 3, Sec. 21. Indigent party. – A party may be authorized to litigate his action, claim or
defense as an indigent if the court, upon an ex parte application and hearing, is satisfied that the
party is one who has no money or property sufficient and available for food, shelter and basic
necessities for himself and his family.
The authority to litigate as an indigent party includesan exemption from the payment of:
1. Transcript of stenographic notes
2. Docket fees and other lawful fees
Note:The amount of the docket and other lawful fees which the indigent was exempted from
paying shall be a LIEN on any judgment rendered in the case favorable to the indigent, unless
otherwise provided (Rule 3, Sec. 21).
The guidelines for determining whether a party qualifies as an indigent litigant are provided for
in Section 19, Rule 141, which reads:
Sec. 19. Indigent litigants exempt from payment of legal fees. – Indigent litigant (a) whose
gross income and that of their immediate family do not exceed an amount doublethe monthly
minimum wage of an employee and (b) who do not own real property with a fair market value as
stated in the current tax declaration of more than three hundredthousand pesos (p300,000.00)
shall be exempt from the payment of legal fees.
 Alternative defendants-
Rule 2, Sec. 13. Alternative defendants.
Where the plaintiff is uncertain against who of several persons he is entitled to relief, he
may join any or all of them as defendants in the alternative, although a right to relief against
one may be inconsistent with a right of relief against the other.
Parties to an action(Rule 3, Sec. 1)
1. Plaintiff - the claiming party, the counter-claimant or the third (fourth, etc.) party
plaintiff.
2. Defendant – the original defending party, the defendant in a counterclaim (plaintiff) ,
the cross-defendant (defendant in a cross-claim) , or the third (fourth, etc.) -party
defendant.
Parties to an action must be natural or juridical persons, possessed of LEGAL PERSONALITY,
otherwise, no suit can be lawfully prosecuted by or against said persons.
A dead person cannot be a plaintiff or defendant in an action, as he possesses NO LEGAL
PERSONALITY to sue or be sued.
In general, who may be party plaintiff or party defendant?
1. Natural persons
a. Must be of legal age and with capacity to sue (Art. 37, Civil Code)
b. Husband and wife shall sue and be sued jointly (Rule 3, Sec. 4)
c. Minor or incompetent – with the assistance of the father, mother, guardian, or if he
has none, a guardian ad litem (Rule 3, Sec. 5)
d. Non-resident
2. Juridical persons
Who are juridical persons? – Art. 44, Civil Code
1) State and its political subdivisions
2) Other corporations, institutions and entities for public interest and purpose, created
by law (government-owned or controlled corporations)
3) Corporations, partnerships and entities for private interest and purpose to which the
law grants a juridical personality.
4) Entities authorized by law (even if they lack juridical personality) – the persons who
organized such entity may be sued under the name by which they are generally or
commonly known (Rule 3, Sec. 15)
Classification of parties
The parties to civil actions are classified as follows:
1. Real parties in interest (Rule 3, Sec. 2)
2. Representative parties (Sec. 3)
3. Indispensable parties (Sec. 7)
4. Necessary parties (Sec. 8)
Lack of legal capacity to sue – plaintiff’s general disability to sue, such as on account of
minority, insanity, incompetence, lack of juridical personality or any other general
disqualifications of a party (Columbia Pictures, Inc. vs. CA, 261 SCRA 144 [1996])
Plaintiff’s lack of legal capacity to sue is a ground for motion to dismiss (Rule 16, Sec. 1[d]).
Ex. A foreign corporation doing business without a license lacks legal capacity to sue.
Note: A sole proprietorship is not vested with juridical personality and cannot sue or file or
defend an action. There is no law authorizing sole proprietorship to file a suit. A sole
proprietorship does not possess a judicial personality separate and distinct from the personality
of the owner of the enterprise.(Berman Memorial Park, Inc. vs. Francisco Cheng, G.R. No.
154630, May 6, 2005)
As such, the proper caption should have been "Gerino Tactaquin doing business under the name
and style of G.V.T. Engineering Services", as is usually done in cases filed involving sole
proprietorships. (Tanvs. G.V.T. Engineering Services, Acting through its Owner/ Manager Gerino
V. Tactaquin,G.R. No. 153057 August 7, 2006)
Lack of personality to sue– the fact that plaintiff is not the real party in interest.
2. Compulsory and permissive joinder of parties
Rule 3, Sec. 6. Permissive joinder of parties.
All persons in whom or against whom any right to relief in respect to or arising out of the SAME
TRANSACTION or series of transactions is alleged to exist, whether jointly, severally, or in the
alternative, may, except as otherwise provided in these Rules, join as plaintiffs or be joined as
defendants in one complaint, where any QUESTION OF LAW OR FACT COMMON to all such
plaintiffs or to all such defendants may arise in the action; but the court may make such orders
as may be just to prevent any plaintiff or defendant from being embarrassed or put to expense
in connection with any proceedings in which he may have no interest.
Rule 3, Sec. 7. Compulsory joinder of indispensable parties.
Parties in interest without whom NO FINAL DETERMINATION can be had of an action shall be
joined either as plaintiffs or defendants.
3. Misjoinder and non-joinder of parties
Rule 3, Sec. 9. Non-joinder of necessary parties to be pleaded.
Whenever in any pleading in which a claim is asserted a necessary party is not joined, the
pleader shall set forth his name, if known, and shall state why he is omitted. Should the court
find the reason for the omission unmeritorious, it may order the inclusion of the omitted
necessary party if jurisdiction over his person may be obtained.
The failure to comply with the order for his inclusion, without justifiable cause, shall be deemed
a WAIVER of the claim against such party.
The non-inclusion of a necessary party does not prevent the court from proceeding in the action,
and the judgment rendered therein shall be WITHOUT PREJUDICE to the rights of such
necessary party.
JOINDER OF PARTIES
Compulsory joinder of parties
What is the effect of failure to include indispensable parties?
The failure to include indispensable parties results in DISMISSAL of the action. Parties in interest
without whom there can be no final determination of an action SHALL be joined either as
plaintiffs or defendants (Rule 3, Sec. 7).
Absence of indispensable parties renders all subsequent actions of the court NULL AND VOID. It
results in lack of authority to act not only as to the party absent but also as those present
(Domingo vs. Scheer, 421 SCRA 468 [2004]).
Is failure to implead an indispensable party a ground for automatic dismissal of the
action?
NO. Neither misjoinder or non-joinder of parties is ground for dismissal of an action. Parties may
be dropped or added by order of the court on motion of any party on its own initiative at any
stage of the action and on such terms as are just. Any claim against a misjoined party may be
severed and proceeded with separately (Rule 3, Sec. 11).
Procedure for dismissal if indispensable party is not impleaded
a. The responsibility of impleading all the indispensable parties rests on the plaintiff. To
avoid dismissal, the remedy is to implead the non-party claimed to be indispensable.
b. If plaintiff REFUSES to implead an indispensable party despite the order of the court,
the complaint may be dismissed upon motion of defendant or upon the court’s own
motion.
c. Only upon unjustified failure or refusal to obey the order to include is the action
dismissed (Domingo vs. Scheer, supra).
Permissive joinder of parties(Rule 3, Sec. 6)
Persons may join as plaintiffs or may be joined as defendants when there is:
1. Right to relief by or against said persons in respect to or arising out of the SAME
TRANSACTION or series of transactions (connected with the same subject matter of the suit) and
2. Question of law or fact COMMON to all such plaintiffs or to all such defendants in the action.
 Ex. In a damage suit by heirs of airline passengers who perished in a plane crash, all the heirs
of the dead passengers may join as plaintiffs against the airline company. There is here a
common question of fact and of law, although each has a SEPARATE, DISTINCT and DIFFERENT
CLAIM as to amount from the others.
 They cannot file a class suit, where there is only ONE RIGHT OR CAUSE OF ACTION
pertaining or belonging in common to many persons, not separately or severally to distinguish
the individual.
What are the effects of non-inclusion of a necessary party?(Rule 3, Sec, 9)
The failure to comply with the order for his inclusion, without justifiable cause, shall be deemed
a WAIVER of the claim against such party.
Said non-inclusion does not
a. prevent the court from proceeding in the action, and
b. the judgment rendered therein shall be
c. WITHOUT PREJUDICE to the rights of such necessary party
Third party complaint (Rule 6, Sec. 11)
A third party complaint is a claim that a defending party may, with leave of court, file against a
person NOT A PARTY to the action, called the third (fourth, etc.) - party defendant for
a. contribution
b. indemnity
c. subrogation or
d. any other relief
in respect of his opponent’s claim.
> A third party complaint is an action actually independent of, and separate and
distinct from plaintiff’s complaint. Were it not for the Rules of Court, it would be
necessary to file the action separately from the original complaint by the defendant
against the third party (Associated Bank. vs. CA, 233 SCRA 137 [1994])
> A third party plaintiff may assert a cause of action against the third party defendant
on a THEORY DIFFERENT from that asserted by the plaintiff against the defendant. Ex. a
defendant in a contract may join as third party defendant those liable to him in tort for
the plaintiff’s claim against him or directly to the plaintiff (Samala vs. Victor, 170 SCRA
453 [1989]).
Special joinder modes - Parties may also be joined in an action through three special joinder
modes:
a. class suits
b. intervention
c. interpleader
Class suits and interpleader – parties are joined at the inception of the suit. Involuntary because
parties joined may or may not know that they are being joined.
Intervention – party is joined after the suit has been filed. Voluntary because a party asks for
leave of court to be allowed to intervene.
Intervention (Rule 19, Sec. 1)
An act or proceeding by which a THIRD PERSON is permitted to become a party to an action or
proceeding between other persons, and which results merely in the addition of a new party or
parties to an original action.
Purpose: to hear and determine at the same time all conflicting claims which may be made to
the subject matter in litigation.
Nature: It is not an independent proceeding, but merely an ancillary and supplemental one,
which must be subordinate to the main proceedings. An intervenor is limited to the field of
proceeding open to the main parties.
Interpleader (Rule 62, Sec. 1)
A remedy asking that the persons who claim the personal property or who consider themselves
entitled to demand compliance with the obligation be required to LITIGATE AMONG THEMSELVES
in order to determine finally who is entitled to one or the other.
Indispensable element: conflicting claims upon the same subject matter are or may be made
against the plaintiff-interpleader who CLAIMS NO INTEREST in the subject matter or an interest
which in whole or in part is NOT DISPUTED by the claimants.
4. Class Suit
Class suit (Rule 3, Sec. 12)
An action filed or defended by one or more parties for the benefit of parties who are so
numerous that it is impracticable to bring them all before the court, involving a matter which is
of common or general interest to such numerous persons.
There should be only ONE RIGHT OR CAUSE OF ACTION pertaining or belonging in common to
many persons, not separately or severally to distinguish the individuals.
Ex. Derivate suit brought in behalf of numerous stockholders of a corporation to perpetually
enjoin or nullify a breach of trust or ultra act of the company’s board of directors. There is only a
single right of action pertaining to numerous stockholders, not multiple rights belonging
separately to several distinct persons.
5. Suits against entities without juridical personality
Rule 3, Sec. 15. Entity without juridical personality as defendant.
When two or more persons not organized as an entity with juridical personality enter into a
transaction, they may be sued under the name by which they aregenerally or commonlyknown.
In the answer of such defendant, the names and addresses of the persons composing said entity
must all be revealed.
6. Effect of death of party litigant
Rule 3, Sec. 16. Death of party; duty of counsel.
Whenever a party to a pending action dies, and the claim is not thereby extinguished, it shall be
the duty of his counsel to inform the court within thirty (30) days after such death of the fact
thereof, and to give the name and address of his legal representative or representatives. Failure
of counsel to comply with this duty shall be a ground for disciplinary action.
The heirs of the deceased may be allowed to be substituted for the deceased, without requiring
the appointment of an executor or administrator and the court may appoint a guardian ad litem
for the minor heirs.
The court shall forthwith order said legal representative or representatives to appear and be
substituted within a period of thirty (30) days from notice.
If no legal representative is named by the counsel for the deceased party, or if the one so
named shall fail to appear within the specified period, the court may order the opposing party,
within a specified time, to procure the appointment of an executor or administrator for the
estate of the deceased and the latter shall immediately appear for and on behalf of the
deceased. The court charges in procuring such appointment, if defrayed by the opposing party,
may be recovered as costs.
Rule 3, Sec. 17. Death or separation of a party who is a public officer. When a public officer is a
party in an action in his official capacity and during its pendency dies, resigns, or otherwise
ceases to hold office, the action may becontinued and maintained by or against his successor if,
within thirty (30) days after the successor takes office or such time as may be granted by the
court, it is satisfactorily shown to the court by any party that there is asubstantial need for
continuing or maintaining it and that the successor adopts or continues or threatens to adopt or
continue the action of his predecessor. Before a substitution is made, the party or officer to be
affected, unless expressly assenting thereto, shall be given reasonable notice of the application
therefor and accorded an opportunity to be heard.
Rule 3, Sec. 20. Action on contractual money claims. — When the action is for recovery
of money arising from contract, express or implied, and thedefendant dies before the entry of
final judgment in the court in which the action was pending at the time of such death, it shall not
be dismissed but shall instead be allowed to continue until the entry of final judgment. A
favorable judgment obtained by the plaintiff therein shall be enforced in the manner especially
provided in these Rules for prosecuting claims against the estate of a deceased person.
The last sentence above refers to Rule 86 (Claims Against Estate). Sec. 5 thereof refers to
- Claims which must be filed under the notice. If not filed, barred.
Death of a party and duty of counsel to inform court
1. Construed together, Secs. 16 and 20 of the Rules of Court mean that ONLY PURELY
PERSONAL ACTIONS, i.e. , legal separation involving nothing more than bed-and –board
separation of the spouses, action for support, and the right of the offended party to
institute criminal action DO NOT SURVIVE the death of the accused.
Such cases will be DISMISSED and the deceased CANNOT BE SUBSTITUTED by his legal
representative.
2. ALL OTHER ACTIONS SURVIVE the death of a party litigant.
In all such cases, substitution by the legal representative is proper.
Examples of claims NOT extinguished by death:
a. Recovery of real and personal property against the estate, such as ejectment case
b. Enforcement of liens on such properties;
c. Recovery for an injury to person or property by reason of tort committed by the
deceased.
d. Actions for the recovery of money, arising from a contract, express or implied (Rule
3, Sec. 20)
What is the effect of failure by counsel to inform the court of death of a party on the
judgment against the party and writ of execution against his sole heir?
It will render the judgment and writ of execution VOID for lack of jurisdiction and lack of due
process. If counsel had notified the court of the party’s death, the court would have ordered the
substitution of the deceased by the sole heir (Rule 3, Sec. 16). The court acquired no jurisdiction
over the sole heir upon whom the trial and the judgment are not binding (Lawas vs. CA, 146
SCRA 173).
What is the effect of non-substitution of a deceased party?
Non-compliance with the rule on substitution would render the proceedings and judgment of the
trial court infirm because the court acquires no jurisdiction over the persons of the legal
representatives or of the heirs on whom the trial and the judgment would be binding.
Thus, proper substitution of heirs must be effected for the trial court to acquire jurisdiction over
their persons and to obviate any future claim by any heir that he was not apprised of the
litigation against Bertuldo or that he did not authorize Atty. Petalcorin to represent him.
No formal substitution of the parties was effected within thirty days from date of death of
Bertuldo, as required by Section 16, Rule 3 of the Rules of Court. Needless to stress, the
purpose behind the rule on substitution is the protection of the right of every party to due
process. It is to ensure that the deceased party would continue to be properly represented in the
suit through the duly appointed legal representative of his estate. (Hinog vs. Melicor, 455 SCRA
460 [2005])
The Rules require the legal representatives of a dead litigant to be substituted as
parties to a litigation. This requirement is necessitated by due process. Thus, when the
rights of the legal representatives of a decedent are actually recognized and protected,
noncompliance or belated formal compliance with the Rules cannot affect the validity of the
promulgated decision. After all, due process had thereby been satisfied. When a party to a
pending action dies and the claim is not extinguished, the Rules of Court require a substitution of
the deceased. The procedure is specifically governed by Section 16 of Rule 3. (Dela Cruz vs.
Joaquin, G.R. No. 162788, July 28, 2005).
Failure of counsel to comply with his duty under Section 16 to inform the court of the
death of his client and no substitution of such party is effected, will not invalidate the
proceedings and the judgment thereon if the action survives the death of such
party. Moreover, the decision rendered shall bind his successor-in-interest. The instant action
for unlawful detainer, like any action for recovery of real property, is a real action and as such
survives the death of Faustino Acosta. His heirs have taken his place and now represent his
interests in the instant petition. (Limbauan vs. Acosta, G.R. No. 148606, June 30, 2008)
While it is true that a decision in an action for ejectment is enforceable not only against the
defendant himself but also against members of his family, his relatives, and his privies who
derived their right of possession from the defendant and his successors-in-interest, it had been
established that petitioner (defendant’s wife) had, by her own acts, submitted to the jurisdiction
of the trial court. She is now estopped to deny that she had been heard in defense of her
deceased husband in the proceedings therein. (Vda. De Salazar v. CA, G.R. No. 121510,
November 23, 1995)
D. Venue
Venue defined - the place where the action is triable, whether real or personal. Relates to
place of trial. Touches more of convenience of the parties rather than the substance of the case.
Procedural and not substantive.
1. Venue versus Jurisdiction
1. Venue – locality or place where the suit may be had. Relates to jurisdiction over the
person rather than subject matter. Provisions relating to venue establish a relation
between plaintiff and defendant.
2. Jurisdiction – power of the court to decide the case on the merits.
Provisions on jurisdiction establish a relation between the court and the subject matter.
A court cannot motu proprio dismiss a complaint on the ground of improper venue since
improper venue may be WAIVED for failure to object to it (Decoycoy vs. IAC, 195 SCRA 641
[1991]).
2. Venue of real actions (Rule 4, Sec. 1)
Court which has jurisdiction over area where property or any part thereof is located.
Real actions– actions affecting title to property, or where plaintiff seeks recovery of real
property, or one affecting title to real property.
Examples:
a. recovery of possession
b. partition or condemnation
c. foreclosure of mortgage
d. annulment or rescission of sale of real property (actually for recovery)
Forcible entry and detainer are real actions, regardless of amount of damages involved. N.B. But
venue may be changed and transferred to another place by agreement of the parties, and such
agreement is valid and enforceable (Villanueva vs. Mosqueda, 115 SCRA 904 [1982]).
3. Venue of personal actions (Rule 4, Sec. 2)
Where plaintiff or any of principal plaintiffs reside, or where defendant or any of the principal
defendants resides, or in the case of a non-resident defendant, where he may be found, at the
election of the plaintiff.
Meaning of residence – ACTUAL RESIDENCE or place of abode, which may not necessarily be his
legal residence or domicile, provided he resides therein with continuity and consistency. Must be
more than temporary.
Personal action– where plaintiff seeks the recovery of personal property, enforcement of contract
or recovery of damages.
4. Venue of actions against non-residents
What is the venue of actions against nonresident defendant who is not found in the
Philippines? (Rule 4, Sec. 3)
1. If action affects PERSONAL STATUS of plaintiff, such as a legal personal relationship
which is not temporary nor terminable at the mere will of the parties (annulment of
marriage, recognition of a natural child) – venue is the court of place where PLANTIFF
RESIDES.
While the court acquires jurisdiction over person of defendant, it does not preclude the
court from rendering valid judgment over the issue regarding the personal status of
plaintiff in relation to defendant.
This is an action quasi in rem.
2. If action affects any PROPERTY of defendant located in the Philippines – venue is the
court in the area where PROPERTY or portion thereof is SITUATED.
While court acquires no jurisdiction over person of defendant, valid judgment may be
rendered against the property which is the one impleaded and is the subject of judicial
power (ex. where plaintiff is already in possession of a lien sought to be enforced or by
attachment of the property).
This is an action in rem.
5. When the Rules on Venue Do not Apply
1. Where a specific rule or law provides otherwise.
Example: An offended party who is at the same time a public official can only institute an action
for damages arising from libel in two venues: (a) the place where he holds office (if private
individual, where he resided at the time of the commission of the offense) and (b) the place
where the alleged libelous articles were printed and first published. N.B. applies also to
thecriminal case.
a. Unless and until the defendant OBJECTS to venue in a motion to dismiss prior to a
responsive pleading, venue cannot truly be said to have been improperly laid.
b. A motion to dismiss belatedly filed could no longer deprive the trial court of
jurisdiction to hear and decide the civil action for damages.Improper venue may be
waived and such waiver may occur by laches.
c. Objections to venue in such actions may be waived as it does not relate to jurisdiction
over the subject matter but rather over the person. Laying of venue is PROCEDURAL
and not substantive (Diaz vs. Adiong, 219 SCRA 631 (1993)
d. A court cannot motu proprio dismiss a complaint on the ground of improper venue
since improper venue may be WAIVED for failure to object to it (Dacoycoy vs. IAC, 195
SCRA 641 [1991]).
NOTE: 1) Under Sec. 1 of Rule 16, objections to improper venue must be made in a motion to
dismiss before responsive pleading is filed. [Responsive pleading is one that seeks affirmative
relief and sets up defenses].
2) Improper venue (Sec. 1 (c) - that venue is improperly laid) may now be raised as an
AFFIRMATIVE DEFENSE in the answer if no motion to dismiss has been filed (Rule 16, Sec. 6).
3) Under the old rule, when improper venue is not objected to in a motion to dismiss, it is
deemed WAIVED. This provision has been deleted in the new rule.
6. Effects of Stipulations on Venue
Where parties have validly agreed in writing before filing of the action on exclusive
venue thereof.
Provision that “We hereby expressly submit to the jurisdiction of the courts of Valenzuela any
legal action which may arise out of this promissory note” is PERMISSIVE stipulation only. It
does not require the laying of venue in Valenzuela exclusively or mandatorily. No qualifying or
restrictive words like “must”, “only” or “exclusively”. Hence no intent by parties to restrict the
venue of actions arising out of the promissory notes to the courts of Valenzuela only ( Phil.
Banking Corp. vs. Tensuan, 228 SCRA 385 (1993
TO SUMMARIZE:
Waiver of improper venue may be made through:
1. express waiver – through written agreement.
2. implied waiver – through failure to seasonably object to improper venue in a motion
to dismiss or answer
Improper venue may be questioned through:
1. motion to dismiss (Rule 16, Sec. 1[c])
- if denied, file with the higher court a petition for prohibition with prayer for TRO and
preliminary injunction, as lower court has no power to enforce its orders in said case,
the same being outside the territorial jurisdiction of the judge before whom it was filed.
2. affirmative defense in answer (Rule 16, Sec. 6).
E. Pleadings
1. Kinds of Pleadings
What is a pleading?
Written statements of the respective CLAIMS and DEFENSES of the parties submitted to the
court for appropriate judgment.
Pleadings allowed under the Rules of Court
a. Complaint
b. Answer
c. Counterclaim
d. Cross-claim
e. Reply
f. Third party (fourth party, etc.) complaint (Rule 2, Sec. 6)
g. Complaint in intervention, answer in intervention (Rule 19. Sec. 3)
a. Complaint
Rule 6, Sec. 3. Complaint.
The complaint is the pleading alleging the plaintiff's cause or causes of action. The names and
residences of the plaintiff and defendant must be stated in the complaint.
b. Answer
1. What is an answer?
An answer is a pleading in which a defending party sets forth his defenses(Rule 6, Sec. 4).
It may be an answer to the complaint, third party (fourth party, etc.) complaint, counterclaim,
or cross-claim.
Time to Plead
a. Answer to Complaint and Third-Party (Fourth-Party, etc.) Complaint – fifteen (15)
days after service of summons, unless a different period is fixed by the court (Rule 11,
Sec. 1)
However, under Rule 16, Section 4, if a motion to dismiss is denied, the movant shall file
his answer within the balance of the period provided by Rule 11 to which he was entitled
at the time of serving his motion, but not less than five (5) days in any event, computed
from his receipt of the notice of the denial..
b. Answer of a defendant foreign private juridical entity
(1) when summons is served upon a resident agent – fifteen (15) days after
service of summons;
(2) when summons is served on the government official designated to receive
the same – thirty (30) days from receipt by the latter of the summons.
c. Answer to Amended Complaint, Amended Counterclaim, Amended Cross-Claim and
Amended Third-Party (Fourth-Party, etc.)
Complaint:
(1) amended complaint was filed as a matter of right (Rule 10, Section 2) –
fifteen (15) days after being served with a copy thereof; and
(2) amended complaint was filed with leave of court (Rule 10, Section 3) –
ten (10) days from notice of order admitting the amended complaint.
Strict Observance of the Period
While the rules are liberally construed, the provisions on reglementary periods are strictly
applied for they are deemed indispensable to the prevention of needless delays and necessary to
the orderly and speedy discharge of judicial business.
Strict compliance with said periods is mandatory and imperative.
(1) Negative defenses
SPECIFIC DENIAL of the material fact or facts alleged in the pleading or the claimant essential
to his cause of action. (Rule 6, Section 5)
(2) Negative pregnant
A negative pregnant is a form of negative expression which carries with it in affirmation or at
least an implication of some kind favorable to the adverse party. It is a denial pregnant with an
admission of the substantial facts alleged in the pleading. Where a fact is alleged with qualifying
or modifying language and the words of the allegation as so qualified or modified are literally
denied, it has been held that the qualifying circumstances alone are denied while the fact itself is
admitted. (Guevarra vs. Eala, A.C. No. 7136, August 1, 2007)
A negative pregnant(sometimes called a pregnant denial) refers to a denial which implies its
affirmative opposite by seeming to deny only a qualification of the allegation and not the
allegation itself. For example, "I have never consumed shabu while on duty" might imply that
the person making the statement had consumed shabu on other occasions, and was only
denying that he had done so while on duty.
(3) Affirmative Defenses
Allegation of a NEW MATTER which, while hypothetically admitting the material allegations in the
pleading of the claimant, would nevertheless PREVENT OR BAR RECOVERY by him.
The affirmative defenses include fraud, statute of limitations, release, payment, illegality, statute
of frauds, estoppel, former recovery, discharge in bankruptcy, and any other matter by way of
confession and avoidance. (Rule 6, Sec. 5).
Note that some of these grounds are also grounds for motion to dismiss.
What are the two kinds of defenses that may be set forth in the answer?
1. Affirmative defenses – allegation of a new matter which while hypothetically
admitting the material allegations in the pleading would nevertheless prevent or bar
recovery by the claiming party. It is in the nature of confession and avoidance
2. Negative defenses – specific denial of the material facts or facts alleged in the
pleading essential to establish the plaintiff’s cause of action (Rule 6, Sec. 5) .
c. Counterclaims
A counterclaim is any claim which a DEFENDING PARTY may have against an opposing party.
(Rule 6, Sec. 6)
(1) Compulsory counterclaim
What is a compulsory counterclaim?
(1) One which, being cognizable by the regular courts of justice,
(2) ARISES OUT OF or is CONNECTED WITH the transaction or occurrence constituting
the subject matter of the opposing party’s claim and
(3) does not require for its adjudication the presence of third parties of whom the court
cannot acquire jurisdiction.
(4) Such a counterclaim must be within the jurisdiction of the court both as to the
amount and the nature thereof,
(5) except that in an original action before the Regional Trial Court, the counterclaim
may be considered compulsory regardless of the amount(Rule 6, Sec. 7) , meaning its
amount need not be under RTC jurisdiction.
Examples: (1) damages claimed to have been suffered as a consequence of the
action; (2) a claim for attorney’s fees; (3) in a possessory action, the
defendant’s claim of ownership
(2) Permissive counterclaim
What is a permissive counterclaim?
a. One which is not barred even if not set up and which has NO LOGICAL RELATION with
the transaction or occurrence that is the subject matter of the opposing party’s claim, or
b. even when there is such a connection, the court has no jurisdiction to entertain the
claim or it requires for its adjudication the presence of third persons of whom the court
cannot acquire jurisdiction (National Marketing Corp. vs. Federation of United
Namarco Distributors, Inc. , 49 SCRA 248 [1973]).
What is the difference between permissive and compulsory counterclaims?
a. In a permissive counterclaim, the docket and other lawful fees should be paid and
the same should be accompanied by a certificate against forum shopping and certificate
to file action issued by the properLupon Tagapamayapa. It should also be answered by
the claiming party. It is NOT BARRED even if not set up in the action.
b. In a compulsory counterclaim, no docket fee is paid and the certificates mentioned
above are not required. If it is not raised in the answer, it shall be BARRED. (Rule 9,
Sed. 2)
Ex. A filed a suit for collection of P350,000 against B in the RTC. Aside from alleging
payment as a defense, B in his answer, set up counterclaims for P120,000 as damages
and P25,000 as attorney’s fees as a result of the baseless filing of the complainant, as
well as for P230,000 as the balance of the purchase price of the 28 units of refrigerators
he sold to A.
The counterclaim for reimbursement of the value of the improvements is in the nature of a
compulsory counterclaim. Thus, the failure by private respondents to set it up bars their right to
raise it in a subsequent litigation.The rule on compulsory counterclaim is designed to achieve
resolution of the whole controversy at one time and in one action to avoid multiplicity of suits
(Baclayon vs. Court of Appeals, G.R. No. 89132, February 26, 1990)
N.B. : (1) A compulsory counterclaim that merely reiterates special defenses which are deemed
controverted even without a reply, or raises issues which are deemed automatically joined by
the allegations of the complaint need not be answered. However, a compulsory counterclaim
which raises issues not covered by the complaint should be answered.
(2) If the defendant has a compulsory counterclaim, he should not file a motion to dismiss but
an answer with a counterclaim, with the ground for the motion to dismiss being asserted as an
affirmative defense pursuant to Rule 16, Sec. 6. The compulsory counterclaim is deemed waived
when defendant filed a motion to dismiss the complaint instead of answering the same(Financial
Building Corp. vs. Forbes Park Association, Inc. , G.R. No. 133119, August. 17, 2000).
(3) If the counterclaim is based on an ACTIONABLE DOCUMENT attached to or copied in the
counterclaim, the genuineness and due execution of the instrument shall be DEEMED ADMITTED
unless the adverse party specifically DENIES UNDER OATH its genuineness and due execution
(Rule 8, Sec. 8)
(4) In an action before the first level court (MTC, MeTC, MTCC, MCTC) the amounts demanded in
the counterclaim, cross-claim, third party complaint must fall WITHIN THE JURISDICTION of said
court, which should not exceed P300,000.00 (outside Metro Manila) and P400,000.00 (within
Metro Manila) ,
Where jurisdictional amount for counterclaim does not apply. In an original action before
the RTC, the counterclaim may be considered COMPULSORY regardless of amount (Rule 6, Sec.
7, 2nd sentence). This means that even a counterclaim not exceeding P300,000 or P400,000 may
be filed in the RTC.
(3) Effect on the Counterclaim when the complaint is dismissed
1. If no motion to dismiss has been filed, any of the grounds for dismissal under Rule
16 may be pleaded as an affirmative defense in the answer, and in the discretion of the
court, a preliminary hearing may be had thereon as if a motion to dismiss has been filed
The dismissal is without prejudice to the right of the defendant to prosecute his
counterclaim in thesame or separate action (Rule 16, Sec. 6).
2. When the plaintiff himself files a motion to dismiss his complaint after the defendant
has pleaded his answer with a counterclaim. If the court grants the motion, the
dismissal shall be limited to the complaint. It shall be without prejudice to the right of
the defendant to prosecute his counterclaim in a separateactionunless within 15 days
from notice of the motion, manifests his preference to have his counterclaim resolved in
thesameaction(Rule 17, Sec. 2).
3. When the complaint is dismissed through the fault of the plaintiff and at a time when
a counterclaim has already been set up, the dismissal is without prejudice to the right of
the defendant to prosecute his counterclaim in the same or separate action(Rule 17,
Sec. 3)
d. Cross-claims
What is a cross-claim?
a. Any claim by any party against a co-party
b. arising out of the transaction or occurrence
c. that is the subject matter of either the original action or of a counterclaim therein.
 Such cross-claim may include a claim that the party against whom it is asserted is or may be
liable to the cross-claimant for all or part or a claim asserted in the action against the cross-
claimant (Rule 6, Sec. 8).
 A cross-claim is allowed to be interposed by a party against a co-party to enable the former to
RECOVER from the latter whatever he might be made liable to pay the plaintiff.
 The dismissal of the complaint carries with it the dismissal of the cross-claim which is purely
defensive, but NOT a cross-claim seeking affirmative relief (Torres vs. CA, 49 SCRA 67 [1973]).
Distinguish a cross-claim from a counterclaim.
a. A cross-claim is a claim against a co-party while a counterclaim is a claim against an
opposing party.
b. A cross-claim requires that filing fee be paid and that there be certification against
forum shopping while only permissive counterclaim requires the same.
c. A cross-claim must be answered, otherwise there might be default while a compulsory
counterclaim need not be answered.
e. Third (fourth, etc.) party complaints
Rule 6, Sec. 11. Third, (fourth, etc.) -party complaint.
A third (fourth, etc.) -party complaint is a claim that a defending party may, with leave of court,
file against a person not a party to the action, called the third (fourth, etc.) -party defendant, for
contribution, indemnity, subrogation or any other relief, in respect of his opponent's claim.
Tests to determine whether the third-party complaint is in respect of plaintiff’s claim:
1. Whether it arises out of the same transaction on which the plaintiff’s claim is based,
or, although arising out of another or different transaction, is connected with the
plaintiff’s claim;
2. Whether the third-party defendant would be liable to the plaintiff or to the defendant
for all or part of the plaintiff’s claim against the original defendant; and
3. Whether the third-party defendant may assert any defenses which the third-party
plaintiff has or may have to the plaintiff’s claim. (Capayas v CFI of Albay, 77 Phil 181).
Note: Leave of court is necessary-- In third (fourth, etc.) –party complaint is necessary in order
to obviate delay in the resolution of the complaint, such as when the third-party defendant
cannot be located, or when unnecessary issues may be introduced, or when a new and separate
controversy is introduced.
Where the trial court has jurisdiction over the main case, it also has jurisdiction over the third
party complaint, regardless of the amount involved as a third-party complaint is merely auxiliary
to and is a continuation of the main action. (Republic v. Central Surety & Insurance Co. , G.R.
No. L-27802, Oct. 26, 1968)
f. Complaint-in-intervention
INTERVENTION - a legal proceeding by which a person who is not a party to the action
is permitted by the court to become a party by intervening in a pending action after meeting
the conditions and requirements of the Rules of Court.
If the purpose of the motion for intervention is to assert a claim against either or all of the
original parties, the pleading shall be called a COMPLAINT-IN-INTERVENTION
The intervenor shall file a complaint-in-intervention if he asserts a claim against either or all
of the original parties, or an answer-in-intervention if he unites with the defending party in
resisting a claim against the latter. (Rule 19, Sec. 3)
The answer to the complaint-in-intervention shall be filed within fifteen (15) days from
notice of the order admitting the same, unless a different period is fixed by the court. (Rule 19,
Sec. 4)
g. Reply
Rule 6, Sec. 10. Reply.
A reply is a pleading, the office or function of which is to deny, or allege facts in denial or
avoidance of new matters alleged by way of defense in the answer and thereby join or make
issue as to such new matters. If a party does not file such reply, ALL the new matters alleged in
the answer are deemed controverted.
If the plaintiff wishes to interpose any claims arising out of the new matters so alleged, such
claims shall be set forth in an amended or supplemental complaint.
N.B. The filing of a reply is not necessary, because even if a party does not file a reply, all the
new matters that were alleged in the answer are deemed controverted. (Rule 6, Sec. 10)
Exceptions:
1. Where the answer alleges the defense of usury, in which case a reply under oath
should be made, otherwise, the allegation of usurious interest shall be deemed
admitted. (Rule 8, Sec. 11)
2. Where the defense in the answer is based on an actionable document, a reply under
oath must be made, otherwise, the genuineness and due execution of the document
shall be deemed admitted (Rule 8, Sec. 8)
(Veluz vs. Court of Appeals, G.R. No. 139951, November 23, 2000)
2. Pleadings allowed in small claims cases and cases covered by the rule on summary
procedure
Small Claims-
a. Pleadings allowed
1. Statement of Claims (complaint)
2. Response (answer) - Secs 5 and 11, Rule of Procedure for Small Claims Cases
3. Permissive counterclaim - The defendant may also elect to file a counterclaim against the plaintiff
that does not arise out of the same transaction or occurrence, provided that the amount and
nature thereof are within the coverage of this Rule and the prescribed docket and other legal fees
are paid. (Sec. 13, RPSCC)
b. Prohibited pleadings, motions and petitions
1. Motion to dismiss
2. Motion for a bill of particulars.
3. Motion for new trial, or for reconsideration of a judgment, or for reopening of trial.
4. Petition for relief from judgment.
5. Motion for extension of time to file pleadings, affidavits, or any other paper.
6. Memoranda.
7. Petition for certiorari, mandamus, or prohibition against any interlocutory order issued
by the court.
8. Motion to declare the defendant in default.
9. Dilatory motions for postponement.
10. Reply.
11. Third-party complaints.
12. Interventions (Sec. 14, RPSCC).
Summary Procedure
a. Pleadings allowed.
1. Complaint
2. Compulsory counterclaim
3. Cross-claims pleaded in the answer
4. Answer to these pleadings (Sec. 3, Rule on Summary Procedure)
b. Prohibited pleadings, motions and petitions
Same as in Small Claims Cases, except that motion to dismiss is allowedon the ground of
- lack of jurisdiction over the subject matter, or
- failure to comply with barangay conciliation (Sec. 19, RSP).
3. Parts of a pleading
a. Caption
The Caption contains the following:
1. Name of the court
2. Title of the action
3. Docket number, if assigned (Rule 7, Sec. 1)
The Body sets forth:
1. Designation
2. Allegations of the party’s claims and defenses
3. Relief prayed for (may add a general prayer for such further or other relief as may be
deemed just and equitable)
4. Date of the pleading(Rule 7, Sec. 2)
b. Signature and address
Rule,7 Sec. 3. Signature and address.
Every pleading must be signed by the party or counsel representing him, stating in either case
his address which should not be a post office box.
The signature of counsel constitutes a CERTIFICATE by him that
(a) he has read the pleading;
(b) to the best of his knowledge, information, and belief there is good ground to
support it; and
(c) it is not interposed for delay.
An unsigned pleading produces NO LEGAL EFFECT. However, the court may, in its discretion,
allow such deficiency to be remedied if it shall appear that the same was due to
mere inadvertence and not intended for delay.
Counsel who (a) deliberately files an unsigned pleading, or (b) signs a pleading in violation of
this Rule, or (c) alleges scandalous orindecent mattertherein, or (d) fails to promptly report to
the court a change of his address,shall be subject to appropriate DISCIPLINARY ACTION.
c. Verification and certification against forum shopping
(1) Requirements of a corporation executing the verification/certification of non-
forum shopping
Verification
How is verification made?
It is verified by an affidavit. This affidavit declares that the:
1. Affiant has READ the pleading; and
2. Allegations therein are TRUE AND CORRECT of his PERSONAL KNOWLEDGE or BASED
ON AUTHENTIC RECORDS (Rule 7, Sec. 4)
A pleading required to be verified which contains a verification based on information and belief
or upon knowledge, information and belief, or lacks a proper verification shall be treated as an
UNSIGNED pleading (Rule 7, Sec. 4).
What is the significance of verification?
It is intended to secure an assurance that the allegations in a pleading are true and correct and
not the product of the imagination or a matter of speculation, and that the pleading is filed in
good faith. The absence of a proper verification is cause to treat the pleading as unsigned and
dismissible.(Chua vs. Torres, G.R. No. 151900, August 30, 2005)
Is verification a jurisdictional requirement?
NO. The requirement regarding verification of a pleading is a FORMAL, nor jurisdictional. Such
requirement is simply a condition affecting the form of a pleading, noncompliance with which
does not necessarily render the pleading fatally defective (Uy vs. Land Bank of the Phils. , 336
SCRA 419 [2000]).
The absence of the signature of the person misjoined as a party-plaintiff in either the verification
page or certification against forum-shopping is not a ground for the dismissal of the action(Chua
vs. Torres, G.R. No. 151900, August 30, 2005)
Forum Shopping
When is there forum shopping?
There is forum shopping when, as a result of an adverse opinion in one forum, a party seeks a
favorable opinion, other than by appeal or certiorari in another. There can also be forum
shopping when a party institutes two or more suits in differentcourts, either simultaneously or
successively, in order to ask the courts to rule on the same or related causes and/or to grant the
same or substantially the same reliefs on the supposition that one or the other court would make
a favorable disposition or increase a party’s chances of obtaining a favorable decision or
action. (Huibonhoa v. Concepcion, G.R. No. 153785, August 3, 2006)
Test to determine forum-shopping:To determine whether a party violated the rule against
forum shopping, the most important question to ask is whether the elements oflitis pendentiaare
present or whether a final judgment in one case will result tores judicatain another. Thus, the
test iswhether in the two or more cases pending, there is identity of:
1. Parties
2. Rights or causes of action
3. Reliefs sought (Huibonhoa v. Concepcion, supra)
Who executes certification against forum-shopping?
It is the plaintiff or principal party who executes the certification under oath(Rule 7, Sec. 5). It
must be signed by the party himself and cannot be signed by his counsels. The reason the
certification against forum shopping is required to be accomplished by petitioner himself is
because only the petitioner himself has actual knowledge of whether or not he has initiated
similar actions or proceedings in different courts or agencies. (Digital Microwave Corp. vs. CA,
G.R. No. 128550, March 16, 2000).
What are the undertakings of a party under the certification against forum shopping?
1. That the party has not commenced or filed any claim involving the same issues in any
court, tribunal, or quasi-judicial agency and, to the best of his knowledge, no such other
action or claim is pending;
2. That if there is such other pending action or claim, a complete statement of
the present status thereof;
3. That if he should therefore learn that the same or similar action or claim has been
filed or is pending, he shall report that fact within five days therefrom to the court
wherein his aforesaid complaint or initiatory pleading has been filed (Rule 7, Sec. 5)
Certification against forum shopping is required in filing a complaint and other initiatory
pleadings asserting a claim or relief (Rule 7, Sec. 5). This rule applies as well to special civil
actions since the rules for ordinary civil action are suppletory.
In what ways may forum shopping be committed?
1. Filing multiple cases based on the same cause of action and with the same prayer, the
previous case not having been resolved yet (litis pendentia)
2. Filing multiple cases based on the same cause of action and the same prayer, the
previous case having been finally resolved (res judicata)
3. Filing multiple cases based on the same cause of action but with different prayers
(splitting causes of action) where the ground for dismissal is also either litis
pendentia or res judicata).
Effect of forum shopping
1. If the forum shopping is NOT considered WILFUL and DELIBERATE, the subsequent
cases shall be DISMISSED WITHOUT PREJUDICE on one of the two grounds mentioned
above
Non-compliance with the rule on certification against forum shopping is not curable by
mere amendment and shall be a cause for the dismissal of action without prejudice,
unless otherwise provided, upon motion and after hearing (Rule 7, Sec.5)
2. If the forum shopping is WILFUL and DELIBERATE, both (or all, if there are more than
two actions) shall be DISMISSED WITH PREJUDICE (Ao-As vs. CA, 491 SCRA 353
[2006])
Willful and deliberate forum shopping of the party or his counsel shall be a ground
for summary dismissal. This dismissal is with prejudice and shall constitute DIRECT
CONTEMPT as well as cause for administrative sanctions on the part of counsel. (Rule 7,
Sec. 5)
What are the requirements of forum shopping certificate for a corporation?
Only individuals vested with authority by a valid board resolution may sign the certificate of non-
forum shopping in behalf of a corporation. In addition, the Court has required that proof of said
authority must be attached. Failure to provide a certificate of non-forum shopping is sufficient
ground to dismiss the petition. Likewise, the petition is subject to dismissal if a certification was
submitted unaccompanied by proof of the signatory's authority. (Philippine Airlines, Inc. vs.
Flight Attendants and Stewards Association of the Philippines (FASAP) , G.R. No.
143088. January 24, 2006)
However, subsequent submission of Secretary’s Certificate is substantial compliance with the
requirement that a Board Resolution must authorize the officer executing the non-forum
certification on behalf of the corporation.(International Construction Inc. vs. Feb Leasing
and Financing Corp. ,G.R. No. 157195, April 22, 2005)
d. Effect of the signature of counsel in a pleading
The signature of counsel constitutes a certificate by him that he has read the pleading; that to
the best of his knowledge, information, and belief there is good ground to support it; and that it
is not interposed for delay. (par. 2, Rule,7 Sec. 3.)
4. Allegations in a pleading
a. Manner of making allegations
(1) Condition precedent
In any pleading a general averment of the performance or occurrence of all conditions
precedent shall be sufficient. (Rule 8, Sec. 3.)
(2) Fraud, mistake, malice, intent, knowledge and other condition of the mind,
judgments, official documents or acts
Rule 8, Sec. 5. Fraud, mistake, condition of the mind.
In all averments of fraud or mistake, the circumstances constituting fraud or mistake
must be stated with PARTICULARITY. Malice, intent, knowledge or other condition of the
mind of a person may be averred GENERALLY.
b. Pleading an actionable document
Rule, 8, Sec. 7. Action or defense based on document.
Whenever an action or defense is based upon a written instrument or document, the actionable
document shall be pleaded by setting forth:
1. The substance of such document in the pleading and attaching the original or copy
thereof as an exhibit
2. Said document verbatimin the pleading (Sec. 7, Rule 8).
c. Specific denials
Rule 8, Sec. 10. Specific denial.
A defendant must specify each material allegation of fact the truth of which he does not
admit and, whenever practicable, shall set forth the substance of the matters upon which he
relies to support his denial. Where a defendant desires to deny only a part of an averment, he
shall specify so much of it as is true and material and shall deny only the remainder. Where a
defendant is without knowledge or information sufficient to form a belief as to the truth of a
material averment made in the complaint, he shall so state, and this shall have the effect of
a denial.
(1) Effect of failure to make specific denials
Rule 8, Sec. 11. Allegations not specifically denied deemed admitted.
Material averments in the complaint, other than those as to the amount of unliquidated
damages, shall be deemed admitted when not specifically denied.Allegations ofusury in a
complaint to recover usurious interest are deemed admitted if not denied under oath.
N.B. If the allegations are deemed admitted, there is no more triable issue between the parties
and if the admissions appear in the answer of the defendant, the plaintiff may file a motion for
judgment on the pleadings under Rule 34
(2) When a specific denial requires an oath
Rule 8, Sec. 8. How to contest such documents.
When an action or defense is founded upon a written instrument (like a promissory note which is
the basis of a complaint for collection of sum of money) , copied in or attached to the
corresponding pleading as provided in the preceding section, the GENUINENESS AND DUE
EXECUTION of the instrument shall be deemed admitted unless the adverse party, under
oath,specifically denies them, and sets forth what he claims to be the facts;
but the requirement of an oath does not apply (a) when the adverse partydoes not appear to be
a party to the instrument or (b) when compliance with an order for an inspection of the original
instrument is refused.
5. Effect of failure to plead
1. Failure to plead defenses and objections (implied admissions)
Defenses not pleaded in a motion to dismiss or in the answer are deemed WAIVED.
Exceptions:
These defenses may be raised at any stage of the proceedings even for the first time on appeal:
1. Lack of jurisdiction over the subject matter (Note: This may, however, be barred by
laches - Tijam v. Sibonghanoy, G.R. No. L-21450, April 15, 1968)
2. Litis pendentia
3. Res judicata
4. Prescription (LLRP) (Rule 9, Sec. 1)
2. Failure to plead a compulsory counterclaim and cross-claim
Rule 9, Sec. 2. Compulsory counterclaim, or cross-claim, not set up barred.
A compulsory counterclaim, or a cross-claim, not set up shall be barred.
6. Default
a. When a declaration of default is proper
What are the grounds for the declaration of default?
a) Failure of a defending party to answer within the time allowed (Rule 9, Sec. 3). This
includes failure to answer a complaint, permissive counterclaim, cross-claim, third-party
complaint, etc.
b) Wilful failure to appear before an officer to make a deposition, after being served with
a proper notice, or failure to serve answers after proper service of interrogatories (Rule
29, Sec. 3)
c) Failure to appear at pre-trial (Rule 18, Sec. 5)
NOTE:
1. A declaration of default cannot be made by the court motu proprio; there must be a
motion to that effect (The Philippine British Co. , Inc. vs. De Los Angeles, 63 SCRA 50
[1975]).
2. If no motion to declare defendant in default is filed, the complaint should be
dismissed for failure to prosecute.
3. A defendant’s answer should be admitted where it had been filed before it was
declared in default, and no prejudice is caused to plaintiff (Indiana Aerospace University
vs. CHED. 356 SCRA 367 [2001])
b. Effect of an order of default
a. A party in default LOSES HIS STANDING in court. He cannot appear therein, adduce
evidence and be heard nor take part in trial. He cannot file a motion to dismiss without
first filing a motion to set aside the order of default. He loses his right to present
evidence, control the proceedings and examine the witnesses or object to plaintiff’s
evidence.
b. A motion to declare the defending party in default should be served upon him. A party
in default, however, shall be entitled to NOTICE of subsequent proceedings but not to
take part in the trial.
c. Being declared in default does not constitute a waiver of all rights. What is waived is
only the RIGHT TO BE HEARD and to PRESENT EVIDENCE during trial while default
prevails. A party in default is still entitled to notice of final judgments and orders and
proceedings taken subsequent thereto. He may be cited and testify as a witness.
d. A party VALIDLY declared in default irreparably loses the right to participate in the
trial. A defendant IMPROVIDENTLY declared in default may retain and exercise such
right to participate in the trial after the order of default and the subsequent judgment by
default are annulled and the case remanded to the court of origin. The former can only
appeal. The latter may file a petition for certiorari (Indiana Aerospace University vs.
CHED, supra).
c. Relief from an order of default
Summary of the Remedies in Default
a. From notice of the order of default but BEFORE JUDGMENT
(1) motion to set aside order of default under Rule 9, Sec. 3(b)
(2) in a proper case, petition for certiorari under Rule 65.
b. AFTER JUDGMENT BUT BEFORE FINALITY
(1) motion for reconsideration under Rule 37, Section 1
(2) motion for new trial under Rule 37, Section 1
(3) appeal under Rule 41, Section 1
c. AFTER FINALITY OF JUDGMENT
(1) petition for certiorari under Rule 65
(2) petition for relief from judgment under Rule 38
(3) petition for annulment of judgment under Rule 47.
d. Effect of a partial default
Rule 9, Section 3(c). Effect of partial default.
When a pleading asserting a claim states a common cause of action againstseveral defending
parties, some of whom answer and the others fail to do so, the court shall try the case against
all upon the answers thus filed and render judgment upon the evidence presented.
e. Extent of relief
Two (2) kinds of Proceedings after Declaration of Default and the Extent of Relief that
may be Granted
(a) Without hearing
The Court may immediately render judgment granting the claimant such relief as his
pleading may warrant. Such relief however shall not exceed the amount or be different
in kind from that prayed for nor award unliquidated damages. (Rule 9, Sec. 3)
(b) With Hearing
The Court may, in its discretion, allow or require the claimant to submit evidence. Such
reception of evidence may be delegated to the Clerk of Court. After the reception of
claimant’s evidence, the court may render judgment granting the reliefs prayed for as
established by the evidence. It may also award unliquidated damages without exceeding
the amounts prayed for. (Rule 9, Sec. 3)
f. Actions where default is not allowed
a. Action for declaration of nullity of marriage; action for annulment of marriage; action
for legal separation (Rule 9, Sec. 3 (e))
NOTE: If the defending party fails to answer, the court shall order the
prosecuting attorney to investigate whether or not a collusion exists between
the parties, and if there is no collusion, to intervene for the State in order to see
to it that the evidence submitted is not fabricated.
b. Actions governed by the Rule on Summary Procedure and Rule of Procedure for Small
Claims Cases, where a motion to declare defendant in default is not allowed.
c. Special civil actions of certiorari, prohibition and mandamus where comment instead
of an answer is required to be filed.
7. Filing and Service of pleadings
I. Payment of docket fees
What are the rules on payment of docket fees?
Manuel Uy Po Tiong filed complaint with RTC QC against Sun Insurance Office Ltd. for refund of
premiums, with damages that can be inferred from body of complaint to be around P50M, but
paid only P210 as docket fee. Later re-amended complaint and supplemental complaint – total
claim of P64,601. Paid total docket fee of P182,824. But petitioner claims he should pay
P257,810.
Ruling:
a. Amount of damages prayed for should be specified not only in thebody of the
pleading but also in the prayer, and said damages shall be considered in the assessment
and payment of filing fees.
b. It is not simply the filing of complaint or initiatory pleading but alsopayment of
prescribed docket fee that vests a trial court with jurisdictionover subject matter or
nature of the action.
c. Without payment of correct docket fee, no original complaint or similar pleading is
considered filed. Hence, amendment of such complaint of similar pleading, or payment
of docket fee based on the amounts sought in the amended pleading will not vest
jurisdiction in the court.
d. Where the filing of the initiatory pleading is not accompanied by payment of the
docket fee, the court may allow payment of deficient docket fee within a reasonable
period but not beyond the applicable prescriptive or reglementary period. Conclusion: if
the complete amount of docket fee is not paid, prescriptive period continues to run as
the complaint is deemed not filed.
e. The same rule applies to permissive counterclaims, third party claims and similar
pleadings, which shall not be considered filed unless the filing fee is paid.
Where the trial court acquires jurisdiction over a claim by the filing of the appropriate pleading
and payment of the prescribed filing fee but, subsequently, the court awards a claim not
specified in the pleadings, such as damages arising after the filing of the complaint or similar
pleading, the additional filing fee therefor shall constitute a lien on the judgment. (Sun
Insurance Office, Ltd. vs. Asuncion, 170 SCRA 274 (1989) , reiterated in Tacay vs. RTC of
Tagum, Davao del Norte, 180 SCRA 433 (1989) and Heirs of Bertuldo Hinog vs. Melicor, 455
SCRA 460 (2005)).
II. Filing versus service of pleadings
What is filing?
It is the act of PRESENTING the pleading or other paper to the clerk of court(Rule 13, Sec.2)
What is service?
It is the act of PROVIDING A PARTY WITH A COPY of the pleading or paper concerned. If any
party has appeared by counsel, service upon him shall be made upon his counsel or one of
them, unless service upon the party himself is ordered by the court. When a party is represented
by counsel, service of notice should be made upon counsel and not upon the party, unless
service upon the party himself is ordered by the court. (Rule 13, Sec. 2).
What papers are required to be filed and served?
Every judgment, resolution, order, pleading subsequent to the complaint, written motion, notice,
appearance, demand, offer of judgment or similar papers shall be filed with the court, and
served upon the parties affected(Rule 13, Sec.4).
III. Periods of filing of pleadings
30 days 15 days 10 days
1. Answer to amended complaint
1. Answer to the complaint. (NOT a matter of right)
2. Answer to amended 2. Answer to counterclaim or
Answer of a defendant foreign
complaint (matter of right) cross-claim
private juridical entity.
3. Answer to third (fourth, 3. Answer to supplemental
etc.) - party complaint. complaint.
4. Reply.
within fifteen (l5) days after service of summons,

Answer to the complaint.
unless a different period is fixed by the court.
Answer of a defendant foreign private
(30) days after receipt of summons by such entity
juridical entity.
Answer to amended complaint (matter of within fifteen (l5) days after being served with a
right) copy thereof
Answer to amended complaint (NOT a ten (10) days from notice of the order admitting the
matter of right) same. (An answer earlier filed may serve as the
answer to the amended complaint if no new answer
is filed.)
Answer to counterclaim or cross-claim. ten (l0) days from service
same rule as the answer to the complaint (within
Answer to third (fourth, etc.) - party
fifteen (l5) days after service of summons, unless a
complaint.
different period is fixed by the court.)
within ten (l0) days from service of the pleading
Reply.
responded to
ten (10) days from notice of the order admitting the
Answer to supplemental complaint.
same, unless a different period is fixed by the court.
* Upon motion and on such terms as may
be just, the court may extend the time to
plead provided in these Rules.
* The court may also, upon like terms,
allow an answer or other pleading to be
filed after the time fixed by these Rules
IV. Manner of filing
V. Modes of service
(1) Personal service
Rule 13, Sec. 6. Personal service. — Service of the papers may be made bydelivering
personally a copy to the party or his counsel, or by leaving it in his office with his clerk or with a
person having charge thereof. If no person is found in his office, or his office is not known, or he
has no office, then by leaving the copy, between the hours of eight in the morning and six in the
evening, at the party's or counsel's residence, if known, with a person of sufficient age and
discretion then residing therein.
(2) Service by mail
Rule 13, Sec. 7. Service by mail.
Service by registered mail shall be made by depositing the copy in the post office, in a sealed
envelope, plainly addressed to the party or his counsel at his office, if known, otherwise at his
residence, if known, with postage fully pre-paid, and with instructions to the postmaster to
return the mail to the sender after ten (l0) days if undelivered. If no registry service is available
in the locality of either the sender or the addressee, service may be done by ordinary mail. (5a)
(3) Substituted service
Rule 13, Section 8. Substituted Service. If service of pleadings, motions, notices, resolutions,
orders and other papers cannot be made under the two preceding sections (personal service and
service by mail) , the office andplace of residence of the party or his counsel being unknown,
service may be made by delivering the copy to the clerk of court, with proof of failure of both
personal service and service by mail. The service is complete at the time of such delivery.
(4) Service of judgments, final orders or resolutions
Rule 13, Sec. 9. Service of judgments, final orders or resolutions.
Judgments, final orders or resolutions shall be served either personally or byregistered mail.
When a party summoned by publication has failed to appear in the action, judgments, final
orders or resolutions against him shall be served upon him also by publication at the expense of
the prevailing party.
(5) Priorities in modes of service and filing
Rule 13, Sec. 11. Priorities in modes of service and filing.
Whenever practicable, the service and filing of pleadings and other papers shall be done
PERSONALLY. Except with respect to papers emanating from the court, a resort to other modes
must be accompanied by a written explanationwhy the service or filing was not done personally.
A violation of this Rule may be cause to consider the paper as not filed.
Rule 13, Sec. 11 requires personal service of petitions and other pleadings. This is the general
rule, while recourse to alternative modes of service and filing is the exception.
Where recourse is made to the exception, a written explanation of why personal service was not
effected is indispensable, even when such explanation by its nature is acceptable and manifest.
Where no explanation is offered to justify resort to other modes, the court may expunge the
pleading. (Zulueta vs. Asia Brewery, Inc. , G.R. No. 138137, March 8, 2001)
(6) When service is deemed complete
Rule 10, Sec. 10. Completeness of service.
Personal serviceis complete upon actual delivery. Service by ordinary mail is complete upon the
expiration of ten (10) days after mailing, unless the court otherwise provides. Service
by registered mail is complete upon actual receiptby the addressee, or after five (5) days from
the date he received the first notice of the postmaster, whichever date is earlier.
When service is deemed complete
1. PERSONAL SERVICE - Upon actual delivery
2. ORDINARY MAIL - Upon expiration of 10 days after mailing
3. REGISTERED MAIL - Upon actual receipt by the addressee OR five (5) days from the
date he received first notice from postmaster
4. SUBSTITUTED SERVICE - At the time of such delivery of the copy to the clerk of court
(7) Proof of filing and service
Rule 13, Sec. 12. Proof of filing.
The FILING of a pleading or paper shall be proved by its existence in the record of the case. If it
is not in the record, but is claimed to have been filed PERSONALLY, the filing shall be proved by
the written or stamped acknowledgment of its filing by the clerk of court on a copy of the same;
if filed by REGISTERED MAIL, by the registry receipt and by the affidavit of the person who did
the mailing, containing a full statement of the date and place of depositing the mail in the post
office in a sealed envelope addressed to the court, with postage fully prepaid, and with
instructions to the postmaster to return the mail to the sender after ten (10) days if not
delivered.
Sec. 13. Proof of service.
Proof of PERSONAL SERVICE shall consist of a (a) written admission of the party served, or the
(b) official return of the server, or the (c) affidavit of the party serving, containing a full
statement of the date, place and manner of service. If the service is by ORDINARY MAIL, proof
thereof shall consist of anaffidavit of the person mailing of facts showing compliance with section
7 of this Rule. If service is made by REGISTERED MAIL, proof shall be made by
such affidavit and the registry receipt issued by the mailing office. The registry return card shall
be filed immediately upon its receipt by the sender, or in lieu thereof the unclaimed
letter together with the certified or sworn copy of thenotice given by the postmaster to the
addressee.
8. Amendment
a. Amendment as a matter of right
Rule 10, Sec. 2. Amendments as a matter of right.
A party may amend his pleading once as a matter of right at any time BEFORE a responsive
pleading is served or, in the case of a reply, at any time within ten (l0) days after it is served.
NOTES:
1. The filing by the defendant of a motion to dismiss does not affect the plaintiff’s right
to amend his complaint without first securing leave of court because a motion to dismiss
is NOT a responsive pleading.
2. Leave of court is necessary AFTER the filing of a responsive pleading. However,
even substantial amendments may be made under this Rule.
3. But such leave may be refused, if it appears to the court that the motion was made
with intent to delay.
b. Amendments by leave of court
Rule 10, Sec. 3. Amendments by leave of court.
Except as provided in the next preceding section, substantial amendmentsmay be made only
upon leave of court. But such leave may be refused if it appears to the court that the motion
was made with intent to delay. Orders of the court upon the matters provided in this section
shall be made upon (a)motion filed in court, and after (b) notice to the adverse party, and an
(c)opportunity to be heard.
c. Formal amendment
Rule 10, Sec. 4. Formal amendments.
A defect in the designation of the parties and other clearly clerical or typographical errors may
be summarily corrected by the court at any stage of the action, at its initiative or on motion,
provided no prejudice is caused thereby to the adverse party.
d. Amendments to conform to or authorize presentation of evidence
Rule 10, Sec. 5. Amendment to conform to or authorize presentation of evidence.
When issues not raised by the pleadings are tried with the express or implied consent of the
parties, they shall be treated in all respects as if they had been raised in the pleadings. Such
amendment of the pleadings as may be necessary to cause them to conform to theevidence and
to raise these issuesmay be made upon motion of any party at ANY TIME, even after judgment;
but failure to amend does not affect the result of the trial of theseissues. If evidence
is OBJECTED to at the trial on the ground that it isnot within the issues made by the pleadings,
the court may allow the pleadings to be amended and shall do so with liberality if the (a)
presentation of the MERITS of the action and the (b) ends of SUBSTANTIAL JUSTICE will be
subserved thereby. The court may grant a continuance to enable the amendment to be made.
Amendments to Conform to or Authorize Presentation of Evidence
When issues not raised by the pleadings are triedwiththe express or implied consent
of the parties
1. They shall be treated in all respects as if they had been raised in the pleadings;
2. Such amendment of the pleadings as may be necessary to cause them to conform to
the evidence may be made upon motion of any party at any time, even after judgment;
3. BUT failure to amend does NOT affect the result of the trial of these issues.
If evidence is objected to at the trial on the ground that it is not within the issues
made by the pleadings
1. The court may allow the pleadings to be amended;
2. It shall do so with liberality if the presentation of the merits of the action and the
ends of substantial justice will be subserved thereby;
3. The court may grant a continuance to enable the amendment to be made.
e. Different from supplemental pleadings
Rule 10, Section 1. Amendments in general.
Pleadings may be amended by (a) adding or striking out an allegation or thename of any party,
or by (b) correcting a mistake in the name of a party or amistaken or inadequateallegation or
description in any other respect, so that the actual merits of the controversy may speedily be
determined, without regard to technicalities, and in the most expeditious and inexpensive
manner.
Rule 10, Sec. 6. Supplemental pleadings.
Upon motion of a party the court may, upon reasonable notice and upon such terms as are just,
permit him to serve a supplemental pleading setting forthtransactions, occurrencesor
events which have happened since the date of the pleading sought to be supplemented. The
adverse party may plead thereto within ten (10) days from notice of the order admitting the
supplemental pleading.
NOTES:
1. The adverse party may plead thereto within ten (10) days from notice of the order
admitting the supplemental pleading. The answer to the complaint shall serve as the
answer to the supplemental complaint if no new or supplemental answer is filed.
2. A supplemental pleading incorporates matters arising AFTER the filing of the
complaint. A supplemental pleading is always filed with leave of court. It does not result
in the withdrawal of the original complaint.
f. Effect of amended pleading
Rule 10, Sec. 8. Effect of amended pleadings.
An amended pleading SUPERSEDES the pleading that it amends. However,admissions in
superseded pleadings may be received in evidence against the pleader; and claims or
defenses alleged therein not incorporated in the amended pleading shall be deemed waived.
What happens to the admissions in the original pleading?
They cease to be judicial admissions. Thus, they are to be considered asextrajudicial
admissions and may be proved by the party relying thereon by formal offer in evidence of such
original pleading. (Ching vs. CA, G.R. No. 110844, April 27, 2000)
F. Summons
1. Nature and purpose of summons in relation to actions in personam, in rem and
quasi in rem
SUMMONSis a writ by which the defendant is notified of the action brought against him. Service
of such writ is the means by which the court may acquire jurisdiction over his person.
NON-SERVICE OR IRREGULAR SERVICE OF SUMMONSmay be a ground for dismissal for
lack of jurisdiction over the person of the defending party.
What is the effect of lack of summons?
The trial court does not acquire jurisdiction and renders NULL AND VOID all subsequent
proceedings and issuances in the actions from the order of default up to and including the
judgment by default and the order of execution.
However, lack of summons may be WAIVED as when the defendant fails to make any seasonable
objection to the court’s lack of jurisdiction over the person of the defendant.
Summons May be Served ONLY by
1. Sheriff;
2. Sheriff’s deputy; or
3. Other proper court officers; or
4. For justifiable reasons, by any suitable person authorized by the court issuing the
summons (Rule 14, Sec. 3)
ALIAS SUMMONS– one issued by the clerk of court on demand of the plaintiff when the original
summons was returned without being served on any or all of the defendants, or when summons
has been lost. When issued, it supersedes the first summons.
2. Voluntary appearance
Rule 14, Sec. 20. Voluntary appearance. The defendant's voluntary appearance in the action
shall be equivalent to service of summons. Theinclusion in a motion to dismiss of other
grounds aside from lack of jurisdiction over the person of the defendant shall not be deemed
a voluntary appearance.
Voluntary appearance cures the defect in the service of summons.
Exc. : Special appearance in court to challenge its jurisdiction over the person of the defendant
and the inclusion in a motion to dismiss of other grounds shall not be deemed a voluntary
appearance (La Naval Drug Corp. vs. CA, G.R. No. 103200, August 31, 1994).
SUMMONS
Modes of Service of Summons
There are four (4) modes of serving summons:
1) personal service;
2) substituted service;
3) constructive service (by publication) ; and
4) extraterritorial service.
What are the purposes of summons?
1. Actions in personam
a. To acquire jurisdiction over the person of the defendant; and
b. To give notice to the defendant that an action has been commenced against
him (Umandap vs. Sabio, Jr. , G.R. No. 140244, August 29, 2000)
2. Actions in rem and quasi in rem– not to acquire jurisdiction over the defendant but mainly
to satisfy the constitutional requirement of due process(Gomez vs. CA, G.R. No. 127692, March
10, 2004).
3. Personal service
Rule 14, Sec. 6. Service in person on defendant.
Whenever practicable, the summons shall be served by HANDING a copy thereof to the
defendant in person, or, if he refuses to receive and sign for it, by TENDERING it to him.
If there are two (2) or more defendants, each one of them should be served a copy of the
summons and the complaint (Bello vs. Ubo, 117 SCRA 91 [1982])
4. Substituted service
Rule 14, Sec. 7
If for justifiable causes, the defendant cannot personally be served with summons within
a reasonable time, service may be effected:
1) by leaving copies of the summons at the defendant’s RESIDENCE with some person of
suitable age and discretion then residing therein, or
2) by leaving the copies at the defendant’s OFFICE or regular place of business with
some competent person in charge thereof.
In substituted service, it is immaterial that the defendant does not in fact receive actual notice.
This will not affect the validity of the service.
For substituted service to be justified, the following circumstances must be clearly
established: (a) personal service of summons within a reasonable time was impossible; (b)
efforts were exerted to locate the party; and (c) the summons was served upon a person of
sufficient age and discretion residing at the party’s residence or upon a competent person in
charge of the party’s office or place of business. Failure to do so would invalidate all subsequent
proceedings on jurisdictional grounds (Robinson vs. Miralles, G.R. No. 163584, December 12,
2006)
For substituted service of summons to be available, there must be several attempts by the
sheriff to personally serve the summons within a reasonable period [of one month] which
eventually resulted in failure to prove impossibility of prompt service. “Several attempts” means
at least three (3) tries, preferably on at least two different dates. In addition, the sheriff
must cite why such efforts were unsuccessful. It is only then that impossibility of service can be
confirmed or accepted. (Manotoc vs. Court of Appeals, G.R. No. 130974, August 16, 2006, 499
SCRA 21)
If diligent efforts were undertaken by the Sheriff to serve summons upon the defendant but he
was PREVENTED from effecting such service by the DEFENDANT HIMSELF, summons shall be
deemed PROPERLY served and that the court has acquired jurisdiction over the person of the
defendant. (Robinson v. Miralles, supra)
Defendant’s filing of a motion for resetting of the hearing of the motion for execution
effectively cured the defect of the substituted service of summons. Although the substituted
service of summons on defendant is patently defective as the sheriff’s return does not contain
any statement with regard to the impossibility of personal service, said defect was cured by his
voluntary appearance therein. An appearance in whatever form without expressly objecting to
the jurisdiction of the court over the person, is a submission to the jurisdiction of the court over
the person of the defendant or respondent. (Cezar vs. Ricafort-Bautista, G.R. No. 136415,.
October 31, 2006. )
In a proceeding in rem or quasi in rem , jurisdiction over the person of the defendant is not a
prerequisite to confer jurisdiction on the court provided that the court acquires jurisdiction over
the res. Nonetheless, summons must be served upon the defendant not for the purpose of
vesting the court with jurisdiction but merely for satisfying the due process requirements. A
resident defendant who does not voluntarily appear in court, must be personally served with
summons as provided under Section 6, Rule 14 of the Rules of Court. (Biaco vs.
Philippine Countryside Rural Bank, G.R. No. 161417, February 8, 2007, 515 SCRA 106.)
5. Constructive service (by publication)
a. Service upon a defendant where his identity is unknown or where his whereabouts
are unknown
Rule 14, Sec. 14. Service upon defendant whose identity or whereabouts are unknown. – In ANY
ACTION where the defendant is designated as an unknown owner, or the like, or whenever
his whereabouts are unknown and cannot be ascertained by diligent inquiry, service may, by
leave of court, be effected upon him by publication in a newspaper of general circulation and in
such places and for such time as the court may order.
N.B. When the defendant is a resident of the Philippines, service of summons by publication is
allowed in any action, even in actions in personam.
Hence, this can be allowed in a suit for collection of sum of money, which is anin
personam action.
b. Service upon residents temporarily outside the Philippines
Rule 14, Sec. 16. Residents temporarily out of the Philippines.
When any action is commenced against a defendant who ordinarily resides within the Philippines,
but who is temporarily out of it, service may, by leave of court, be also effected out of the
Philippines, as under the preceding section.
In ANY suit against a resident of the Philippines temporarily absent from the country, the
defendant may be served by SUBSTITUTED service because he still leaves a definite place of
residence where he is bound to return.
In addition, EXTRATERRITORIAL service [by personal service effected out of the Philippines OR
by publication in a newspaper of general circulation in such places and for such time as the court
may order] MAY be resorted to WITH LEAVE OF COURT.
6. Extra-territorial service, when allowed
Rule 14, Sec. 15. Extraterritorial service.
Extraterritorial service of summons is allowed where the action is against a NON-RESIDENT
DEFENDANT who is NOT FOUND in the Philippines and the action:
1) affects the personal status of plaintiffs;
2) relates to or subject of which is property in the Philippines (real or personal) , in
which the defendant has claim, lien or interest, actual or contingent; or
3) in which relief demanded consists wholly, or in part, in excluding the defendant from
any interest therein; or
4) property of defendant has been attached within the Philippines
To be effective, extraterritorial service of summons must be with LEAVE OF COURT and only
through any of the following means:
1. Personal service;
2. By publication (and copy of the summons and order of the court must be sent by
registered mail to the last known address) ;
3. Any other manner which the court may deem sufficient. (Rule 14, Sec. 15).
NOTE:
a. The three modes of service of summons upon a non-resident must be made OUTSIDE
the Philippines, such as through the Philippine Embassy in a country where defendant
resides (Valmonte vs. CA, 252 SCRA 92 [1996]).
b. Service of summons on husband is not binding on wife who is a non-resident (ibid.)
Gemperle v. Shenker(G.R. No. L-18164, January 23, 1967) (In contrast
toValmonte) :The lower court had acquired jurisdiction over defendant husband, through
service of the summons addressed to him upon his wife, Mrs. Schenker, it appearing
from said answer that she is therepresentative and attorney-in-fact of her husband in
the aforementioned civil case, which apparently was filed at her behest, in her
representative capacity.
c. Substituted service or extraterritorial service of summons by leave of court on a
resident defendant who is temporarily outside of the Philippines is valid. (Rule 14, Sec.
16).
NOTE:
a. Extraterritorial service of summons is proper only in actions in rem or quasi-
in-rem. – this is so because in in rem and quasi in remactions, jurisdiction over the
person of the defendant is not a pre-requisite to confer jurisdiction on the court provided
that the court acquires jurisdiction over the res.
In rem– action against the thing itself instead of against the person
Quasi in rem– individual is named as defendant since the purpose of the
proceeding is to subject his interest therein to the obligation or loan burdening
the property.
b. Any relief granted in in rem or quasi in rem actions must be confined to the res, and
the court cannot lawfully render a personal judgment against the defendant.
c. Where the action is in personam, such as where the plaintiff seeks to recover
damages for the alleged commission of an injury to the person or property of the
plaintiff, personal, or if not possible, substituted service of summons, and NOT
EXTRATERRITORIAL SERVICE, is necessary to confer jurisdiction upon the person of
defendant (Banco do Brasil vs. CA, June 16, 2000).
Can summons be served by mail?
No. It cannot be served by mail but it can be done as a complementary to service of summons
by publication, but it does not mean that service by registered mail alone would
suffice. (Regalado, Remedial Law Compendium, Vol. I, p. 242, 2005 ed)
7. Service upon prisoners and minors
Rule 14, Sec. 9. Service upon prisoners.
When the defendant is a prisoner confined in a jail or institution, service shall be effected upon
him by the officer having the management of such jail or institution who is deemed deputized as
a special sheriff for said purpose.
Rule 14, Sec. 10. Service upon minors and incompetents.
When the defendant is a minor, insane or otherwise an incompetent, service shall be made upon
him personally and on his legal guardian if he has one, or if none, upon his guardian ad litem
whose appointment shall be applied for by the plaintiff. In the case of a minor, service may also
be made on his father or mother.
Rule 14, Sec. 11. Service upon domestic private juridical entity. — When the defendant is a
corporation, partnership or association organized under the laws of the Philippines with a
juridical personality, service may be made on the president, managing partner, general
manager, corporate secretary, treasurer, or in house counsel.
Service on domestic private juridical entity
Service may be made on the:
a. president
b. managing partner
c. general manager
d. corporate secretary
e. treasurer, or
f. in-house counsel.
Service on an agent of the corporation is not permitted. The designation of persons or officers
who are authorized to accept summons for a domestic corporation is limited and more clearly
specified. The rule states “general manager” instead of only “manager”, “corporate secretary”
instead of “secretary” and “treasurer” instead of “cashier”.
Service of summons upon the Branch Manager of petitioner at its branch office in Cagayan de
Oro City instead of upon the general manager at its principal office in Davao City is improper.
Consequently, the trial court did not acquire jurisdiction over the person of the petitioner. Any
proceeding undertaken by the trial court will consequently be null and void (E. B. Villarosa &
Partner Co. , Ltd. vs. Benito, 312 SCRA 65 [1999]).
Clearly, the summons was not served personally on the defendant (respondent) through any of
the officers enumerated in Section 11 of Rule 14; rather, summons was served by substituted
service on the defendant’s staff member, Romel Dolahoy. Substituted service was resorted
to on the server’s first attempt at service of summons, and there was no indication
that prior efforts were made to render prompt personal service on the defendant. (B.
D. Long Span Builders, Inc. vs. R. S. Ampeloquio Realty Development, Inc. , G.R. No. 169919,
September 11, 2009
Service upon foreign private juridical entity(Rule 14, Sec. 12) . — When the defendant is a
foreign private juridical entity which has transacted business in the Philippines, service may be
made on its resident agent designated in accordance with law for that purpose, or, if there be no
such agent, on the government official designated by law to that effect, or on any of its officers
or agents within the Philippines. If the foreign private juridical entity is not registered in the
Philippines or has no resident agent, service may, with leave of court, be effected out of the
Philippines through any of the following means:
a) By personal service coursed through the appropriate court in the foreign country with
the assistance of the Department of Foreign Affairs;
b) By publication once in a newspaper of general circulation in the country where the
defendant may be found and by serving a copy of the summons and the court order by
registered mail at the last known address of the defendant;
c) By facsimile or any recognized electronic means that could generate proof of service;
or
d) By such other means as the court may in its discretion direct. (As amended by A.M.
No. 11-3-6-SC, March 15, 2011)
This will be allowed only if there are well-pleaded allegations of having transacted or doing
business in the Philippines.
The fact of DOING BUSINESS in the Philippines must be established by appropriate allegations in
the complaint. The court need not go beyond the allegations of the complaint in order to
determine whether it has jurisdiction.
A determination that the foreign corporation is doing business is only tentative and is made only
for the purpose of enabling the local court to acquire jurisdiction over the foreign corporation
through service of summons pursuant to Rule 14, Section 12. Such determination does not
foreclose a contrary finding should evidence later show that it is not transacting business in the
country.
8. Proof of service
Rule 14, Sec. 18. Proof of service.
The proof of service of a summons shall be made in writing by the server and shall set forth
the manner, place, and date of service; shall specify any papers which have been served with
the process and the name of the person who received the same; and shall be sworn to when
made by a person other than a sheriff or his deputy.
Rule 14, Sec. 19. Proof of service by publication.
If the service has been made by publication, service may be proved by theaffidavit of the
printer, his foreman or principal clerk, or of the editor, business or advertising manager, to
which affidavit a copy of the publication shall be attached, and by an affidavit showing
the deposit of a copy of the summonsand order for publication in the post office, postage
prepaid, directed to the defendant by registered mail to his last known address.
G. Motions
1. Motions in general
a. Definition of a motion
Rule 15, Section 1. Motion defined.
A motion is an application for relief other than by a pleading.
b. Motions versus pleadings
Rule 6, Section 1. Pleadings defined.
Pleadings are the written statements of the respective claims and defenses of the parties
submitted to the court for appropriate judgment.
c. Contents and form of motions
Rule 15, Sec. 2. Motions must be in writing.
All motions shall be in writing except those made in open court or in thecourse of ahearing or
trial.
Rule 15, Sec. 3. Contents.
A motion shall state the (a) relief sought to be obtained and the (b)grounds upon which it is
based, and if required by these Rules or necessary to prove facts alleged therein, shall be
accompanied by supporting affidavits and other papers.
d. Notice of hearing and hearing of motions
Rule 15, Sec. 4. Hearing of motion.
Except for motions which the court may act upon without prejudicing the rights of the adverse
party, every written motion shall be set for hearing by the applicant.
Every written motion required to be heard and the notice of the hearing thereof shall be served
in such a manner as to ensure its receipt by the other party at least three (3) days BEFORE the
date of hearing, unless the court for good cause sets the hearing on shorter notice.
Rule 15, Sec. 5. Notice of hearing.
The notice of hearing shall be addressed to all parties concerned, and shallspecify the time and
date of the hearing which must not be later than ten (10) days AFTER the filing of the motion.
Rule 15, Sec. 6. Proof of service necessary. — No written motion set for hearing shall be acted
upon by the court without proof of service thereof.
*** e. Omnibus motion rule
Rule 15, Sec. 8. Omnibus motion.
Subject to the provisions of section 1 of Rule 9, a MOTION attacking a pleading, order,
judgment, or proceeding shall include all objections then available, and all objections not
soincluded shall be deemed WAIVED.
Gen. Rule: All available grounds for objection in attacking a pleading, order, judgment, or
proceeding [POJP] should be invoked at one time; otherwise, they shall be deemed waived
Exc. The court may dismiss the case motu proprio based on:
1. Lack of jurisdiction over the subject matter;
2. Litis pendentia
3. Res judicata;and
4. Prescription [LLRP] (Rule 9, Sec. 1)
f. Litigated and ex parte motions
Litigated motion - compliance with Rule 15 necessary. A litigious motion is one which the court
may not act upon without prejudicing the rights of the adverse party. Ex. Motion for
reconsideration, motion to dismiss, motion to declare defendant in default, motion for
execution,motion for judgment on the pleadings and motion for summary judgment
Ex partemotions- While a motion may be allowed to be filed ex parte and is an exception to
the 3-day notice rule, it does not necessarily mean that the hearing thereof shall be dispensed
with. The court may still hear the same ex parte, that is, in the absence of the opposing party,
since the court can very well see to it that the latter’s interests will be duly protected. An ex
parte proceeding merely means that it is taken for granted at the instance and for the benefit of
one party, and without notice to or contestation by any party adversely affected. Ex. motion
for extension of time to file answer; motion forpostponement; motion for extension of time to
file record on appeal; motion to set case for pre-trial.
g. Pro-forma motions
A motion that does not comply with Rule 15, particularly Sections 4, 5 and 6 (hearing, notice
of hearing, proof of service) , is a mere scrap of paper, should not be accepted for filing and
is not entitled to judicial cognizance and does not affect any reglementary period involved for
the filing of the requisite pleading.
2. Motions for Bill of Particulars
Options available to the defendant upon receipt of the complaint
1. Filing of a motion for bill of particulars
2. Filing of a motion to dismiss
3. Filing of an answer to the complaint
a. Purpose and when applied for
What is the purpose of a bill of particulars?
Its purpose is to aid in the preparation of a responsive pleading. An action cannot be dismissed
on the ground that the complaint is vague or indefinite(Galeon v. Galeon, G.R. No. L-30380,
Feb. 28, 1973).
It is a motion which seeks to clarify matters in the complaint which are vague, ambiguous, or
not averred with sufficient definiteness.
It applies to ANY PLEADING which in the perception of the movant contains ambiguous
allegations.
What is the nature of and procedure for a bill of particulars?
a. When filed. Before responding to a pleading. If the pleading is a reply, the motion
must be filed within ten (10) days from service.
b. Grounds. A party may move for a definite statement or for a bill of particulars of any
matter which is not averred with sufficient definiteness or particularly to enable him
properly to prepare his responsive pleading.
The motion shall point out
1. The defects complained of;
2. The paragraphs wherein they are contained;
3. The details desired. (Rule 12, Sec. 1)
The motion must comply with the requirements for motions under Rule 15. Otherwise, it
shall be treated as a pro forma motion which shall not stop the running of the period for
filing the requisite pleading
b. Actions of the court
(1) Grant the motion, or
(2) Deny it outright, or
(3) Hold a hearing therein. (Rule 12, Sec. 2)
c. Compliance with the order and effect of noncompliance
Rule 12, Sec. 3. Compliance with order.
If the motion is GRANTED, either in whole or in part, the compliance therewith must be effected
within ten (l0) days from notice of the order, unless a different period is fixed by the court.
The bill of particulars or a more definite statement ordered by the court may be filed either in
a separate or in an amended pleading, serving a copy thereof on the adverse party
What is the effect of non-compliance with order for bill of particulars?
a. If the order directing the plaintiff to submit a bill of particulars is not compliedwith, or
in case of insufficient compliance,
b. the court may order
c. the STRIKING OUT of the pleading or the portion thereof to which the order was
directed or,
d. MAKE SUCH ORDERS as it DEEMS JUST. (Rule 12, Sec. 4)
d. Effect on the period to file a responsive pleading
Rule 12, Sec. 5. Stay of period to file responsive pleading.
After SERVICE of the bill of particulars or of a more definite pleading, or after NOTICE
OF DENIAL of his motion, the moving party may file his responsive pleading within the period to
which he was entitled at the time of filing his motion, which shall not be less than five (5) days
in anyevent.
3. Motion to Dismiss
Four general types of motion to dismiss under the Rules
1. Motion to dismiss before answer (Rule 16)
2. Motion to dismiss by plaintiff (Rule 17)
3. Motion to dismiss on demurrer to evidence after plaintiff has rested his case (Rule 33)
4. Motion to dismiss appeal either in RTC (Rule 41, Sec. 13) , CA (Rule 50, Sec. 1) or SC
(Rule 56, Sec. 5)
When may a court motu proprio dismiss a case?
1. When it appears from the pleadings or the evidence on record that the following
grounds for dismissal are present: lack of jurisdiction over the subject matter; litis
pendentia; res judicata and prescription (Rule 9, Sec. 1) - LLRP
2. If for no justifiable cause, the plaintiff fails to appear on the date of the presentation
of his evidence in chief on the complaint, or to prosecute his complaint for an
unreasonable length of time, or to comply with the Rules of Court or any order of the
court (Rule 17, Sec. 3) ;and
3. After an examination of the allegations in the complaint and such evidence attached
thereto, the court may dismiss the complaint outright on any of the grounds apparent
therefrom [ex. lack of jurisdiction] (Revised Rule on Summary Procedure, Sec. 4)
a. Grounds
What are the groundsfor a motion to dismiss?(Rule 16, Section 1)
a. That the court has no jurisdiction over the person of the defending party;
b. That the court has no jurisdiction over the subject matter of the claim;
c. That venue is improperly laid;
d. That the plaintiff has no legal capacity to sue;
e. That there is another action pending between the same parties for the same cause;
f. That the cause of action is barred by a prior judgment or by the statute of limitations;
g. That the pleading asserting the claim states no cause of action;
h. That the claim or demand set forth in plaintiff’s pleading has been paid, waived,
abandoned, or otherwise extinguished;
i. That the claim on which the action is founded is unenforceable under the provisions of
the Statute of Frauds; and
j. That a condition precedent for filing the claim has not been complied with.
NOTES:
1. The motion must comply with Rule 15. The court is without authority to act on the
motion without PROOF OF SERVICE of the notice of hearing.
2. Waiver of defenses. Defenses and objections not pleaded whether in a motion
todismiss or in the answer are deemed waived (Rule 9, Sec. 1, 1stsentence).
Defenses and objections not waived even if not raised in a motionto dismiss or
answer. The court shall motu proprio dismiss the claim when it appears from the pleadings or
the evidence on record that:
a. The court has no jurisdiction over the subject matter (lack of jurisdiction)
b. There is another action pending between the same parties for the same cause (litis
pendentia)
c. The action is barred by prior judgment (res judicata)
d. The action is barred by the statute of limitations (prescription) (Rule 9, Sec. 1,
2nd sentence). [LLRP]
Discussion of individual grounds
The court has no jurisdiction over the person of the defending party
The court has no jurisdiction over the subject matter of the claim.
The Venue Is Improperly Laid.
a. Venue of an action depends upon the:
(1) nature of the action
(2) residence of the parties
(3) stipulation of the parties
(4) law
b. Test to determine nature of action
The nature of the action is determined from the allegations of the complaint, the character of
the relief, its purpose and prime objective. When the prime objective is to recover real property,
it is a real action.
Plaintiff Has No Legal Capacity To Sue
a. Legal capacity to sue means that a party is not suffering from any disability such as
minority, insanity, covertures, lack of juridical personality, incompetence, civil
interdiction or does not have the character or representation which he claims or with
respect to foreign corporation, that it is doing business in the Philippines with a license.
b. In Pilipinas Shell Petroleum Corporation v. Dumlao, the Supreme Court held that a
person who has no interest in the estate of a deceased person has no legal capacity to
file a petition for letters of administration. With respect to foreign corporations, the
qualifying circumstances of plaintiff’s capacity to sue being an essential element must be
affirmatively pleaded. The qualifying circumstance is an essential part of the element of
the plaintiff’s capacity to sue. The complaint must either allege that it is doing business
in the Philippines with a license or that it is a foreign corporation not engaged in
business and that it is suing in an isolated transaction.
Pendency Of Another Action Between The Same Parties
For The Same Cause (Litis Pendentia)
a. Rationale of the Rule: Like res judicata as a doctrine, litis pendentia is a sanction of
public policy against multiplicity of suits. The principle upon which a plea of another
action pending is sustained is that the latter action is deemed unnecessary and
vexatious.
b. Requisites of Litis Pendentia:
(1) Identity of parties, or at least such as representing the same interest in both
actions;
(2) Identity of rights asserted and prayed for, the relief being founded on the
same facts; and
(3) The identity on the preceding particulars should be such that any judgment
which may be rendered on the other action will, regardless of which party is
successful, amount to res judicata in the action under consideration.
Bar by prior judgment(Res Judicata)
a. Requisites of Res Judicata:
(1) the former judgment or order must be final;
(2) it must be a judgment or order on the merits;
(3) the court which rendered it had jurisdiction over the subject matter and the parties;
and
(4) there must be, between the first and second actions, identity ofparties, of subject
matter and of cause of action.
b. Two aspects of Res Judicata
(1) Bar by Former Judgment– when, between the first case where the judgment was
rendered, and the second case where the judgment is invoked, there is identity
of parties, subject matter and cause of action.
(2) Conclusiveness of Judgment– when there is an identity of partiesbut not cause
of action, the judgment being conclusive in the second case only as to those matters
actuallyand directly controverted and determined, and not as to matters invoked
thereon.
c. A judicial compromise has the effect of res judicata and is immediately executory and not
appealable. The ultimate test in ascertaining the identity of causes of action -- whether or not
the same evidence fully supports and establishes both the present cause of action and the
former cause of action. Only substantial, and not absolute, identity of parties is required for res
judicata.
Bar by Statute of Limitations (Prescription of Actions)
An action prescribes by the lapse of time fixed in the Civil Code (Articles 1139 to 1155).
1. Eight years
a. actions to recover movables
2. Thirty years
a. real actions over immovables
3. Ten years
a. written contract
b. obligation created by law
c. judgment
4. Six years
a. oral contract
b. quasi-contract
5. One year
a. forcible entry and unlawful detainer
b. defamation
6. Five years
All other actions whose periods are not fixed in the Civil Code or other laws
NOTES:
a. Prescription and estoppel cannot be invoked against the State (Delos Reyes vs.
CA, January 27, 1998, 285 SCRA).
b. Even if the defense of prescription has not been raised in a motion to dismiss or an
answer, if the plaintiff’s complaint or evidence shows that the action had prescribed, the
action shall be dismissed. (Rule 9, Sec. 1)
c. Prescription cannot be invoked as a ground if the contract is alleged to be void ab
initio but where prescription depends on whether contract is void or voidable, there must
be a hearing.
The Claim States No Cause of Action
a. Elements of a Cause of Action
(1) a RIGHT in favor of the plaintiff by whatever means and under whatever law it
arises or is created;
(2) an OBLIGATION on the part of the named defendant to respect or not to violate such
right; and
(3) an ACT OR OMISSION on the part of such defendant violative of the right of the
plaintiff or constituting a breach of the obligation of the defendant to the plaintiff for
which the latter may maintain an action for recovery of damages.
b. General rule: a motion to dismiss for failure to state a cause of action HYPOTHETICALLY
ADMITS the material allegations of the complaint.
Exceptions:
(1) allegations of which the court will take judicial notice are not true
(2) legally impossible facts
(3) facts inadmissible in evidence
(4) facts which appear by record or document included in the pleadings to be unfounded
(5) matters of evidence
(6) surplusage and irrelevant matters
(7) scandalous matters
(8) averments contradicted by more specific averments
(9) conclusions or interpretations of law
(10) allegations of fact the falsity of which is subject to judicial notice (Tan vs. Director
of Forestry, 125 SCRA 302 [1982])
What is the issue in a motion to dismiss on the ground that the complaint states no
cause of action?
Admitting the allegations of the complaint, may the court render VALID JUDGMENT in
accordance with its prayer and the law?
NOTE:
a. The insufficiency of the cause of action must appear on the FACE OF THE COMPLAINT
to sustain a dismissal on that ground.
b. No extraneous matter may be considered nor facts alleged which would require
evidence and therefore, must be raised as defenses and await the trial.
The Claim or Demand Has Been Paid, Waived, Abandoned, or Otherwise Extinguished.
Under Art. 1231 of the Civil Code, obligations are extinguished:
(1) by payment or performance;
(2) by the loss of the thing due;
(3) by the condonation or remission of the debt;
(4) by the confusion or merger of rights of debtor and creditor;
(5) by compensation; and
(6) by novation
Obligations may also be extinguished by annulment, rescission, fulfillment of a resolutory
condition and prescription.
The Claim is Unenforceable Under the Statute of Frauds
The statute of frauds is governed by Art. 1403 (2) of the Civil Code, which provides that
a. certain contracts therein enumerated, unless IN WRITING and SUBSCRIBED by the
party charged or by his agent,
b. are UNENFORCEABLE and EVIDENCE on the agreement CANNOT BE RECEIVED
without the writing or secondary evidence of its contents.
NOTES:
a. Where applied: The statute of frauds applies only to EXECUTORY CONTRACTS and in
actions for their SPECIFIC PERFORMANCE, not to those which have been totally or
partially performed. Performance, which must be proved, takes the contract out of the
operation of the principle (Tankiko vs. Cesar, 302 SCRA 559 [1999])
b. Purpose: To prevent fraud and perjury in the enforcement of obligations depending
for their evidence on the unassisted memory of witnesses by requiring certain contracts
and transactions to be in writing (Claudel vs. CA, 119 SCRA 113 [1999]).
A Condition Precedent For Filing The Claim Has Not Been Complied With
Where a condition precedent for filing the claim in court has not been complied with, the cause
of action has not accrued.
A complaint may be dismissed for FAILURE TO STATE A CAUSE OF ACTION if:
a. the case is between or among members of the SAME FAMILY and there is no
allegation that earnest efforts towards a COMPROMISE has been exerted, or
b. the claim is referable to the Katarungang Pambarangay and prior recourse to
barangay CONCILIATION has not been made, or
c. the case involves a matter which the law requires that there be EXHAUSTION of
ADMINISTRATIVE REMEDIES before a litigant is allowed to resort to court for reliefs,
except where the complaint alleges facts which bring the case under any of the
exceptions thereto (Sunville Timber Products, Inc. vs. Abad, 206 SCRA 582 [1992]).
b. Resolution of Motion
Rule 16, Sec. 3. After the hearing, the court may
1) dismiss the action or claim,
2) deny the motion, or
3) order the amendment of the pleading.
The court shall not defer the resolution of the motion for the reason that the ground relied upon
is not indubitable.
In every case, the resolution shall state clearly and distinctly the reasons therefor.
c. Remedies of plaintiff when the complaint is dismissed
a. APPEAL the order granting the motion or
b. REFILE the complaint, except where grounds for dismissal are:
(1) that the cause of action is barred by prior judgment [res judicata]
(2) that the cause of action is barred by the statute of limitations [prescription]
(3) that the claim or demand has been paid, waived, abandoned or otherwise
extinguished [extinguishment]
(4) that the claim is unenforceable under the statute of frauds [statute of
frauds] [RPES] (Rule 16, Sec. 5)
d. Remedies of the defendant when the motion is denied
a. File his ANSWER (within the balance of the 15-day period to which he was entitled at
the time of serving the motion, but not less than 5 days in any event, computed from
his receipt of the order of denial – Rule 16, Sec. 4) and proceed with the hearing before
the trial court.
b. if the decision is adverse, APPEAL therefrom. The denial of the motion to dismiss
being interlocutory, cannot be questioned by certiorari; it cannot be the subject of
appeal until judgment is rendered (Casil vs. CA, January 28, 1998).
c. Exception: where the court denying the motion acts without or in excess of
jurisdiction or with grave abuse of discretion, the defendant may question the denial by
petition for CERTIORARI under Rule 65. Reason: it would be unfair to require the
defendant to undergo the ordeal and expense of trial under such circumstances because
the remedy of appeal then would not be plain and adequate (Drilon vs. CA, March 20,
1997).
e. Effect of dismissal of complaint on certain grounds
Rule 16, Sec. 5. Effect of dismissal.
Subject to the right of appeal, an order granting a motion to dismiss based on paragraphs (f) ,
(h) and (i) of section 1 hereof shall BAR the refiling of the same action or claim. These are:
(1) that the cause of action is barred by prior judgment [res judicata]
(2) that the cause of action is barred by the statute of limitations [prescription]
(3) that the claim or demand has been paid, waived, abandoned or otherwise
extinguished [extinguishment]
(4) that the claim is unenforceable under the statute of frauds [statute of frauds]
[RPES] (Rule 16, Sec. 5)
f. When grounds pleaded as affirmative defenses
Rule 16, Sec. 6. Pleading grounds as affirmative defenses.
If no motion to dismiss has been filed, any of the grounds for dismissal provided for in this Rule
may be pleaded as an affirmative defense in the answer and, in the discretion of the
court, a preliminary hearing may be had thereon as if a motion to dismiss had been filed.
The dismissal of the complaint under this section shall be without prejudice to the prosecution in
the same or separate action of a counterclaim pleaded in the answer.
g. Bar by dismissal
See e above
h. Distinguished from demurrer to evidence under Rule 33:
After the plaintiff has completed the presentation of his evidence, the defendant may move for
dismissal on the ground that upon the facts and the law the plaintiff has shown noright to relief.
If his motion is DENIED, he shall have the right to present evidence. If the motion is GRANTED
but on appeal the order of dismissal is reversed, he shall be deemed to have WAIVED the right
to present evidence. (Rules of Court, Rule 33, Sec. 1.)
A demurrer to evidence is differentiated from a motion to dismiss in that the former can be
availed of only after the presentation of plaintiff’s evidence while the latter is instituted as a
general rule before a responsive pleading is filed.
Distinction between motion to dismiss for failure to state a cause of action and to
dismiss based on lack of cause of action.
The first is raised in a motion to dismiss under Rule 16, Sec. 1 (g) before a responsive pleading
is filed and can be determined only from the ALLEGATIONS of the pleading and not from
evidentiary matters. The second is raised in a demurrer to evidence under Rule 33 after the
plaintiff has rested his case and can be resolved only on the basis of the EVIDENCE he has
presented in support of his claim(The Manila Banking Corp. vs. University of Baguio, Inc. , G.R.
No. 159189, February 21, 2007)
When the motion for a demurrer to evidence is granted, the judgment of the court is considered
on the merits and so it has to comply with Rule 36, Section 1, regarding the requirement that
judgment should clearly and distinctly state the facts and the law on which it is based. If the
motion is denied, the order is merely interlocutory. (Nepomuceno vs. Commission on Elections,
G.R. No. 60601, December 29, 1983, 126 SCRA 472.)
BAR QUESTION (1992) :
Is a motion to dismiss with counterclaim sanctioned by the Rules of Court?
a. If your answer is YES state your reasons.
b. If your answer is NO, give your reasons and state what the defendant should
instead file in court to preserve his counterclaim while maintaining the ground
asserted in his motion to dismiss as an issue that should be the subject of a
preliminary hearing,
ANSWER: No, because a counterclaim is contained in an answer and not in a motion to dismiss.
What the defendant should do is to plead the ground of his motion to dismiss as an affirmative
defense in his answer, together with his counterclaim, and ask for a preliminary hearing on his
affirmative defense as if a motion to dismiss has been filed. In the discretion of the court, a
preliminary hearing may be had thereon as if a motion to dismiss has been filed.
The dismissal of the complaint after preliminary hearing shall be without prejudice to the
prosecution in the same or separate action of a counterclaim pleaded in the answer ( Rule
16, Sec. 6).
NOTE: The counterclaim mentioned here apparently refers to a PERMISSIVE counterclaim, as it
allows its prosecution in the same or separate action. Only a permissive counterclaim, and not
a compulsory counterclaim, may be separately or independently prosecuted.
H. Dismissal of Actions
1. Dismissal upon notice by plaintiff; Two-dismissal rule
1. NOTICE OF DISMISSAL OF COMPLAINT
A complaint may be dismissed by the plaintiff by filing a notice of dismissal at any time before
service of the answer or of a motion for summary judgment. (Rule 17, Sec. 1).
General rule: the dismissal of the complaint under this rule is WITHOUT PREJUDICE.
Exceptions:
a. where the notice of dismissal so provides;
b. where the plaintiff has previously dismissed the same case in a court of competent
jurisdiction;
c. even where the notice of dismissal does not provide that it is with prejudice but it is
premised on the fact of payment by the defendant of the claims involved. For the notice
of dismissal to be effective, there must be an order confirming the dismissal.
2. Dismissal upon motion by plaintiff; effect on existing counterclaim
Rule 17, Sec. 2. Dismissal upon motion of plaintiff.
Except as provided in the preceding section, a complaint shall not be dismissed at the plaintiff's
instance save upon approval of the court and upon such terms and conditions as the court
deems proper. If a counterclaim has been pleaded by a defendant prior to the service upon him
of the plaintiff's motion for dismissal, the dismissal shall be limited to the complaint. The
dismissal shall be without prejudice to the right of the defendant to prosecute his counterclaim in
a separate action unless within fifteen (15) days from notice of the motion he manifests his
preference to have his counterclaim resolved in the same action. Unless otherwise specified in
the order, adismissal under this paragraph shall be without prejudice. A class suit shall not be
dismissed or compromised without the approval of the court.
3. Dismissal due to the fault of plaintiff
Rule 17, Sec. 3. Dismissal due to fault of plaintiff.
If, for no justifiable cause, the plaintiff fails to appear on the date of the presentation of his
evidence in chief on the complaint, or to prosecute his action for an unreasonable length of time,
or to comply with these Rules or any order of the court, the complaint may be dismissed upon
motion of the defendant or upon the court's own motion, without prejudice to the right of the
defendant to prosecute his counterclaim in the same or in a separate action. This dismissal shall
have the effect of an ADJUDICATION UPON THE MERITS,unlessotherwise declared by the court.
4. Dismissal of counterclaim, cross-claim or third-party complaint
Rule 17, Sec. 4. Dismissal of counterclaim, cross-claim, or third-party complaint.
The provisions of this Rule shall apply to the dismissal of any counterclaim, cross-claim, or third-
party complaint. A voluntary dismissal by the claimant by notice as in section 1 of this Rule, shall
be made before a responsive pleading or a motion for summary judgment is served or, if there is
none, before the introduction of evidence at the trial or hearing.
DISMISSALS
What dismissals are WITH prejudice?
a. Dismissal upon mere NOTICE without order of the court when filed by a party who
was once dismissed in a competent court an action based on or including the same claim
(Rule 17, Sec. 1).
b. Dismissal by order of the court upon a party’s MOTION which specifiesthat the same
shall be with prejudice to the filing of a subsequent action based on or including the
same claim (Rule 17, Sec. 2).
c. Dismissal upon motion of a defendant or on the court’s motion upon plaintiff’s
FAILURE TO PROSECUTE his claim (Rule 17, Sec. 3).
d. Dismissal as a result of plaintiff’s FAILURE TO APPEAR during the pre-trial,
unless otherwise ordered by the court (Rule 18, Sec. 5).
What dismissals are WITHOUT prejudice?
a. Dismissal for the first time by plaintiff upon mere NOTICE without order of the court
(Rule 17, Sec. 1).
b. Dismissal by order of the court upon plaintiff’s own MOTION (Rule 17, Sec. 2).
c. Dismissal upon motion of defendant or upon the court’s own motion upon FAILURE TO
PROSECUTE by plaintiff and the court SPECIFIES that the same shall be without
prejudice (Rule 17, Sec. 3).
When is an action dismissed for failure to prosecute?
a. If the plaintiff fails to appear at the time of trial;
b. If he fails to prosecute his action for an unreasonable length of time;
c. If he fails to comply with the Rules of Court or any order of the court (Rule 17, Sec. 3)
NOTE:
Effect of dismissal for failure to prosecute- Once a case is dismissed for failure to
prosecute, this has the effect of an ADJUDICATION ON THE MERITS and is understood to be
WITH PREJUDICE to the filing of another action unless otherwiseprovided for in the order of
dismissal (De Knecht vs. CA, May 20, 1998).
Dismissal for failure to prosecute is an adjudication on the merits. Therefore, such dismissal
should be challenged by APPEAL within the reglementary period. (3A Apparel Corporation vs.
Metropolitan Bank and Trust Co. , G.R. No. 186175, Aug. 25, 2010)
I. Pre-trial
1. Concept of pre-trial
Pre-trial is a procedural device by which the Court is called upon after the filing of the last
pleading to compel the parties and their lawyers to appear before it, and negotiate an amicable
settlement or otherwise make a formal statement and embody in a single document the issues
of fact and law involved in the action, and such other matters as may aid in the prompt
disposition of the action, such as the number of witnesses the parties intend to present, the
tenor or character of their testimonies, their documentary evidence, the nature and purpose of
each of them and the number of trial dates that each will need to put on his case. One of the
objectives of pre-trial procedure is to take the trial of cases out of the realm of surprise and
maneuvering. (Permanent Concrete Products, Inc. vs. Teodoro, G.R. No. 29776, November 29,
1968, 26 SCRA 332)
Pre-trial also lays down the foundation and structural framework of another concept, that is, the
continuous trial system. (Circular No. 1-89, Administrative Circular No. 4, September 4, 1988)
Pre-trial is mandatory but not jurisdictional. (Martinez vs. de la Merced, G.R. No. 82309, June
20, 1989, 174 SCRA 18)
Note: Section 4, Rule 18 imposes the duty on litigating parties and their respective counsel to
appear during pre-trial. The provision also provides for the instances where the non-appearance
of a party may be excused. Nothing, however, in Section 4 provides for a sanction should the
parties or their respective counsel be absent during pre-trial. Instead, the penalty is provided for
in Section 5. Notably, what Section 5 penalizes is the failure to appear of either the plaintiff or
the defendant, and not their respective counsel (Paredes vs. Verano, G.R. No. 164375, October
12, 2006). )
2. Nature and purpose
What is the nature of pre-trial?
It is mandatory (Rule 18, Sec. 2) .
Note:Pre-trial is mandatory in civil cases. In criminal cases, it is mandatory in cases cognizable
by the following:
1. Sandiganbayan
2. RTC
3. MeTC, MTCC, MTC, MCTC
It is also mandatory in both criminal and civil cases under the Rule on Summary Procedure. The
Court’s authority is confined to a mere determination of the propriety of rendering a judgment
on the pleadings or a summary judgment
What are the purposes of pre-trial?
The court shall consider the following purposes:
1. Possibility of an amicable settlement or of a submission to alternative modes of
dispute resolution;
2. Simplification of the issues;
3. Necessity or desirability of amendments to the pleadings;
4. Possibility of obtaining stipulations or admissions of facts and of documents to avoid
unnecessary proof;
5. Limitation of the number of witnesses;
6. Advisability of a preliminary reference of issues to a commissioner;
7. Propriety of rendering judgment on the pleadings, or summary judgment, or of
dismissing the action should a valid ground therefore be found to exist;
8. Advisability or necessity of suspending the proceedings; and
9. Such other matters as may aid in the prompt disposition of the action(Rule 18, Sec.
2).
3. Notice of pre-trial
Rule 18, Sec. 3. Notice of pre-trial.
The notice of pre-trial shall be served on counsel, or on the party who has no counsel. The
counsel served with such notice is charged with the duty of notifying the party represented by
him.
On whom must notice of pre-trial be served? (Rule 18, Sec. 3)
a. On counsel – who is charged with the duty of notifying his client, or
b. On the party who has no counsel
Plaintiff required to move that the case be set for pre-trial
Under Rule 18, Sec. 1, after the last pleading has been served and filed, the plaintiff has the
duty to promptly move ex parte that the case be set for pre-trial. If he does not file such motion
within a reasonable period, the court may dismiss the case for his failure to prosecute pursuant
to Rule 17, Sec. 3 (failure to prosecute his action for an unreasonable length of time).
This has been superseded by A.M. No. 03-1-09-SC (Rule on Guidelines to be Observed by Trial
Court Judges and Clerks of Court in the Conduct of Pre-Trial and Use of Deposition-Discovery
Measures) which took effect on August 29, 2006..
Under I.A.1.2 – Within 5 days after filing of the reply, the plaintiff must promptly move ex parte
that the case by set for pre-trial conference. If the plaintiff fails to file such motion within
the given period, the Branch Clerk of Court SHALL ISSUE A NOTICE OF PRE-TRIAL.
Binding effect of admissions or stipulations
Admissions or stipulations made during the pre-trial and stated in the pre-trial order are
BINDING upon the party making the admissions (Alano vs. CA, 383 SCRA 269 [1997]).
4. Appearance of parties; effect of failure to appear
Parties and their counsel BOTH have the duty to appear at pre-trial
Non-appearance may be excused only if:
1. A valid cause is shown; or
2. A representative appears fully authorized in writing a) to enter into an amicable
settlement, b) to submit to alternative modes of dispute resolution and c) to enter into
stipulations or admissions of facts and of documents. (Rule 18, Sec. 4)
The authorization in writing must be in the form of a SPECIAL POWER OF ATTORNEY.
What is the effect of failure of the parties to appear at the pre-trial?
1. If the plaintiff fails to appear - the action shall be dismissed with prejudice, unless
otherwise ordered by the court (Rule 18, Sec. 5, 1 st and 2nd sentences).
2. If the defendant fails to appear – plaintiff shall be allowed to present his evidence ex
parte and the court shall render judgment on the basis thereof (Rule 18, Sec. 5,
3rd sentence).
5. Pre-trial brief
The pre-trial brief(to be filed at least three days before the pre-trial) shall contain the
following:
1. Statement of the parties’ willingness to enter into amicable settlement or alternative
modes of dispute resolution, indicating the desired terms
2. A summary of admitted facts and proposed stipulation of facts
3. Issues to be tried or resolved
4. Documents or exhibits to be presented, stating the purpose thereof (No evidence shall
be allowed to be presented and offered during the trial in support of a party's evidence-
in-chief other than those that had been earlier identified and pre-marked during the pre-
trial, except if allowed by the court for good cause shown (A.M. No. 03-1-09-SC)
5. A manifestation of their having availed OR their intention to avail themselves of
discovery procedures or referral to commissioners;
6. The number and names of witnesses and the substance of their testimonies(Rule 18,
Sec. 6)
Parties are bound by the representations and statements in their respective pre-trial briefs as
such are in the nature of judicial admissions.
What is the effect of failure to file a pre-trial brief?
Same effect as failure to appear at the pre-trial (Rule 18, Sec. 6).
As to plaintiff -- his complaint may be dismissed or he is non-suited.
As to defendant -– he may be considered as in default, and plaintiff may be authorized to
present evidence ex parte against him. (Rule 18, Sec. 5)
Distinction between pre-trial in civil case and pre-trial in criminal case
Civil Case Criminal Case
1. it is ordered by the court and no motion to
1. it is set when the plaintiff moves ex parte to set
set the case for pre-trial is required from
the case for pre-trial.
either the prosecution or the defense.
2. the pre-trial is ordered by the court after
2. the motion to set case for pre-trial is made arraignment and within 30 days from the
after the last pleading has been served and filed. date the court acquires jurisdiction over the
person of the accused.
3. does not include the considering of the
3. considers the possibility of an amicable
possibility of amicable settlement of criminal
settlement as an important objective.
liability as one of its purposes.
4. the agreements and admissions made in the 4. there is a stricter procedure required. All
pretrial are not required to be signed by both the agreements or admissions made or entered
parties and their counsels. They are to be
contained in the record of pre-trial and the pre-
trial order. However, A.M. No. 03-1-09 SC dated during the pretrial conference shall be
July 13, 2004 now requires the proceedings during reduced in writing and signed by both the
the preliminary conference to be recorded in the accused and counsel, otherwise, they cannot
“Minutes of Preliminary Conference” to be signed be used against the accused.
by both parties and/or counsel. The rule allows
either the party or his counsel to sign the minutes.
5. the sanction for non-appearance in a pre-trial
5. the sanction are imposed upon the counsel
are imposed upon the plaintiff and the defendant
for the accused or the prosecutor.
in a civil case.
6. pre-trial brief is not required to be
submitted.
6. a pre-trial brief is required to be submitted
(Civil Procedure, A Restatement of the Bar,
Willard B. Riano, 2009 Edition pp. 373-374)
Pre-Trial Order
The order of the court is issued upon the termination of the pre-trial.
The order shall contain
1. The matters taken up in the conference;
2. The action taken thereon;
3. The amendments allowed to the pleadings; and
4. The agreements or admissions made by the parties.
The pre-trial order shall define and limit the issues to be tried and shall control the subsequent
course of the action except if it is modified before trial to prevent manifest injustice (Rule 18,
Sec.7)
7. Alternative Dispute Resolution (ADR)
A.M. No. 01-10-5-SC-PHILJA, 0ctober 16, 2001
Coverage:
1. All civil cases, settlement of estates, and cases covered by the Rule on Summary
Procedure, except those which by law may not be compromised;
2. Cases cognizable by the Lupong Tagapamayapa under the Katarungang Pambarangay
Law;
3. The civil aspect of BP 22 cases; and
4. The civil aspect of quasi offenses under Title 14 of the Revised Penal Code
The trial court, after determining the possibility of an amicable settlement or of a submission to
alternative modes of dispute resolution, shall issue an Order 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 shall be personally given to the parties during the pre-trial. Copy of the Order
together with a copy of the Complaint and Answer/s, shall be furnished the PMC Unit within the
same date
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. The Mediator shall immediately
commence the mediation proceedings unless both parties agree to reset the mediation within
the next five (5) working days, without need of further notice.
The Mediator shall be considered as an officer of the court Lawyers may attend the mediation
proceedings and shall cooperate with the Mediator towards the amicable settlement of the
dispute
The period during which the case is undergoing mediation shall be excludedfrom the regular
and mandatory periods for trial and rendition of judgment in ordinary cases and in cases under
summary procedure.
The period for mediation shall not exceed (30) days, extendible for another 30 days, in order to
allow the parties sufficient time to reach a compromise agreement and put an end to litigation
In case of SUCCESSFUL settlement, the trial court shall immediately be informed and given (a)
the original Compromise Agreement entered into by the parties as basis for the rendition of a
judgment by compromise which may be enforced by execution or, (b) a withdrawal of the
Complaint or, (c) a satisfaction of the claim.
If the mediation is NOT SUCCESSFUL, the Mediator shall issue a “Certificate of Failed Mediation”
for the purpose of returning the case for further judicial proceeding
Since mediation is part of Pre-Trial, the trial court shall impose the appropriate sanction
including but not limited to censure, reprimand, contempt and such sanctions as are provided
under the Rules of Court for failure to appear for pre-trial, in case any or both of the parties
absent himself/themselves, or for abusive conduct during mediation proceedings
J. Intervention
INTERVENTION –is a legal proceeding by which a person who is NOT a party to the action is
permitted by the court to become a party by intervening in a pending action after meeting the
conditions and requirement set by the Rules of Court.
1. Requisites for intervention
Requisites For Intervention (Rule 19, Sec. 1)
1. There must be a motion for intervention filed BEFORE rendition of judgment.
2. Movant must show in his motion that
a. he has legal interest in the matter in litigation, in the success of either of the parties
in the action, or against both parties.
b. he is situated as to be adversely affected by a distribution or other disposition of
property in the custody of the court
3. Intervention must not unduly delay or prejudice the adjudication of the rights of
the original parties.
4. Intervenor’s rights may not be fully protected in a separate proceeding.
LEGAL INTEREST– one that is actual and material, direct and of an immediate character, not
merely contingent or expectant.
Intervention is NOT an absolute right (nor is it compulsory or mandatory) , as it is within the
court’s discretion to grant the same.
Intervention is an ancillary and supplemental proceeding to an existing litigation. Thus, the final
dismissal of the principal action results in the denial for the motion to intervene.
2. Time to intervene (Rule 19, Sec. 2)
Motion for intervention may only be filed BEFORE judgment is rendered by the trial court.
In the present case, the motions for intervention were filed after judgment had already been
rendered, indeed when the case was already final and executory. Certainly, intervention can
no longer be allowed in a case already terminated by final judgment.
Intervention is merely collateral or accessory or ancillary to the principal action, and not an
independent proceeding; it is an interlocutory proceeding dependent on or subsidiary to the case
between the original parties. Where the main action ceases to exist, there is no pending
proceeding wherein the intervention may be based. (Looyuko vs. Court of Appeals,G.R.
No. 102696, July 12, 2001)
However, in some cases, the Supreme Court has allowed intervention after judgment, and in one
case even after the judgment had become final and executory, to “serve the ends of justice and
equity. ” (Office of the Ombudsman vs. Miedes, Sr. , G.R. No. 176409, February 27, 2008)
3. Remedy for the denial of motion to intervene
The remedy of the aggrieved party is APPEAL The allowance or disallowance of a motion to
intervene is addressed to the sound discretion of the court hearing the case. This discretion,
once exercised, is not reviewable bycertiorariormandamussave in instances where such
discretion is exercised in an arbitrary or capricious manner. (Gallego vs. Galang, G.R. No.
130228, July 27, 2004)
K. Subpoena
1. Subpoena duces tecum
Rule 21, Section 1. Subpoena and subpoena duces tecum.
Subpoenais a process directed to a person requiring him to attend and to testify at the hearing
or the trial of an action, or at any investigation conducted by competent authority, or for the
taking of his deposition. It may also require him to bring with him any books, documents, or
other things under his control, in which case it is called a subpoena ducestecum.
2. Subpoena ad testificandum
A process directed to a person requiring him to attend and to testify at the hearing or the trial
of an action, or at any investigation conducted by competent authority, or for the taking of his
deposition. (Rule 21, Section 1)
Who issues subpoena?
1. The court before whom the witness is required to attend;
2. The court of the place where the deposition is to be taken;
3. The officer or body authorized by law to do so in connection with investigations
conducted by said officer or body; or
4. Any Justice of the SC or of the CA in any case or investigation pending within the
Philippines (Rule 21, Sec. 2)
What are the contents of subpoena?
It shall state the name of the court and the title of the action or investigation, shall be directed
to the person whose attendance is required, and in the case of a subpoena duces tecum, it shall
also contain a reasonable description of the books, documents or things demanded which must
appear to the courtprima facie relevant (Rule 21, Sec. 3)
3. Service of subpoena
Rule 21, Sec. 6. Service.
Service of a subpoena shall be made in the same manner as personal or substituted service of
summons. The original shall be exhibited and a copy thereof delivered to the person on whom it
is served, tendering to him thefees for one day’s attendance and the kilometrage allowed by
these Rules, except that, when a subpoena is issued by or on behalf of the Republic of the
Philippines or an officer or agency thereof, the tender need not be made. The service must be
made so as to allow the witness a reasonable time for preparation and travel to the place of
attendance. If the subpoena is duces tecum, the reasonable cost of producing the books,
documents or things demanded shall also be tendered.
4. Compelling attendance of witnesses; Contempt
Rule 21, Sec. 8. Compelling attendance.
In case of failure of a witness to attend, the court or judge issuing the subpoena, upon proof of
the service thereof and of the failure of the witness, may issue a warrant to the sheriff of the
province, or his deputy, to arrest the witness and bring him before the court or officer where his
attendance is required, and the cost of such warrant and seizure of such witness shall be paid by
the witness if the court issuing it shall determine that his failure to answer the subpoena was
willful and without just excuse.
Rule 21, Sec. 9. Contempt.
Failure by any person without adequate cause to obey a subpoena served upon him shall be
deemed a contempt of the court from which the subpoena is issued. If the subpoena was not
issued by a court, the disobedience thereto shall be punished in accordance with the applicable
law or Rule.
5. Quashing of subpoena
Rule 21, Sec. 4. Quashing a subpoena.
The court may quash a subpoena duces tecum upon motion promptly made and, in any event, at
or before the time specified therein if it is unreasonable and oppressive, or the relevancy of the
books, documents or things does not appear, or if the person in whose behalf the subpoena is
issued fails to advance the reasonable cost of the production thereof.
The court may quash a subpoena ad testificandum on the ground that the witness is not
bound thereby. In either case, the subpoena may be quashed on the ground that the witness
fees and kilometrage allowed by these Rules were not tendered when the subpoena was served.
L. Modes of Discovery
What are the different modes of discovery?
1. Depositions pending action (Rule 23)
2. Depositions before action or pending appeal (Rule 24)
3. Interrogatories to parties (Rule 25)
4. Admission by adverse party (Rule 26)
5. Production or inspection of documents and things (Rule 27)
6. Physical and mental examination of persons (Rule 28)
What is the purpose of the modes of discovery?
The various modes or instruments of discovery are meant to serve as a (1) device, along with
pre-trial under Rule 118, to NARROW and CLARIFY the basic issues between the parties, and (2)
device for ASCERTAINING the facts relative to those issues. Purpose: to enable the parties,
consistent with recognized privileges, to obtain the fullest possible knowledge of the issues and
facts before civil trials and thus prevent that said trials be carried on in the dark.
What modes of discovery may be availed of without leave of court and generally
without court intervention?
a. depositions (whether by oral examination or written interrogatories) under Rule 24)
b. interrogatories to parties under Rule 25
c. requests for admission under Rule 26.
Under the Rules of Court, leave of court is not necessary to avail of said modes of
discovery after an answer to the complaint has been served. It is only when an answer has not
yet been filed (but after jurisdiction has been obtained over the defendant or property subject of
the action) that prior leave of court is needed, the reason being that at that time the issues are
not yet joined and the disputed facts are not clear.
What modes of discovery cannot be availed of without leave of court?
a. production or inspection of documents or things under Rule 27
b. physical and mental examination of persons under Rule 28, which may be granted
upon due application and showing of due cause.
1. Depositions pending action; Depositions before action or pending appeal
a. Meaning of deposition
What is deposition?
A deposition is the taking of the testimony of any person, whether he be a party or not, but at
the instance of a party to the action. This testimony is taken out of court. Deposition may be:
a. An oral examination
b. Written interrogatories (Rule 23, Sec 1,)
What is the dual function of deposition?
a. A method of discovery
Deposition is chiefly a mode of discovery. This purpose is evident from Section 2 of Rule 23 on
the broad scope of examination regarding any matter, not privileged, which is relevant to the
subject of the pending action, whether relating to the claim or defense of any other party, the
only requirement is that it be relevant and not privileged.
b. An alternative mode of testimony
Section 4 of Rule 23 on the use of deposition is clearly indicative of the use of deposition as an
alternative mode of testimony in view of distance, death or disability of the deponent.
When can depositions be availed of?
a. During a pending action (Rule 23) – deposition de benne esse
b. Before action or Pending appeal (Rule 24) – deposition in perpetuam rei memoriam
Before whom may depositions be taken?
1. If within the Philippines
a. Judge;
b. Notary public (Rule 23, Sec. 10,) ; or
c. Any person authorized to administer oaths, as stipulated by the parties in
writing (Rule 23, Sec. 14,) .
2. If outside the Philippines
a. On notice, before a secretary of embassy or legation, consul-general, consul,
vice-consul, or consular agent of the Philippines (Rule 23, Sec. 11,) ;
b. Before such person or officer as may be appointed by commission or letters
rogatory; or
c. Any person authorized to administer oaths, as stipulated by the parties in
writing (Rule 23, Sec. 14) ,
What is the requirement in taking deposition upon oral examination?
A party desiring to take the deposition of any person upon oral examination shall give
reasonable notice in writing to every other party to the action (Rule 23, Sec. 15)
What shall the notice state?
It shall state the time and place for taking the deposition and the name and address of each
person to be examined, if known, and if the name is not known, a general description
sufficientto identify him or the particular class or group to which he belongs (Rule 23, Sec. 15).
How is deposition upon written interrogatories done?
A party desiring to take the deposition of any person upon written interrogatories shall serve
them upon every other party with a notice stating the name and address of the person who is to
answer them and the name or descriptive title and address of the officer before whom the
deposition is to be taken. Within ten (10) days thereafter, a party so served may serve cross-
interrogatories upon the party proposing to take the deposition. Within five (5) days thereafter,
the latter may serve re-direct interrogatories upon a party who has served cross-interrogatories.
Within three (3) days after being served with re-direct interrogatories, a party may serve
recross-interrogatories upon the party proposing to take the deposition (Rule 23, Sec. 25).
Note: The duties of the officer under Secs. 17, 19, 20, 21 & 22 of Rule 23 shall also be followed
on deposition upon written interrogatories (Rule 23, Secs. 26 & 27).
Who may file a petition for deposition before action?
Any person who wants to perpetuate his own testimony or that of another person regarding any
matter that may be cognizable in any court of the Philippines (Rule 24, Sec. 1)
What are the contents of the motion for deposition pending appeal?
The motion shall state:
1. The names and addresses of the persons to be examined
2. The substance of the testimony which he expects to elicit from each
3. The reason for perpetuating their testimony (Sec. 7, Rule 24).
Note: If the court finds that the perpetuation of the testimony is proper to avoid a failure or
delay of justice, it may make an order allowing the depositions to be taken, and thereupon the
depositions may be taken and used in the same manner and under the same conditions as are
prescribed under Rule 23 (Rule 24, Sec. 7.
b. Uses; Scope of examination
Scope of Examination
May be any matter not privileged and which is relevant to the subject of the pending action,
including:
1. Claim or defense of any other party;
2. Existence, description, nature, custody, condition and location of any books,
documents, or other tangible things; and
3. Identity and location of persons having knowledge of relevant facts (Rule 23, Sec. 2)
Examination and cross-examination.
Examination and cross-examination of deponents may proceed as permitted at the trial under
sections 3 to 18 of Rule 132.
A deposition is not generally supposed to be a substitute for the actual testimony in open court
of a party or witness. If the witness is available to testify, he should be presented in court to
testify. If available to testify, a party’s or witness’ deposition is inadmissible in evidence for
being hearsay. The exceptions however to the inadmissibility of such deposition are provided for
in Rule 23, Section 4. (Rule 23, Sec. 3)
Effect of taking deposition
A party shall NOT be deemed to make a person his own witness for any purpose by taking his
deposition (Rule 23, Section 7) , EXCEPT when the deposition is introduced in evidence, then he
will be deemed to have made the deponent his witness (Rule 23 , Section 8).
The exception will NOT apply if the deposition used is that of an opposing party or the deposition
is used to impeach or contradict the deponent – Deponent still NOT a witness of the party taking
the deposition.
Use of depositions
Any part or all of the deposition, so far as admissible under the rules of evidence, may be used
1) Against any party who was presentor represented at the taking of the deposition; or
2) Against one who had due noticeof the deposition.
The deposition may be used for the following purposes:
1. BY ANY PARTY - For the purpose of contradicting or impeaching the testimony of
the deponent as witness
2. BY AN ADVERSE PARTY for any purpose – If the deponent is a partyor anyone
who was at the time of the deposition was an officer, director, or managing agent of a
public or private corporation, partnership or association which is a party, hisdeposition
can be used
3. BY ANY PARTY for any purpose - If the deponent is a witness, whether or not a
party to the case, if the court finds
a) That the witness is dead; or
b) That the witness resides at a distance more than one hundred (100)
kilometers from the place of trial or hearing, or is out of the Philippines (UNLESS
it appears that his absence was procured by the party offering the deposition) ;
or
c) That the witness is unable to attend or testify because of age, sickness,
infirmity or imprisonment; or
d) That the party offering the deposition has been unable to procure the
attendance of the witness by subpoena; or
e) Upon application and notice, that such exceptional circumstances exist as to
make it desirable, in the interest of justice to allow the deposition to be used.
(Rule 23, Sec. 4)
Note: If only part of a deposition is offered in evidence by a PARTY, the ADVERSE PARTY may
require him to introduce all of it which is relevant to the part introduced, and any party may
introduce any other parts.
c. When may objections to admissibility be made
Objections may be made at the trial or hearing to receive in evidenceany deposition or part
thereof.
Any reason which would require the exclusion of the evidence if the witness where then present
and testifying may be used as a reason for objection. (Rule 23, Sec. 6).
All objections made at the time of the examination to the qualifications of the officer taking the
deposition, manner of taking it, to evidence presented, conduct of any party and any other
objection to the proceedings shall be NOTED by the officer taking the deposition. He has NO
authority to rule on such objections. (Rule 23, Sec. 17)
When may the court make orders for the protection of parties and deponents?
After notice is served for taking a deposition by oral examination, upon motionseasonably made
by any party or by the person to be examined and for goodcause shown, the court in which the
action is pending may make orders for the protection of parties and deponents(Rule 23, Sec.
16,).
d. When may taking of deposition be terminated or its scope limited
1. Upon motion or petition of any party or of the deponent; and
2. Upon showing that the examination is being conducted in bad faith or in such manner
as unreasonably to annoy, embarrass or oppress the deponent or party,
3. The court may order the officer conducting the examination to cease forthwith from
taking the deposition, or may limit the scope and manner of the taking of the deposition,
as provided in Rule 23, Sec. 16. (Rule 23, Sec. 18).
This section refers to protection orders during examination either by the court in which
the action is pending or where the deposition is being taken. When the constitutional
privilege against self-incrimination is invoked by deponent or his counsel, the trial court may
stop the examination to protect the deponent’s constitutional right. Other grounds, such as bad
faith which unreasonably annoy, embarrass or harass deponent or party may likewise be
invoked.
2. Written interrogatories to adverse parties
Purpose and nature
Written interrogatories elicit material and relevant facts from any adverse party (Note:
answers may also be used as admissions of the adverse party). (Rule 25, Section 1)
Answer to interrogatories
The interrogatories shall be ANSWERED FULLY in writing and shall be signed and sworn to by the
person making them. Such answer shall be filed and served to the party submitting the
interrogatory within fifteen (15) daysfrom service of such interrogatories UNLESS the court on
motion and for good cause extends or shortens the time. (Rule 25, Sec. 2)
Objections to interrogatories
1. May be presented to the court within 10 days after service thereof, with notice as in
the case of motions.
2. Answers shall be deferred until objections are resolved, which shall be at the
earliest possible time. (Rule 25, Sec. 3)
3. Grounds for objections:
(a) They require the statements of conclusions of law or answers to hypothetical
questions or opinions, or mere hearsay, or matters not within the personal
knowledge of the interrogated party.
(b) Frivolous interrogatories need not be answered.
a. Consequences of refusal to answer
The court, on motion and notice may
1. Strike out all or any part of any pleading of that party; or
2. Dismiss the action or proceeding or any part thereof made if it was the PLAINTIFF
who refused to answer;
3. Enter judgment by default against the defendant, if it was the DEFENDANT who
refused to answer;
4. Order that party who refused to answer to pay reasonable expense incurred by the
other party and attorney’s fees (Rule 29, Section 5)
If a party refuses to answer the WHOLE written interrogatory, Rule 29, Section 5, shall apply.
However, where a party refuses only to answer a PARTICULAR question, Rule 29, Section 3 [c],
shall apply (the main difference being that in Section 3[c], there is no provision on payment of
reasonable expenses/penalty)
b. Effect of failure to serve written interrogatories
General Rule– A party not served with written interrogatories may NOT be compelled by the
adverse party to give testimony in open court, or to give a deposition pending appeal.
Exception– when allowed by the court for good cause and to prevent a failure of justice. (Rule
25, Sec. 6)
3. Request for Admission
Scope
a. Admission of the genuineness of any material and relevant document described in
and exhibited with the request;
b. Admission of the truth of any material and relevant matter of fact set forth in the
request;
c. A matter of fact not related to any documents may be presented to the other party for
admission or denial. (Rule 26, Sec. 1)
Objections to any request for admission shall be submitted to the court WITHIN the period for
and PRIOR to the filing of the sworn statement - Fifteen (15) days after service of request.
Compliance shall be deferred until such objections have been resolved by the court. (Rule
26, Sec. 2)
a. Implied admission by adverse party
(1) There is an IMPLIED ADMISSION of each of the matters of which an admission is
requested
(2) if the party to whom the request is made does NOT file and serve a sworn statement
EITHER a) denying specifically the matters of which an admission is requested OR b)
setting forth the reasons why he cannot either admit or deny those matters
(3) within fifteen (15) days after service thereof or with such further time as the
court may allow on motion
Objectionsto any request for admission shall be submitted to the court by the party requested
within the period for and prior to the filing of his sworn statement as contemplated in the
preceding paragraph (15 days).
His compliance therewith shall be deferred until such objections are resolved, which
resolution shall be made as early as practicable. (Rule 26 Sec. 2)
The request for admission must be SERVED directly upon the PARTY
REQUESTED. Otherwise, that party cannot be deemed to have admitted the genuineness of any
relevant matters of fact set forth therein on account of failure to answer the request for
admission. (Nestle Philippines, Inc. and Santos vs. Court of Appeals and Sps. Hemedez, G. R.
No. 102404, February 1, 2002) .
b. Consequences of failure to answer request for admission
See above.
c. Effect of admission
Any admission made pursuant to such request is for the purpose of thepending
action only and shall not constitute an admission by him for any other purpose.
The admission may NOT be used against the party who made it in any other proceeding. (Rule
26, Sec. 3)
d. Effect of failure to file and serve request for admission
The party who fails to request for admission of material and relevant facts which are or ought to
be within the personal knowledge of such party shall NOT be permitted to present evidence on
such facts UNLESS otherwise allowed by the court for good cause shown and to prevent failure
of justice. (Rule 26, Sec. 5).
4. Production or inspection of documents or things
UPON MOTION for good cause shown, the court may order any party (a) toproduce and permit
the inspection and copying of documents, papers, books, accounts, letters, photographs,
objects or tangible things or (b) topermit entry upon designated land or other property in his
possession or control for the purpose of inspecting, measuring, surveying or photographing the
property or designated relevant object or operation therein. (Rule 27, Sec. 1)
This is essentially a mode of discovery limited to the parties to the action. This is to be
differentiated from a subpoena duces tecum which is a means to compel the production of
evidence which may be directed to a person who may or may not be a party to the action.
For a document to be produced
1. It should not be privileged;
2. It should constitute or contain evidence material and relevant to any matter
involved in the action; and
3. It must be within the party’s possession, custody or control. (Rule 27, Sec. 1)
The production or inspection of documents or things as a mode of discovery sanctioned by the
Rules of Court may be availed of by any party upon a showing of good cause therefor before the
court in which an action is pending. The court may order any party: a) to produce and permit
the inspection and copying or photographing of any designated documents, papers, books,
accounts, letters, photographs, objects or tangible things, which are not privileged; which
constitute or contain evidence material to any matter involved in the action; and which are in
his possession, custody or control; or b) to permit entry upon designated land or other property
in his possession or control for the purpose of inspecting, measuring, surveying, or
photographing the property or any designated relevant object or operation thereon. (Air
Philippines Corporation vs. Pennswell, Inc. , G.R. No. 172835, December 13, 2007
This mode of discovery does not mean that the person who is required to produce the document
or the thing will be deprived of its possession even temporarily. It is enough that the requesting
party be given the opportunity toinspect or copy or photograph the document or take a look at
the thing.
5. Physical and mental examination of persons
When the mental or physical condition of a party is in controversy, the court, UPON MOTION FOR
GOOD CAUSE SHOWN and upon notice to the party to be examined and to all other parties, may
order the party to submit to a physical or mental examination by a physician. (Rule 28, Secs. 1
and 2)
Requisitesto obtain an Order for Examination:
1. A motion must be filed for the physical and mental examination;
2. The motion must show good cause for the examination;
3. Notice to the party to be examined and to all other parties;
4. The motion shall specify the time, place, manner, conditions andscope of the
examination and the person or persons by whom it is made.
5. There must be a pending action; and
6 A party’s mental or physical condition is in controversy.
Exs.
a. action involving physical injury
b. blood grouping test
c. annulment of marriage on the ground of impotency
d. guardianship over an incompetent or mentally retarded person
e. probate of a will by one claimed not to be in full possession of his or her mental
capacity
Since the results of the examination are intended to be made public, the same are not covered
by the physician-patient privilege (Sec 24(c) , Rule 130). Also, unlike the privilege, the
examination is not done to treat or cure the patient.
The party examined MAY request the party causing the examination to be made to deliver to him
a copy of a detailed report of the examining physician setting out his findings and conclusions
(Rule 28, Sec. 3).
Waiver of Privilege
By requesting and obtaining a report of the examination or by taking the deposition of
the examiner, the party examined WAIVES any privilege he may have in that action or any other
involving the same controversy regarding the testimony of every other person who has
examined or may thereafter examine him in respect of the same mental or physical examination
(Rule 28, Sec. 4).
6. Consequences of refusal to comply with modes of discovery
Consequences of Refusal(Rule 29)
Under Sec. 3 --
If any party REFUSES TO OBEY--
1. The order directing him to answer designated questions under Sec. 1 of Rule 29;
2. The order to produce any document or other thing for inspection, copying or
photographing or to permit it to be done under Rule 27; or
3. The order to submit to physical or mental examination under Rule 28, or
The court may issue any of the following orders:
a. Making the FACTS OR DOCUMENTS or MENTAL OR PHYSICAL CONDITION sought to
be discovered as ESTABLISHED for purposes of the action;
b. REFUSING to allow the disobedient party to support or oppose CLAIMS or DEFENSES
c. PROHIBITING the disobedient party from INTRODUCING in evidence designated
documents or items of testimony;
d. PROHIBITING the disobedient party from INTRODUCING evidence of physical or
mental condition;
e. STRIKING OUT all or any part of the pleading of the disobedient party;
f. STAYING further proceedings until order is obeyed;
g. DISMISSING the action or proceeding or any part thereof;
h. Rendering DEFAULT JUDGMENT against the disobedient party;
i. Directing the ARREST of the party concerned, except in a refusal to submit to a
physical or mental examination;
j. Directing PAYMENT of REASONABLE EXPENSES incurred by the other, including
attorney’s fees.
Under Sec. 5 --
If a party –
1. FAILS TO APPEAR before the officer who is to take his deposition;
2. FAILS TO SERVE ANSWERS to interrogatories submitted under Rule 25
The court may issue any of the following orders:
a. STRIKING OUT all or any part of the pleading of the disobedient party
b. DISMISSING the action or proceeding or any part thereof;
c. Rendering DEFAULT JUDGMENT against the disobedient party;
d. Directing PAYMENT of REASONABLE EXPENSES incurred by the other, including
attorney’s fees.
M. Trial
1. Adjournments and postponements
Rule 30, Sec. 2. Adjournments and postponements.
A court may adjourn a trial from day to day, and to any stated time, as the expeditious and
convenient transaction of business may require, but shall have no power to adjourn a trial for a
longer period than one month for each adjournment, nor more than three months in all, except
when authorized in writing by the Court Administrator, Supreme Court.
2. requisites of motion to postpone trial
a. for absence of evidence
Rule 30, Sec. 3. Requisites of motion to postpone trial for absence of evidence.
A motion to postpone a trial on the ground of absence of evidence can be granted only
upon affidavit showing the materiality or relevancy of such evidence, and that due diligence has
been used to procure it. But if the adverse party admits the facts to be given in evidence, even if
he objects or reserves the right to their admissibility, the trial shall NOT BE POSTPONED.
b. for illness of party or counsel
Rule 30, Sec. 4. Requisites of motion to postpone trial for illness of party or counsel.
A motion to postpone a trial on the ground of illness of a party or counsel may be granted if it
appears upon affidavit or sworn certification that the presence of such party or counsel at the
trial is indispensable and that the character of his illness is such as to render his non-attendance
excusable.
3. Agreed statement of facts
Rule 30, Sec. 6. Agreed statement of facts.
The parties to any action may agree, in writing, upon the facts involved in the litigation, and
submit the case for judgment on the facts agreed upon, without the introduction of evidence.
If the parties agree only on some of the facts in issue, the trial shall be held as to the disputed
facts in such order as the court shall prescribe.
4. Order of trial; reversal of order
Rule 30 Sec. 5. Order of trial.
Subject to the provisions of Section 2 of Rule 31, and unless the court for special reasons
otherwise directs, the trial shall be limited to the issues stated in the pre-trial order and shall
proceed as follows:
(a) The plaintiff shall adduce evidence in support of his complaint;
(b) The defendant shall then adduce evidence in support of his defense, counterclaim,
cross-claim and third-party complaint;
(c) The third-party defendant, if any, shall adduce evidence of his defense, counterclaim,
cross-claim and fourth-party complaint;
(d) The fourth-party, and so forth, if any, shall adduce evidence of the material facts
pleaded by them;
(e) The parties against whom any counterclaim or cross-claim has been pleaded, shall
adduce evidence in support of their defense, in the order to be prescribed by the court;
(f) The parties may then respectively adduce rebutting evidence only, unless the court,
for good reasons and in the furtherance of justice, permits them to adduce evidence
upon their original case; and
(g) Upon admission of the evidence, the case shall be deemed SUBMITTED FOR
DECISION, unless the court directs the parties to argue or to submit their respective
memoranda or any further pleadings.
If several defendants or third-party defendants, and so forth, having separate defenses appear
by different counsel, the court shall determine the relativeorder of presentation of their
evidence.
When is a reverse order of trial allowed?
Where the defendant, in his answer, relies upon an affirmative defense, a reverse order of trial
shall take place. Since the defendant admits the plaintiff’s claim but seeks to avoid liability based
on his affirmative defense he shall proceed first to prove his exemption.
5. Consolidation or Severance of hearing or trial
Rule 31, Section 1. Consolidation.
When actions involving a common question of law or fact are pending before the court, it may
order a joint hearing or trial of any or all the matters in issue in the actions; it may order all the
actions consolidated; and it may make such orders concerning proceedings therein as may tend
to avoid unnecessary costs or delay.
Rule 31, Sec. 2. Separate trials.
The court, in furtherance of convenience or to avoid prejudice, may order aseparate trial of any
claim, cross-claim, counterclaim, or third-party complaint, or of any separate issue or of any
number of claims, cross-claims, counterclaims, third-party complaints or issues.
6. Delegation of reception of evidence
Rule 30, Sec. 9. Judge to receive evidence; delegation to clerk of court.
The judge of the court where the case is pending shall personally receive the evidence to be
adduced by the parties. However, in default or ex parte hearings, and in any case where
the parties agree in writing, the court maydelegate the reception of evidence to its clerk of court
who is a member of the bar. The clerk of court shall have no power to rule on objections to any
question or to the admission of exhibits, which objections shall be resolved by the court upon
submission of his report and the transcripts within ten (10) days from termination of the
hearing.
7. Trial by commissioners
a. Reference by consent or ordered on motion
Rule 32, Section 1. Reference by consent.
By written consent of both parties, the court may order any or all of the issues in a case to be
referred to a commissioner to be agreed upon by the parties or to be appointed by the court. As
used in these Rules, the word "commissioner" includes a referee, an auditor and an examiner.
Rule 32, Sec. 2. Reference ordered on motion.
When the parties do not consent, the court may, upon the application of eitheror of its own
motion, direct a reference to a commissioner in the following cases:
(a) When the trial of an issue of fact requires the examination of a long account on
either side, in which case the commissioner may be directed to hear and report upon the
whole issue or any specific question involved therein;
(b) When the taking of an account is necessary for the information of the court before
judgment, or for carrying a judgment or order into effect;
(c) When a question of fact, other than upon the pleadings, arises upon motion or
otherwise, in any stage of a case, or for carrying a judgment or order into effect.
b. Powers of the commissioner
Rule 32, Sec. 3. Order of reference; powers of the commissioner.
When a reference is made, the clerk shall forthwith furnish the commissioner with a copy of the
order of reference. The order may specify or limit the powers of the commissioner, and may
direct him to report only upon particular issues, or to do or perform particular acts, or to receive
and report evidence only, and may fix the date for beginning and closing the hearings and for
the filing of his report. Subject to the specifications and limitations stated in the order, the
commissioner has and shall exercise the power to regulate the proceedings in every hearing
before him and to do all acts and take all measures necessary or proper for the efficient
performance of his duties under the order. He may issue subpoenas and subpoenas duces
tecum, swear witnesses, and unless otherwise provided in the order of reference, he may rule
upon the admissibility of evidence. The trial or hearing before him shall proceed in all respects as
it would if held before the court.
c. Commissioner’s report; notice to parties and hearing on the report
Rule 32, Sec. 9. Report of commissioner.
Upon the completion of the trial or hearing or proceeding before the commissioner, he shall file
with the court his report in writing upon the matters submitted to him by the order of reference.
When his powers are not specified or limited, he shall set forth his findings of fact and
conclusions of law in his report. He shall attach thereto all exhibits, affidavits, depositions,
papers and the transcript, if any, of the testimonial evidence presented before him.
Rule 32, Sec. 10. Notice to parties of the filing of report.
Upon the filing of the report, the parties shall be notified by the clerk, and they shall be
allowed ten (l0) days within which to signify grounds of objections to the findings of the report, if
they so desire. Objections to the report based upon grounds which were available to the parties
during the proceedings before the commissioner, other than objections to the findings and
conclusions therein set forth, shall not be considered by the court unless they were made before
the commissioner.
Rule 32, Sec. 11. Hearing upon report.
Upon the expiration of the period of ten (l0) days referred to in the preceding section, the report
shall be set for hearing, after which the court shall issue an order adopting, modifying,
or rejecting the report in whole or in part, or recommitting it with instructions, or requiring the
parties to present further evidence before the commissioner or the court.
N. Demurrer to Evidence
1. Ground
Rule 33, Section 1. Demurrer to evidence.
After the plaintiff has completed the presentation of his evidence, the defendant may move for
dismissal on the ground that upon the facts and the law the plaintiff has shown no right to relief.
If his motion is denied, he shall have the right to present evidence.
2. Effect of denial
If his motion is denied, he shall have the right to present evidence.
3. Effect of grant
If the motion is granted but on appeal the order of dismissal is reversed he shall be deemed to
have waived the right to present evidence.
4. Waiver of right to present evidence
If the motion is granted but on appeal the order of dismissal is reversed he shall be deemed to
have waived the right to present evidence.
5. Demurrer to evidence in a civil case versus demurrer to evidence in a criminal case
Civil Case Criminal Case
- defendant does not waive his right to - if the court denies the motion to
offer evidence in the event his motion is dismiss, the accused may adduce
denied evidence in is defense provided there
- If the motion is granted but on appeal was leave of court in filing the motion.
the order of dismissal is reversed he When the accused files such motion to
shall be deemed to have waived the dismiss without express leave of court,
right to present evidence he waives the right to present evidence
-in case of reversal, the appellate court and submits the case for judgment on
shall render judgment for the plaintiff the basis of the evidence of the
based on his evidence alone. (Rule 33, prosecution. (Section 15, Rule 19)
Sec. 1)
[1] Sec. 33. Jurisdiction of Metropolitan Trial Courts, Municipal Trial Courts and Municipal
Circuit Trial Courts in civil cases. - Metropolitan Trial Courts, Municipal Trial Courts, and
Municipal Trial Courts, and Municipal Circuit Trial Courts shall exercise:
xxx
(3) Exclusive original jurisdiction in all civil
actions which involve title to, or possession of
real property, orany interest therein where the
assessed value of the property or interest therein
does not exceed Twenty thousand pesos
(P20,000.00) or in civil actions in Metro Manila,
where such assessed value- does not exceed Fifty
thousand pesos ( P50,000.00) exclusive of
interest, damages of whatever kind, attorney's
fees, litigation expenses and costs:

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PART I

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